Friday,

November 8, 2002

Part II

Environmental 

Protection Agency

40 CFR Parts 89 et al. 

Control of Emissions From Nonroad 

Large Spark-Ignition Engines, and 

Recreational Engines (Marine and LandBased); Final Rule

68242 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Parts 89, 90, 91, 94, 1048, 1051, 

1065, and 1068 

[AMS–FRL–7380–2] 

RIN 2060–AI11 

Control of Emissions From Nonroad 

Large Spark-Ignition Engines, and 

Recreational Engines (Marine and 

Land-Based)

AGENCY: Environmental Protection 

Agency (EPA).

ACTION: Final rule.

SUMMARY: In this action, we are adopting 

emission standards for several groups of 

nonroad engines that have not been 

subject to EPA emission standards. 

These engines are large spark-ignition 

engines such as those used in forklifts 

and airport ground-service equipment; 

recreational vehicles using sparkignition engines such as off-highway 

motorcycles, all-terrain vehicles, and 

snowmobiles; and recreational marine 

diesel engines. Nationwide, these 

engines and vehicles cause or contribute 

to ozone, carbon-monoxide, and 

particulate-matter nonattainment, as 

well as other types of pollution 

impacting human health and welfare. 

We expect that manufacturers will be 

able to maintain or even improve the 

performance of their products when 

producing engines and equipment 

meeting the new standards. Many 

engines will substantially reduce their 

fuel consumption, partially or 

completely offsetting any costs 

associated with the emission standards. 

Overall, the gasoline-equivalent fuel 

savings associated with the anticipated 

changes in technology resulting from 

this rule are estimated to be about 800 

million gallons per year once the 

program is fully phased in. Health and 

environmental benefits from the 

controls included in today’s rule are 

estimated to be approximately $8 billion 

per year once the controls are fully 

phased in. There are also several 

provisions to address the unique 

limitations of small-volume 

manufacturers.

DATES: This final rule is effective 

January 7, 2003. 

The incorporation by reference of 

certain publications listed in this 

regulation is approved by the Director of 

the Federal Register as of January 7, 

2003.

ADDRESSES: Materials relevant to this 

rulemaking are contained in Public 

Docket Numbers A–98–01 and A–2000–

01 at the following address: EPA Docket 

Center (EPA/DC), Public Reading Room, 

Room B102, EPA West Building, 1301 

Constitution Avenue, NW., Washington 

DC. The EPA Docket Center Public 

Reading Room is open from 8:30 a.m. to 

4:30 p.m., Monday through Friday, 

except on government holidays. You 

can reach the Reading Room by 

telephone at (202) 566–1742, and by 

facsimile at (202) 566–1741. The 

telephone number for the Air Docket is 

(202) 566–1742. You may be charged a 

reasonable fee for photocopying docket 

materials, as provided in 40 CFR part 2. 

For further information on electronic 

availability of this action, see 

SUPPLEMENTARY INFORMATION below.

FOR FURTHER INFORMATION CONTACT: U.S. 

EPA, Office of Transportation and Air 

Quality, Assessment and Standards 

Division hotline, (734) 214–4636, 

asdinfo@epa.gov; Alan Staut, (734) 214–

4805.

SUPPLEMENTARY INFORMATION: 

Regulated Entities 

This action will affect companies that 

manufacture or introduce into 

commerce any of the engines or vehicles 

subject to emission standards. These 

include: spark-ignition industrial 

engines such as those used in forklifts 

and compressors; recreational vehicles 

such as off-highway motorcycles, allterrain vehicles, and snowmobiles; and 

recreational marine diesel engines. This 

action will also affect companies buying 

engines for installation in nonroad 

equipment. There are also requirements 

that apply to those who rebuild any of 

the affected nonroad engines. Regulated 

categories and entities include:

Category NAICS 

Codes a SIC Codes b Examples of potentially regulated entities 

Industry ................... 333618 3519 Manufacturers of new nonroad spark-ignition engines, new marine engines. 

Industry ................... 333111 3523 Manufacturers of farm equipment. 

Industry ................... 333112 3531 Manufacturers of construction equipment, recreational marine vessels. 

Industry ................... 333924 3537 Manufacturers of industrial trucks. 

Industry ................... 811310 7699 Engine repair and maintenance. 

Industry ................... 336991 .................... Motorcycle manufacturers. 

Industry ................... 336999 .................... Snowmobiles and all-terrain vehicle manufacturers. 

Industry ................... 421110 .................... Independent Commercial Importers of Vehicles and Parts. 

a North American Industry Classification System (NAICS) 

bStandard Industrial Classification (SIC) system code. 

This list is not intended to be 

exhaustive, but rather provides a guide 

regarding entities likely to be regulated 

by this action. To determine whether 

this action regulates particular 

activities, you should carefully examine 

the regulations. You may direct 

questions regarding the applicability of 

this action to the person listed in FOR

FURTHER INFORMATION CONTACT. 

Obtaining Electronic Copies of the 

Regulatory Documents 

The preamble, regulatory language, 

Final Regulatory Support Document, 

and other rule documents are also 

available electronically from the EPA 

Internet web site. This service is free of 

charge, except for any cost incurred for 

internet connectivity. The electronic 

version of this final rule is made 

available on the day of publication on 

the primary web site listed below. The 

EPA Office of Transportation and Air 

Quality also publishes Federal Register

notices and related documents on the 

secondary web site listed below. 

1. http://www.epa.gov/docs/fedrgstr/

EPA-AIR/ (either select desired date 

or use Search feature) 

2. http://www.epa.gov/otaq/ (look in 

What’s New or under the specific 

rulemaking topic)

Please note that due to differences 

between the software used to develop 

the documents and the software into 

which the document may be 

downloaded, format changes may occur.

Table of Contents 

I. Introduction 

A. Overview 

B. How Is This Document Organized? 

C. What Categories of Vehicles and Engines 

Are Covered in This Final Rule? 

D. What Requirements Are We Adopting? 

E. Why Is EPA Taking This Action? 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68243

1 Diesel-cycle engines, referred to simply as 

‘‘diesel engines’’ in this document, may also be 

referred to as compression-ignition (or CI) engines. 

These engines typically operate on diesel fuel, but 

other fuels may also be used. Otto-cycle engines 

(referred to here as spark-ignition or SI engines) 

typically operate on gasoline, liquefied petroleum 

gas, or natural gas.

2This rule also found that PM emissions from 

marine diesel engines contribute to PM 

nonattainment.

II. Nonroad: General Provisions 

A. Scope of Application 

B. Emission Standards and Testing 

C. Demonstrating Compliance 

D. Other Concepts 

III. Recreational Vehicles and Engines 

A. Overview 

B. Engines Covered by This Rule 

C. Emission Standards 

D. Testing Requirements 

E. Special Compliance Provisions 

F. Technological Feasibility of the 

Standards 

IV. Permeation Emission Control 

A. Overview 

B. Vehicles Covered by This Provision 

C. Permeation Emission Standards 

D. Testing Requirements 

E. Special Compliance Provisions 

F. Technological Feasibility 

V. Large Spark-ignition (SI) Engines 

A. Overview 

B. Large SI Engines Covered by This Rule 

C. Emission Standards 

D. Testing Requirements and Supplemental 

Emission Standards 

E. Special Compliance Provisions 

F. Technological Feasibility of the 

Standards 

VI. Recreational Marine Diesel Engines 

A. Overview 

B. Engines Covered by This Rule 

C. Emission Standards for Recreational 

Marine Diesel Engines 

D. Testing Equipment and Procedures 

E. Special Compliance Provisions 

F. Technical Amendments 

G. Technological Feasibility 

VII. General Nonroad Compliance Provisions 

A. Miscellaneous Provisions (Part 1068, 

Subpart A) 

B. Prohibited Acts and Related 

Requirements (Part 1068, Subpart B) 

C. Exemptions (Part 1068, Subpart C) 

D. Imports (Part 1068, Subpart D) 

E. Selective Enforcement Audit (Part 1068, 

Subpart E) 

F. Defect Reporting and Recall (Part 1068, 

Subpart F) 

G. Hearings (Part 1068, Subpart G) 

VIII. General Test Procedures 

A. General Provisions 

B. Laboratory Testing Equipment 

C. Laboratory Testing Procedures 

D. Other Testing Procedures 

IX. Projected Impacts 

A. Environmental Impact 

B. Cost Estimates 

C. Cost Per Ton of Emissions Reduced 

D. Economic Impact Analysis 

E. Do the Benefits Outweigh the Costs of 

the Standards? 

X. Public Participation 

XI. Statutory and Executive Order Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review 

B. Paperwork Reduction Act 

C. Regulatory Flexibility Act (RFA), as 

Amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (SBREFA), 5 U.S.C. 601 et seq.

D. Unfunded Mandates Reform Act 

E. Executive Order 13132: Federalism 

F. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

G. Executive Order 13045: Protection of 

Children From Environmental Health 

and Safety Risks 

H. Executive Order 13211: Actions That 

Significantly Affect Energy Supply, 

Distribution, or Use 

I. National Technology Transfer and 

Advancement Act 

J. Congressional Review Act 

K. Plain Language

I. Introduction 

A. Overview 

Emissions from the engines regulated 

in this rule contribute to serious airpollution problems, and will continue 

to do so in the future absent regulation. 

These air pollution problems include 

exposure to carbon monoxide (CO), 

ground-level ozone, and particulate 

matter (PM), which can cause serious 

health problems, including premature 

mortality and respiratory problems. Fine 

PM has also been associated with 

cardiovascular problems, such as heart 

rate variability and changes in 

fibrinogen (a blood clotting factor) 

levels, and hospital admissions and 

mortality related to cardiovascular 

diseases. These emissions also 

contribute to other serious 

environmental problems, including 

visibility impairment and ecosystem 

damage. In addition, many of the 

hydrocarbon (HC) pollutants emitted by 

these engines are air toxics. 

This rule addresses these air-pollution 

concerns by adopting national emission 

standards for several types of nonroad 

engines and vehicles that are currently 

unregulated. These include large sparkignition engines used in industrial and 

commercial applications such as those 

used in forklifts and airport equipment; 

recreational spark-ignition vehicles such 

as off-highway motorcycles, all-terrain 

vehicles, and snowmobiles; and 

recreational marine diesel engines.1

These new standards are a continuation 

of the process of establishing emission 

standards for nonroad engines and 

vehicles, under Clean Air Act section 

213(a).

We conducted a study of emissions 

from nonroad engines, vehicles, and 

equipment in 1991, as directed by the 

Clean Air Act, section 213(a) (42 U.S.C. 

7547(a)). Based on the results of that 

study, we determined that emissions of 

oxides of nitrogen (NOX), volatile 

organic compounds, and CO from 

nonroad engines and equipment 

contribute significantly to ozone and CO 

concentrations in more than one 

nonattainment area (59 FR 31306, June 

17, 1994). Given this determination, 

section 213(a)(3) of the Act requires us 

to establish (and from time to time 

revise) emission standards for those 

classes or categories of new nonroad 

engines, vehicles, and equipment that in 

our judgment cause or contribute to 

such air pollution. We have determined 

that the engines covered by this final 

rule cause or contribute to such air 

pollution (see the final finding for 

recreational vehicles and nonroad 

spark-ignition engines over 19 kW 

published on December 7, 2000 (65 FR 

76790), the final rule for marine diesel 

engines published on December 29, 

1999 (64 FR 73301)2, Section II of the 

preamble to the proposed rule (66 FR 

51098, October 5, 2001), this preamble, 

and the Final Regulatory Support 

Document).

Where we determine that other 

emissions from new nonroad engines, 

vehicles, or equipment significantly 

contribute to air pollution that may 

reasonably be anticipated to endanger 

public health or welfare, section 

213(a)(4) of the Act authorizes EPA to 

establish (and from time to time revise) 

emission standards from those classes or 

categories of new nonroad engines, 

vehicles, and equipment that cause or 

contribute to such air pollution. 

Pursuant to section 213(a)(4) of the Act, 

we are finalizing a finding that 

emissions from new nonroad engines, 

including construction equipment, farm 

tractors, boats, locomotives, marine 

engines, nonroad spark-ignition engines 

over 19 kW, recreational vehicles 

(including off-highway motorcycles, allterrain-vehicles, and snowmobiles), 

significantly contribute to regional haze 

and visibility impairment in federal 

Class I areas and where people live, 

work and recreate. These engines, 

particularly recreational vehicles such 

as snowmobiles, are significant emitters 

of pollutants that are known to impair 

visibility in federal Class I areas (see 

Section I.E of this preamble and the 

Final Regulatory Support Document). 

We have also determined that engines 

covered by this final rule, particularly 

recreational vehicles including 

snowmobiles, contribute to such 

pollution. Thus, we are finalizing HC 

standards for snowmobiles to reduce 

PM-related visibility impairment. 

68244 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

3For this final rule, we consider the United States 

to include the States, the District of Columbia, the 

Commonwealth of Puerto Rico, the Commonwealth 

of the Northern Mariana Islands, Guam, American 

Samoa, the U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands.

B. How Is This Document Organized? 

This final rule covers engines and 

vehicles that vary in design and use, 

and many readers may be interested in 

only one or two of the applications. We 

have grouped engines by common 

application (for example, recreational 

land-based engines, marine diesel 

recreational engines, large sparkignition engines used in commercial 

applications). This document is 

organized in a way that allows each 

reader to focus on the applications of 

particular interest. 

Section II describes general provisions 

that are relevant to all of the nonroad 

engines covered by this rulemaking. 

Section III through VI present 

information specific to each of the 

affected nonroad applications, including 

standards, effective dates, testing 

information, and other specific 

requirements. 

Sections VII and VIII describe a wide 

range of compliance and testing 

provisions that apply generally to 

engines and vehicles from all the 

nonroad engine and vehicle categories 

included in this rulemaking. Several of 

these provisions apply not only to 

manufacturers, but also to equipment 

manufacturers installing certified 

engines, remanufacturing facilities, 

operators, and others. Therefore, all 

affected parties should read the 

information contained in these sections. 

Section IX summarizes the projected 

impacts and a discussion of the benefits 

of this rule. Finally, Sections X and XI 

contain information about public 

participation and various administrative 

requirements. 

The remainder of this section 

summarizes the new requirements and 

the air quality need for the rulemaking.

C. What Categories of Vehicles and 

Engines Are Covered in This Final Rule? 

This final rule establishes regulatory 

programs for new nonroad vehicles and 

engines not yet subject to EPA emission 

standards, including the following 

engines: 

• Land-based spark-ignition 

recreational engines, including those 

used in snowmobiles, off-highway 

motorcycles, and all-terrain vehicles. 

For the purpose of this rule, we are 

calling this group of engines 

‘‘recreational vehicles,’’ even though allterrain vehicles can be used for 

commercial purposes. 

• Land-based spark-ignition engines 

rated over 19 kW, including engines 

used in forklifts, generators, airport 

baggage tow trucks, and various farm, 

construction, and industrial equipment. 

This category also includes auxiliary 

marine engines, but does not include 

propulsion marine engines or engines 

used in recreational vehicles. For 

purposes of this rule, we refer to this 

category as ‘‘Large SI engines.’’

• Recreational marine diesel engines. 

This final rule covers new engines 

that are used in the United States, 

whether they are made domestically or 

imported.3 A more detailed discussion 

of the meaning of the terms ‘‘new’’ and 

‘‘imported’’ that help define the scope of 

application of this rule is in Section II 

of this preamble.

D. What Requirements Are We 

Adopting? 

The fundamental requirement for 

nonroad engines and vehicles is meeting 

EPA’s emission standards. Section 

213(a)(3) of the Act requires that 

standards to control emissions related to 

ozone or CO achieve the greatest degree 

of emission reduction achievable 

through the application of technology 

that will be available, giving appropriate 

consideration to cost, noise, energy, and 

safety factors. Section 213 (a)(4) of the 

Act requires that standards for 

emissions related to other air pollution 

problems be appropriate and take into 

account costs, noise, safety, and energy 

impacts of applying technology that will 

be available. Other requirements such as 

applying for certification, labeling 

engines, and meeting warranty 

requirements define a process for 

implementing the program in an 

effective way. 

With regard to Large SI engines, we 

are adopting a two-phase program. The 

first phase of the standards go into effect 

in 2004 and are the same as those 

adopted in October 1998 by the 

California Air Resources Board for 2004. 

These standards will reduce combined 

HC and NOX emissions by nearly 75 

percent, based on emission 

measurements during steady-state 

operation. In 2007, we supplement these 

standards by setting limits that will 

require optimizing the same 

technologies and will base emission 

measurements on a transient test cycle. 

New requirements for evaporative 

emissions and engine diagnostics also 

start in 2007. 

For recreational vehicles, we are 

adopting separate emission standards 

for snowmobiles, off-highway 

motorcycles, and all-terrain vehicles. 

For snowmobiles, we are adopting a first 

phase of standards for HC and CO 

emissions based on a mixture of 

technologies ranging from clean 

carburetion and engine modifications to 

direct fuel injection two-stroke 

technology and some conversion to 

four-stroke engines, and second and 

third phases of emission standards for 

snowmobiles that will involve 

significant use of direct fuel injection 

two-stroke technology and conversion to 

four-stroke engines. For off highway 

motorcycles and all-terrain vehicles, we 

are adopting standards based mainly on 

moving these engines from two-stroke to 

four-stroke technology with the use of 

some secondary air injection. We are 

also adopting requirements to address 

permeation emissions from all three 

types of recreational vehicles. 

The emission standards for 

recreational marine diesel engines are 

comparable to those already established 

for commercial marine diesel engines. 

Manufacturers generally have additional 

time to meet emission standards for the 

recreational models and several specific 

rulemaking provisions are tailored to 

the unique characteristics of these 

engines. 

We are also adopting more stringent 

voluntary Blue Sky Series emission 

standards for recreational marine diesel 

engines and Large SI engines. Blue Sky 

Series emission standards are more 

stringent than the mandatory emission 

standards and are intended to encourage 

the introduction and more widespread 

use of low-emission technologies. 

Manufacturers may be motivated to 

exceed emission requirements either to 

gain early experience with certain 

technologies or as a response to market 

demand or local government programs. 

For recreational vehicles, we are not 

adopting voluntary standards but rather 

providing consumers with consumer 

labeling, which will provide 

information and opportunity to buy 

lower-emissions models. 

We have also conducted extensive 

analysis on the costs and benefits of this 

rulemaking effort, with specific details 

found in Section IX below and in the 

Final Regulatory Support Document. In 

summary, we estimate that annually, the 

cost to manufacturers is approximately 

$210 million, the social gain is 

approximately $550 million, and the 

quantified benefits are approximately $8 

billion. Social gain is defined as the 

economic cost of the rule minus the 

estimated fuels savings. Quantified 

benefits reflect the health benefits 

primarily associated with particulate 

matter controls. 

E. Why Is EPA Taking This Action? 

There are important public health and 

welfare reasons supporting the new 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68245

4U.S. EPA Review of the National Ambient Air 

Quality Standards for Ozone: Policy Assessment of 

Scientific and Technical Information OAQPS Staff 

Paper. EPA–452/R–96–007. June 1996. A copy of 

this document can be found in Docket A–99–06, 

Document II–A–22. 5U.S. EPA Review of the National Ambient Air 

Quality Standards for Particulate Matter: Policy 

Assessment of Scientific and Technical Information 

OAQPS Staff Paper. EPA–452/R–96–013. 1996. 

Docket Number A–99–06, Documents Nos. II–A–18, 

19, 20, and 23. The particulate matter air quality 

criteria documents are also available at http://

www.epa.gov/ncea/partmatt.htm.

emission standards. As described below 

and in the Final Regulatory Support 

Document, these engines contribute to 

air pollution that causes public health 

and welfare problems.

Nationwide, these engines and 

vehicles are a significant source of 

mobile source air pollution. As 

described below, of all mobile source 

emissions in 2000 they accounted for 

about 9 percent of HC emissions, 4 

percent of CO emissions, 3 percent of 

NOX emissions, and 2 percent of direct 

PM emissions. The emissions from 

Large SI engines contributed 2 to 3 

percent of the HC, NOX, and CO 

emissions from mobile sources in 2000. 

Recreational vehicles by themselves 

account for about 6 percent of national 

mobile source HC emissions and about 

2 percent of national mobile source CO 

emissions. By reducing these emissions, 

the standards will aid states facing 

ozone and CO air quality problems, 

which can cause a range of adverse 

health effects, especially in terms of 

respiratory disease and related illnesses. 

The engine categories subject to this 

rule contribute to regional haze and 

visibility impairment in Class I areas 

and near where people live, work and 

recreate. Within national parks, 

emissions from snowmobiles in 

particular contribute to ambient 

concentrations of fine PM, a leading 

cause of visibility impairment. States 

are required to develop plans to address 

visibility impairment in national parks, 

and the reductions required in this rule 

would assist states in those efforts. 

The standards will also help reduce 

acute exposure to CO and air toxics for 

forklift operators, equipment users or 

riders, national and state park 

attendants, and other people who may 

be at particular risk because they 

operate or work or are otherwise in 

close proximity to this equipment due 

to their occupation or as riders. 

Emissions from these vehicles and 

equipment can be very high on a perengine basis. In addition, the equipment 

using these engines (especially forklifts) 

is often operated in enclosed areas. 

Similarly, exposure to CO and air toxics 

can be intensified for snowmobile riders 

who follow a group of other riders along 

a trail, since those riders are exposed to 

the emissions of all the other 

snowmobiles riding ahead. 

When the emission standards are fully 

implemented in 2030, we expect a 75-

percent reduction in HC emissions, 82-

percent reduction in NOX emissions, 

and 61-percent reduction in CO 

emissions, and a 60-percent reduction 

in direct PM emissions from these 

engines, equipment, and vehicles (see 

Section IX below). These emission 

reductions will reduce ambient 

concentrations of CO, ozone, and PM 

fine; fine particles are a public health 

concern and contributes to visibility 

impairment. The standards will also 

reduce exposure for people who operate 

or who work with or are otherwise in 

close proximity to these engines and 

vehicles. 

We believe technology can be applied 

to these engines that will reduce 

emissions of these harmful pollutants. 

Manufacturers can reduce two-stroke 

engine emissions by improving fuel 

management and calibration. This can 

be achieved by making improvements to 

carbureted fuel systems and/or 

converting to electronic and direct fuel 

injection. In addition, many of the 

existing two-stroke engines in these 

categories can be converted to fourstroke technology. Finally, there are 

modifications that can be made to fourstroke engines, often short of requiring 

catalysts, that can reduce emissions 

even further. 

1. Health and Welfare Effects 

Exposure to CO, ground-level ozone, 

and PM can cause serious respiratory 

problems, including premature 

mortality and respiratory problems. Fine 

PM has also been associated with 

cardiovascular problems, such as heart 

rate variability and fibrinogen (a blood 

clotting factor) levels, and hospital 

admissions and mortality related to 

cardiovascular diseases. These 

emissions also contribute to other 

serious environmental problems, 

including visibility impairment and 

ecosystem damage. In addition, some of 

the HC pollutants emitted by these 

engines are air toxics. (The health and 

welfare effects are described in more 

detail in the Final Regulatory Support 

Document.) 

CO enters the bloodstream through 

the lungs and reduces the delivery of 

oxygen to the body’s organs and tissues. 

The health threat from CO is most 

serious for those who suffer from 

cardiovascular disease, particularly 

those with angina or peripheral vascular 

disease. Healthy individuals also are 

affected, but only at higher CO levels. 

Exposure to elevated CO levels is 

associated with impairment of visual 

perception, work capacity, manual 

dexterity, learning ability and 

performance of complex tasks. 

Exposures to ozone has been linked to 

increased hospital admissions and 

emergency room visits for respiratory 

problems.4 Repeated exposure to ozone 

can increase susceptibility to respiratory 

infection and lung inflammation. It can 

aggravate preexisting respiratory 

diseases, such as asthma. Prolonged (6 

to 8 hours), repeated exposure to ozone 

can cause inflammation of the lung, 

impairment of lung defense 

mechanisms, and possibly irreversible 

changes in lung structure, which over 

time could lead to premature aging of 

the lungs and/or chronic respiratory 

illnesses such as emphysema and 

chronic bronchitis. Children, the 

elderly, asthmatics and outdoor workers 

are most at risk from ozone exposure. 

Evidence also exists of a possible 

relationship between daily increases in 

ozone levels and increases in daily 

mortality levels. In addition to human 

health effects, ozone adversely affects 

crop yield, vegetation and forest growth, 

and the durability of materials.

PM, like ozone, has been linked to a 

range of serious respiratory health 

problems.5 The key health effects 

associated with ambient particulate 

matter include premature mortality, 

aggravation of respiratory and 

cardiovascular disease (as indicated by 

increased hospital admissions and 

emergency room visits, school absences, 

work loss days, and restricted activity 

days), aggravated asthma, acute 

respiratory symptoms, including 

aggravated coughing and difficult or 

painful breathing, chronic bronchitis, 

and decreased lung function that can be 

experienced as shortness of breath. 

Observable human non-cancer health 

effects associated with exposure to 

diesel PM include some of the same 

health effects reported for ambient PM 

such as respiratory symptoms (cough, 

labored breathing, chest tightness, 

wheezing), and chronic respiratory 

disease (cough, phlegm, chronic 

bronchitis and suggestive evidence for 

decreases in pulmonary function). 

Symptoms of immunological effects 

such as wheezing and increased 

allergenicity are also seen.

PM also causes adverse impacts to the 

environment. Fine PM is the major 

cause of reduced visibility in parts of 

the United States, including many of 

our national parks and in places where 

people live and work. Visibility effects 

are manifest in two principal ways: (1) 

as local impairment (for example, 

68246 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

localized hazes and plumes) and (2) as 

regional haze. The emissions from 

engines covered by this rule can 

contribute to both types of visibility 

impairment. 

The engines covered by this rule also 

emit air toxics that are known or 

suspected human or animal 

carcinogens, or have serious non-cancer 

health effects. These include benzene, 

1,3-butadiene, formaldehyde, 

acetaldehyde, and acrolein. 

2. What Is the Inventory Contribution 

From the Nonroad Engines and Vehicles 

That Would Be Subject to This Rule? 

The contribution of emissions from 

the nonroad engines and vehicles that 

will be subject to this final rule to the 

national inventories of pollutants is 

considerable. To estimate nonroad 

engine and vehicle emission 

contributions, we used the latest version 

of our NONROAD emissions model, 

updated with information received 

during the public comment period. This 

model computes nationwide, state, and 

county emission levels for a wide 

variety of nonroad engines, and uses 

information on emission rates, operating 

data, and population to determine 

annual emission levels of various 

pollutants. A more detailed description 

of the model and our estimation 

methodology can be found in the 

Chapter 6 of the Final Regulatory 

Support Document. 

Baseline emission inventory estimates 

for the year 2000 for the categories of 

engines and vehicles covered by this 

rule are summarized in Table I.E–1. 

This table shows the relative 

contributions of the different mobile 

source categories to the overall national 

mobile source inventory. Of the total 

emissions from mobile sources, the 

categories of engines and vehicles 

covered by this rule contribute about 9 

percent, 3 percent, 4 percent, and 2 

percent of HC, NOX, CO, and PM 

emissions, respectively, in the year 

2000. The results for Large SI engines 

indicate they contribute approximately 

2 to 3 percent to HC, NOX, and CO 

emissions from mobile sources. The 

results for land-based recreational 

engines reflect the impact of the 

significantly different emissions 

characteristics of two-stroke engines. 

These engines are estimated to 

contribute about 6 percent of HC 

emissions and 2 percent of CO from 

mobile sources. Recreational marine 

diesel engines contribute less than 1 

percent to NOX mobile source 

inventories. When only nonroad 

emissions are considered, the engines 

and vehicles that will be subject to the 

standards account for a larger share. 

Our draft emission projections for 

2020 and 2030 for the nonroad engines 

and vehicles subject to this rule show 

that emissions from these categories are 

expected to increase over time if left 

uncontrolled. The projections for 2020 

and 2030 are summarized in Tables I.E–

2 and I.E–3, respectively. The 

projections for 2020 and 2030 indicate 

that the categories of engines and 

vehicles covered by this rule are 

expected to contribute approximately 25 

percent, 10 percent, 5 percent, and 5 

percent of mobile source HC, NOX, CO, 

and PM emissions, respectively, if left 

uncontrolled. Engine population growth 

and the effects of other regulatory 

control programs are factored into these 

projections. The relative importance of 

uncontrolled nonroad engines in 2020 

and 2030 is higher than the projections 

for 2000 because there are already 

emission-control programs in place for 

the other categories of mobile sources 

which are expected to reduce their 

emission levels. The effectiveness of all 

control programs is offset by the 

anticipated growth in engine 

populations. 

Regarding PM specifically, this 

information and information in Section 

I.3(ii) below show that the engines being 

regulated in this rule, snowmobiles and 

other recreational vehicles in particular, 

contribute to PM concentrations that 

may reasonably be anticipated to 

endanger public health and welfare both 

because of the health effects associated 

with PM and because of the effects on 

visibility discussed below.

TABLE I.E–1.—MODELED ANNUAL EMISSION LEVELS FOR MOBILE SOURCE CATEGORIES IN 2000 

[Thousand short tons] 

Category 

NOX HC CO PM 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

Total for engines subject to this final rule* ...... 351 2.6 645 8.8 2,860 3.8 14.6 2.1 

Highway Motorcycles ....................................... 8 0.1 84 1.2 331 0.4 0.4 0.1 

Nonroad Industrial SI >19 kW* ........................ 308 2.3 226 3.1 1,734 2.3 1.6 0.2 

Recreational SI* ............................................... 5 0.0 418 5.7 1,120 1.5 12.0 1.7 

Recreational Marine Diesel* ............................ 38 0.3 1 0.0 6 0.0 1 0.1 

Marine SI Evap ................................................ 0 0.0 100 1.4 0 0.0 0 0.0 

Marine SI Exhaust ........................................... 32 0.2 708 9.7 2,144 2.8 38 5.4 

Nonroad SI <19 kW ......................................... 106 0.8 1,460 20.0 18,359 24.3 50 7.1 

Nonroad diesel ................................................. 2,625 19.5 316 4.3 1,217 1.6 253 35.9 

Commercial Marine Diesel ............................... 963 7.2 30 0.4 127 0.2 41 5.8 

Locomotive ....................................................... 1,192 8.9 47 0.6 119 0.2 30 4.3 

Total Nonroad .................................................. 5,269 39 3,305 45 24,826 33 427 60 

Total Highway .................................................. 7,981 59 3,811 52 49,813 66 240 34 

Aircraft .............................................................. 178 1 183 3 1,017 1 39 6 

Total Mobile Sources ....................................... 13,428 100 7,300 100 75,656 100 706 100 

Total Man-Made Sources ................................ 24,532 ................ 18,246 ................ 97,735 ................ 3,102 ................

Mobile Source percent of Total Man-Made 

Sources ........................................................ 55 ................ 40 ................ 77 ................ 23 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68247

TABLE I.E–2.—MODELED ANNUAL BASELINE EMISSION LEVELS FOR MOBILE SOURCE CATEGORIES IN 2020 

[thousand short tons] 

Category 

NOX HC CO PM 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

Total for engines subject to this final rule* ...... 547 8.8 1,305 24.1 4,866 5.6 34.1 5.2 

Highway Motorcycles ....................................... 14 0.2 142 2.6 572 0.7 0.8 0.1 

Nonroad Industrial SI > 19 kW* ....................... 472 7.6 318 5.9 2,336 2.7 2.3 0.4 

Recreational SI* ............................................... 14 0.2 985 18.2 2,521 2.9 30.2 4.6 

Recreational Marine Diesel* ............................ 61 1.0 2 0.0 9 0.0 1.6 0.2 

Marine SI Evap ................................................ 0 0.0 114 2.1 0 0.0 0 0.0 

Marine SI Exhaust ........................................... 58 0.9 284 5.2 1,985 2.3 28 4.3 

Nonroad SI < 19 Kw ........................................ 106 1.7 986 18.2 27,352 31.7 77 11.8 

Nonroad Diesel ................................................ 1,791 28.8 142 2.6 1,462 1.7 261 40.0 

Commercial Marine Diesel ............................... 819 13.2 35 0.6 160 0.2 46 7.0 

Locomotive ....................................................... 611 9.8 35 0.6 119 0.1 21 3.2 

Total Nonroad .................................................. 3,932 63 2,901 54 35,944 42 467 71 

Total Highway .................................................. 2,050 33 2,276 42 48,906 56 145 22 

Aircraft .............................................................. 232 4 238 4 1,387 2 43 7 

Total Mobile Sources ....................................... 6,214 100 5,415 100 86,237 100 655 100 

Total Man-Made Sources ................................ 16,190 ................ 15,475 ................ 109,905 ................ 3,039 ................

Mobile Source percent of Total Man-Made 

Sources ........................................................ 38 ................ 35 ................ 79 ................ 22 ................

TABLE I.E–3.—MODELED ANNUAL EMISSION LEVELS FOR MOBILE SOURCE CATEGORIES IN 2030 

[Thousand short tons] 

Category 

NOX HC CO PM 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

1000 tons 

Percent 

of mobile 

source 

Total for engines subject to this final rule* ...... 640 10.0 1,411 23.5 5,363 5.4 36.5 4.8 

Highway Motorcycles ....................................... 17 0.3 172 2.9 693 0.7 1.0 0.1 

Nonroad Industrial SI > 19 kW* ....................... 553 8.6 371 6.2 2,703 2.7 2.7 0.4 

Recreational SI* ............................................... 15 0.2 1,038 17.3 2,649 2.7 31.9 4.2 

Recreational Marine Diesel* ............................ 72 1.1 2 0.0 11 0.0 1.9 0.3 

Marine SI Evap ................................................ 0 0.0 122 2.0 0 0.0 0 0.0 

Marine SI Exhaust ........................................... 64 1.0 269 4.5 2,083 2.1 29 3.8 

Nonroad SI < 19 kW ........................................ 126 2.0 1,200 20.0 32,310 32.4 93 12.3 

Nonroad Diesel ................................................ 1,994 31.0 158 2.6 1,727 1.7 306 40.4 

Commercial Marine Diesel ............................... 1,166 18.1 52 0.9 198 0.2 74 9.8 

Locomotive ....................................................... 531 8.3 30 0.5 119 0.1 18 2.4 

Total Nonroad .................................................. 4,521 70 3,242 54 41,800 42 557 74 

Total Highway .................................................. 1,648 26 2,496 42 56,303 56 158 21 

Aircraft .............................................................. 262 4 262 4 1,502 2 43 6 

Total Mobile Sources ....................................... 6,431 100 6,000 100 99,605 100 758 100 

Total Man-Made Sources ................................ 16,639 — 17,020 — 123,983 — 3,319 —

Mobile Source percent of Total Man-Made 

Sources ........................................................ 39 — 35 — 80 — 23 —

68248 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

6Likewise, Large SI equipment and recreational 

marine diesel engines also contribute to CO in 

nonattainment areas. 7There are important reasons to focus on 

redesignation status, as compared to just current air 

quality. Areas with a few years of attainment data 

can and often do have exceedances following such 

years of attainment because of several factors 

including different climatic events during the later 

years, increases in inventories, etc. Control of 

emissions from nonroad engines can help to avoid 

potential future air quality problems.

8 Draft Anchorage Carbon Monoxide Emission 

Inventory and Year 2000 Attainment Projections, 

Air Quality Program, May 2001, Docket Number A–

2000–01, Document II–A–40; Draft Fairbanks 1995–

2001 Carbon Monoxide Emissions Inventory, June 

1, 2001, Docket Number A–2000–01, Document II–

A–39. 

9National Research Council. The Ongoing 

Challenge of Managing Carbon Monoxide Pollution 

in Fairbanks, AK. May 2002. Docket A–2000–01, 

Document No. IV–A–115.

10National Research Council. The Ongoing 

Challenge of Managing Carbon Monoxide Pollution 

in Fairbanks, AK. May 2002. Docket A–2000–01, 

Document IV–A–115.

3. Why are Controls to Protect against 

CO Nonattainment and to Protect 

Visibility Needed From the Nonroad 

Engines and Vehicles That Would Be 

Subject to This Rule? 

i. Why are We Controlling CO 

Emissions from Nonroad Engines and 

Vehicles that Would be Subject to this 

Rule? 

Engines subject to this rule 

contributed about 3.8 percent of CO 

from mobile sources in 2000. Over 22.4 

million people currently live in the 13 

nonattainment areas for the CO National 

Ambient Air Quality Standard 

(NAAQS). Industry association 

comments questioned the need for CO 

control and snowmobile contribution, in 

particular. First, the statute envisions 

that categories should be considered in 

determining contribution because 

otherwise, it would be possible to 

continue to arbitrarily divide 

subcategories until the contribution 

from any subcategory becomes minimal 

while the cumulative effect of the air 

pollution remains. EPA previously 

determined that the category of Large SI 

engines and recreational vehicles cause 

or contribute to ambient CO and ozone 

in more than one nonattainment area 

(65 FR 76790, December 7, 2000). EPA 

also examined recreational vehicles 

separately and found that recreational 

vehicles subject to this rule contribute 

to CO nonattainment in areas such as 

Los Angeles, Phoenix, Anchorage, and 

Las Vegas (see RSD chapter 2). Thus, if 

considered as a category, recreational 

vehicles contribute to CO 

nonattainment.6 Moreover, when we 

examined snowmobiles separately, they 

met the contribution criteria.

The International Snowmobile 

Manufacturers Association (ISMA) 

stated in its public comments that 

snowmobiles in particular are not 

operated in many of the CO 

nonattainment areas because of lack of 

snow (although they may be stored in 

those areas). The commenters also 

contended that northern areas have 

experienced improved CO air quality. 

Many areas are making progress in 

improving their air quality. However, an 

area cannot be redesignated to 

attainment until it can show EPA that it 

has had air quality levels within the 

level required for attainment and that it 

has a plan in place to maintain such 

levels. Until areas have been 

redesignated, they remain 

nonattainment areas.7 Snowmobiles 

contribute to CO nonattainment in more 

than one of these areas.

Snowmobiles have relatively high 

per-engine CO emissions, and they can 

be a significant source of ambient CO 

levels in CO nonattainment areas. 

Despite the fact that snowmobiles are 

largely banned in CO nonattainment 

areas by the state of Alaska, the state 

estimated (and a National Research 

Council study confirmed) that 

snowmobiles contributed 0.3 tons/day 

in 2001 to Fairbanks’ CO nonattainment 

area or 1.2 percent of a total inventory 

of 23.3 tons per day in 2001.8,9 While 

Fairbanks has made significant progress 

in reducing ambient CO concentrations, 

existing climate conditions make 

achieving and maintaining attainment 

challenging. Anchorage, AK, reports a 

similar contribution of snowmobiles to 

their emissions inventories (0.34 tons 

per day in 2000). Furthermore, a recent 

National Academy of Sciences report 

concludes that ‘‘Fairbanks will be 

susceptible to violating the CO health 

standards for many years because of its 

severe meteorological conditions. That 

point is underscored by a December 

2001 exceedance of the standard in 

Anchorage which had no violations over 

the last 3 years.’’10

ISMA commented that it agreed with 

EPA that there is a snowmobile trail 

within the Spokane, WA, CO 

nonattainment area, although they noted 

that snowmobile operation alone would 

not result in CO nonattainment. 

However, emissions from regulated 

categories need only contribute to, not 

themselves cause, nonattainment. 

Concentrations of NAAQS-related 

pollutants are by definition a result of 

multiple sources of pollution. 

Several states that contain CO 

nonattainment areas also have large 

populations of registered snowmobiles 

and nearby snowmobile trails in 

adjoining counties, which are an 

indication of where they are operated 

(see Table I.E–4). EPA requested 

comment on the volume and nature of 

snowmobile use in these and other CO 

nonattainment areas. ISMA commented 

on the proximity of trails to northern CO 

nonattainment areas, assuming that 

snowmobiles are operated only on trails. 

A search of the available literature 

indicates that snowmobiles are ridden 

in areas other than trails. For example, 

a 1998 report by the Michigan 

Department of Natural Resources 

indicates that from 1993 to 1997, of the 

146 snowmobile fatalities studied, 46 

percent occurred on a state or county 

roadway (another 2 percent on roadway 

shoulders) and 27 percent occurred on 

private lands. Furthermore, accident 

reports in CO nonattainment area 

Fairbanks, AK, demonstrate that 

snowmobiles driven on streets have 

collided with motor vehicles. On certain 

days there may be concentrations of 

snowmobiles operated in nonattainment 

areas due to public events such as 

snowmachine races (such as the Iron 

Dog Gold Rush Classic, which finishes 

in Fairbanks, AK), during which 

snowmobiles will be present and 

operated.

TABLE I.E–4.—SNOWMOBILE USE IN SELECTED CO NONATTAINMENT AREAS

City and state CO nonattainment classification 2001 State snowmobile populationa

Anchorage, AK 

Fairbanks, AK ........................................................................................... Serious ................................................................... b 35576 

Spokane, WA ............................................................................................ Serious ................................................................... 31532 

Fort Collins, CO ........................................................................................ Moderate ................................................................ 32500 

Medford, OR ............................................................................................. Moderate ................................................................ 16809 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68249

11Technical Memorandum to Docket A–2000–01 

from Drew Kodjak, Attorney-Advisor, Office of 

Transportation and Air Quality, ‘‘Air Quality 

Information for Selected CO Nonattainment Areas,’’

July 27, 2001, Docket Number A–2000–01, 

Document Number II–B–18.

12Air Quality Criteria for Carbon Monoxide, U.S. 

EPA, EPA 600/P–99/001F, June 2000, at 3–38, 

Figure 3–32 (Federal Bldg, AIRS Site 020900002). 

Air Docket A–2000–01, Document Number II–A–29. 

This document is also available at http://

www.epa.gov/ncea/coabstract.htm.

13National Research Council, 1993. Protecting 

Visibility in National Parks and Wilderness Areas. 

National Academy of Sciences Committee on Haze 

in National Parks and Wilderness Areas. National 

Academy Press, Washington, DC. This document is 

available on the internet at http://www.nap.edu/

books/0309048443/html/. See also U.S. EPA Air 

Quality Criteria Document for Particulate Matter 

(1996) and Review of the National Ambient Air 

Quality Standards for Particulate Matter: Policy 

Assessment of Scientific and Technical 

Information. These documents can be found in 

Docket A–99–06, Documents No. II–A–23 and IV–

A–130–32.

14 Visual range can be defined as the maximum 

distance at which one can identify a black object 

against the horizon sky. It is typically described in 

miles or kilometers. Light extinction is the sum of 

light scattering and absorption by particles and 

gases in the atmosphere. It is typically expressed in 

terms of inverse megameters (Mm-1), with larger 

values representing worse visibility. The deciview 

metric describes perceived visual changes in a 

linear fashion over its entire range, analogous to the 

decibel scale for sound. A deciview of 0 represents 

pristine conditions. Under many scenic conditions, 

a change of 1 deciview is considered perceptible by 

the average person.

TABLE I.E–4.—SNOWMOBILE USE IN SELECTED CO NONATTAINMENT AREAS—Continued

City and state CO nonattainment classification 2001 State snowmobile populationa

Missoula, MT ............................................................................................ Moderate ................................................................ 23440 

aSource: ISMA U.S. Snowmobile Registration History, May 15, 2001; various studies prepared for state snowmobile associations included in 

Docket A–2000–01. bPoint of sale registration was not mandatory in Alaska prior to 1998, so the statewide registered population is likely to underestimate the total 

population. 

Exceedances of the 8-hour CO 

standard were recorded in three of 

seven CO nonattainment areas located 

in the northern portion of the country 

over the five year period from 1994 to 

1999: Fairbanks, AK; Medford, OR; and 

Spokane, WA.11 Given the variability in 

CO ambient concentrations due to 

weather patterns such as inversions, the 

absence of recent exceedances for some 

of these nonattainment areas should not 

be viewed as eliminating the need for 

further reductions to consistently attain 

and maintain the standard. A review of 

CO monitor data in Fairbanks from 1986 

to 1995 shows that while median 

concentrations have declined steadily, 

unusual combinations of weather and 

emissions have resulted in elevated 

ambient CO concentrations well above 

the 8-hour standard of 9 ppm. 

Specifically, a Fairbanks monitor 

recorded average 8-hour ambient 

concentrations at 16 ppm in 1988, 

around 9 ppm from 1990 to 1992, and 

then a steady increase in CO ambient 

concentrations at 12, 14 and 16 ppm 

during some extreme cases in 1993, 

1994 and 1995, respectively.12

In addition, there are 6 areas that have 

not been classified as nonattainment 

where air quality monitoring indicated 

a need for CO control. For example, CO 

monitors in northern locations such as 

Des Moines, IA, and Weirton, WV/

Steubenville, OH, registered levels 

above the level of the CO standards in 

1998. 

ii. Why are Controls Needed From the 

Nonroad Engines and Vehicles That 

Would Be Subject to this Rule to Protect 

Visibility? 

(1) Visibility is Impaired by Fine PM 

and Precursor Emissions From Nonroad 

Engines and Vehicles That Would Be 

Subject to This Rule. 

Visibility can be defined as the degree 

to which the atmosphere is transparent 

to visible light.13 Visibility degradation 

is an easily noticeable effect of fine PM 

present in the atmosphere, and fine PM 

is the major cause of reduced visibility 

in parts of the United States, including 

many of our national parks and in 

places across the country where people 

live, work, and recreate. Fine particles 

with significant light-extinction 

efficiencies include organic matter, 

sulfates, nitrates, elemental carbon 

(soot), and soil.

Visibility is an important effect 

because it has direct significance to 

people’s enjoyment of daily activities in 

all parts of the country. Individuals 

value good visibility for the well-being 

it provides them directly, both in where 

they live and work, and in places where 

they enjoy recreational opportunities. 

Visibility is highly valued in significant 

natural areas such as national parks and 

wilderness areas, because of the special 

emphasis given to protecting these lands 

now and for future generations. 

To quantify changes in visibility, we 

compute a light-extinction coefficient, 

which shows the total fraction of light 

that is decreased per unit distance. 

Visibility can be described in terms of 

PM concentrations, visual range, light 

extinction or deciview.14 In addition to 

limiting the distance that one can see, 

the scattering and absorption of light 

caused by air pollution can also degrade 

the color, clarity, and contrast of scenes.

Visibility effects are manifest in two 

main ways: as local impairment (for 

example, localized hazes and plumes) 

and as regional haze. In addition, 

visibility impairment has a time 

dimension in that it might relate to a 

short-term excursion or to longer 

periods (for example, worst 20 percent 

of days or annual average levels). 

Local-scale visibility degradation is 

commonly seen as a plume resulting 

from the emissions of a specific source 

or small group of sources, or it is in the 

form of a localized haze such as an 

urban ‘‘brown cloud.’’ Plumes are 

comprised of smoke, dust, or colored 

gas that obscure the sky or horizon 

relatively near sources. Impairment 

caused by a specific source or small 

group of sources has been generally 

termed as ‘‘reasonably attributable.’’

The second type of impairment, 

regional haze, results from pollutant 

emissions from a multitude of sources 

located across a broad geographic 

region. It impairs visibility in every 

direction over a large area, in some 

cases over multi-state regions. Regional 

haze masks objects on the horizon and 

reduces the contrast of nearby objects. 

The formation, extent, and intensity of 

regional haze is a function of 

meteorological and chemical processes, 

which sometimes cause fine particulate 

loadings to remain suspended in the 

atmosphere for several days and to be 

transported hundreds of kilometers from 

their sources. 

On an annual average basis, the 

concentrations of non-anthropogenic 

fine PM are generally small when 

compared with concentrations of fine 

particles from anthropogenic sources. 

Anthropogenic contributions account 

for about one-third of the average 

extinction coefficient in the rural West 

and more than 80 percent in the rural 

East. Because of significant differences 

related to visibility conditions in the 

eastern and western U.S., we present 

information about visibility by region. 

Furthermore, it is important to note that 

even in those areas with relatively low 

68250 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

15Memorandum to Docket A–99–06 from Eric O. 

Ginsburg, Senior Program Advisor, ‘‘Summary of 

1999 Ambient Concentrations of Fine Particulate 

Matter,’’ November 15, 2000. Air Docket A–2000–

01, Document No. II–B–12.

16These populations would obviously also be 

exposed to PM concentrations associated with the 

adverse health impacts related to PM2.5. 17Additional information about the Regulatory 

Model System for Aerosols and Deposition 

(REMSAD) and our modeling protocols can be 

found in our Regulatory Impact Analysis: HeavyDuty Engine and Vehicle Standards and Highway 

Diesel Fuel Sulfur Control Requirements, document 

EPA420–R–00–026, December 2000. Docket No. A–

2000–01, Document No. A–II–13. This document is 

also available at http://www.epa.gov/otaq/

disel.htm#documents.

18Technical Memorandum, EPA Air Docket A–

99–06, Eric O. Ginsburg, Senior Program Advisor, 

Emissions Monitoring and Analysis Division, 

OAQPS, Summary of Absolute Modeled and ModelAdjusted Estimates of Fine Particulate Matter for 

Selected Years, December 6, 2000, Table P–2. 

Docket Number 2000–01, Document Number II–B–

14.

concentrations of anthropogenic fine 

particles, such as the Colorado plateau, 

small increases in anthropogenic fine 

particle concentrations can lead to 

significant decreases in visual range. 

This is one of the reasons Class I areas 

have been given special consideration 

under the Clean Air Act.

Nonroad engines that are subject to 

this final rule contribute to ambient fine 

PM levels in two ways. First, they 

contribute through direct emissions of 

fine PM. As shown in Table I.E–1, these 

engines emitted 14,600 tons of PM (over 

2 percent of all mobile source PM) in 

2000. Second, these engines contribute 

to indirect formation of PM through 

their emissions of gaseous precursors 

which are then transformed in the 

atmosphere into particles. For example, 

these engines emitted over 8 percent of 

the HC tons from mobile sources. 

Furthermore, recreational vehicles, such 

as snowmobiles and all-terrain vehicles 

emit high levels of organic carbon (as 

HC) on a per-engine basis. Some organic 

emissions are transformed into particles 

in the atmosphere and other volatile 

organics can condense if emitted in cold 

temperatures, as is the case for 

emissions from snowmobiles, for 

example. Organic carbon accounts for 

between 27 and 36 percent of ambient 

fine particle mass depending on the area 

of the country. 

(A) Visibility Impairment Where People 

Live, Work and Recreate 

The secondary PM NAAQS is 

designed to protect against adverse 

welfare effects such as visibility 

impairment. In 1997, the secondary PM 

NAAQS was set as equal to the primary 

(health-based) PM NAAQS (62 Federal 

Register No. 138, July 18, 1997). EPA 

concluded that PM can and does 

produce adverse effects on visibility in 

various locations, depending on PM 

concentrations and factors such as 

chemical composition and average 

relative humidity. In 1997, EPA 

demonstrated that visibility impairment 

is an important effect on public welfare 

and that visibility impairment is 

experienced throughout the U.S., in 

multi-state regions, urban areas, and 

remote Federal Class I areas. 

In many cities having annual mean 

PM2.5 concentrations exceeding 17 μg/

m3, improvements in annual average 

visibility resulting from the attainment 

of the annual PM2.5 standard are 

expected to be perceptible to the general 

population (e.g., to exceed 1 deciview). 

Based on annual mean monitored PM2.5

data, many cities in the Northeast, 

Midwest, and Southeast as well as Los 

Angeles would be expected to 

experience perceptible improvements in 

visibility if the PM2.5 annual standard 

were attained. For example, in 

Washington, DC, where the IMPROVE 

monitoring network shows annual mean 

PM2.5 concentrations at about 19 μg/m3

during the period of 1992 to 1995, 

approximate annual average visibility 

would be expected to improve from 21 

km (29 deciview) to 27 km (27 

deciview), a change of 2 deciviews. The 

PM2.5 annual average in Washington, 

DC, was 18.9 μg/m3 in 2000. 

The updated monitored data and air 

quality modeling presented in the RSD 

confirm that the visibility situation 

identified during the NAAQS review in 

1997 is still likely to exist. Thus, the 

determination in the NAAQS 

rulemaking about broad visibility 

impairment and related benefits from 

NAAQS compliance are still relevant. 

Levels above the fine PM NAAQS cause 

adverse welfare impacts, such as 

visibility impairment (both regional and 

localized impairment). 

Furthermore, in setting the PM 

NAAQS, EPA acknowledged that levels 

of fine particles below the NAAQS may 

also contribute to unacceptable 

visibility impairment and regional haze 

problems in some areas, and Clean Air 

Act Section 169 provides additional 

authorities to remedy existing 

impairment and prevent future 

impairment in the 156 national parks, 

forests and wilderness areas labeled as 

Class I areas. 

In making determinations about the 

level of protection afforded by the 

secondary PM NAAQS, EPA considered 

how the Section 169 regional haze 

program and the secondary NAAQS 

would function together. Regional 

strategies are expected to improve 

visibility in many urban and non-Class 

I areas as well. The following 

recommendation for the National 

Research Council, Protecting Visibility 

in National Parks and Wilderness Areas 

(1993), addresses this point: 

Efforts to improve visibility in Class I 

areas also would benefit visibility 

outside these areas. Because most 

visibility impairment is regional in 

scale, the same haze that degrades 

visibility within or looking out from a 

national park also degrade visibility 

outside it. 

The 1999–2000 PM2.5 monitored 

values, which cover about a third of the 

nation’s counties, indicate that at least 

82 million people live in areas where 

long-term ambient fine particulate 

matter levels are at or above 15 μg/m3.15

Thus, these populations (plus those who 

travel to those areas) could be 

experiencing visibility impairment that 

is unacceptable, and emissions of PM 

and its precursors from engines in these 

categories contribute to this 

unacceptable impairment.16

Because the chemical composition of 

the PM affects visibility impairment, we 

used EPA’s Regulatory Model System 

for Aerosols and Deposition 

(REMSAD)17 model to project visibility 

conditions in 2030 accounting for the 

chemical composition of the particles 

and to estimate visibility impairment 

directly as changes in deciview. Our 

projections included anticipated 

emissions from the engines subject to 

this rule, and although our emission 

predictions reflected our best estimates 

of emissions projections at the time the 

modeling was conducted, we now have 

new estimates, as discussed in the RSD 

Chapter 1. Based on public comment for 

this rule and new information, we have 

revised our emissions estimates in some 

categories downwards and other 

categories upwards; however, on net, we 

believe the modeling underestimates the 

PM air quality levels that would have 

been predicted if new inventories were 

used.

The most reliable information about 

the future visibility levels would be in 

areas for which monitoring data are 

available to evaluate model performance 

for a base year (e.g., 1996). Accordingly, 

we predicted that in 2030, 49 percent of 

the population will be living in areas 

where fine PM levels are above 15 μg/

m3 and monitors are available.18 This 

can be compared with the 1996 level of 

37 percent of the population living in 

areas where fine PM levels are above 15 

μg/m3 and monitors are available. Thus, 

a substantial percent of the population 

would experience unacceptable 

visibility impairment in areas where 

they live, work and recreate.

As shown in Table I.E–5, in 2030, we 

expect visibility in the East to be about 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68251

19Memo to file from Terence Fitz-Simons, 

OAQPS, Scott Mathias, OAQPS, Mike Rizzo, Region 

5, ‘‘Analyses of 1999 PM Data for the PM NAAQS 

Review,’’ November 17, 2000, with attachment B, 

1999 PM2.5 Annual Mean and 98th Percentile 24-

Hour Average Concentrations. Docket No. A–2000–

01, Document No. II–B–17.

20This information also shows that snowmobiles 

contribute to concentrations of fine PM that are 

above the primary health-related NAAQS, which 

indicates that emissions from snowmobiles also 

contribute to primary and secondary PM pollution 

that may reasonably be anticipated to endanger 

public health and welfare.

21Review of the National Ambient Air Quality 

Standards for Particulate Matter: Policy Assessment 

for Scientific and Technical Information, OAQPS 

Staff Paper, EPA–452\R–96–013, July, 1996, at IV–

7. This document is available from Docket A–99–

06, Document II–A–23.

19 deciviews (or visual range of 60 

kilometers) on average, with poorer 

visibility in urban areas, compared to 

the visibility conditions without manmade pollution of 9.5 deciviews (or 

visual range of 150 kilometers). 

Likewise, we expect visibility in the 

West to be about 9.5 deciviews (or 

visual range of 150 kilometers) in 2030, 

compared to the visibility conditions 

without man-made pollution of 5.3 

deciviews (or visual range of 230 

kilometers). 

Nonroad engines contribute 

significantly to these effects. As shown 

in Tables I.E–1 through I.E–3, nonroad 

engines emissions contribute a large 

portion of the total PM emissions from 

mobile sources and anthropogenic 

sources, in general. These emissions 

occur in and around areas with PM 

levels above the annual PM2.5 NAAQS. 

The engines subject to the final rule will 

contribute to these effects. They are 

estimated to emit 36,500 tons of direct 

PM in 2030, which is 1.1 percent of the 

total anthropogenic PM emissions in 

2030. Similarly, for PM precursors, the 

engines subject to this rule will emit 

640,000 tons of NOX and 1,411,000 tons 

HC in 2030, which are 3.8 and 8.3 

percent of the total anthropogenic NOX

and HC emissions, respectively, in 2030. 

Recreational vehicles in particular 

contribute to these levels. In Table I.E–

1 through I.E–3, we show that 

recreational vehicles emitted about 1.7 

percent of mobile source PM emissions 

in 2000. Similarly, recreational vehicles 

are modeled to emit over 4 percent of 

mobile source PM in 2020 and 2030. 

Thus, the emissions from these sources 

contribute to the visibility impairment 

modeled for 2030 summarized in the 

table. 

Furthermore, for 20 counties across 

nine states, snowmobile trails are found 

within or near counties that registered 

ambient PM2.5 concentrations at or 

above 15 μg/m3, the level of the PM2.5

NAAQS.19 Fine particles may remain 

suspended for days or weeks and travel 

hundreds to thousands of kilometers, 

and thus fine particles emitted or 

created in one county may contribute to 

ambient concentrations in a neighboring 

county.20, 21

TABLE I.E–5—SUMMARY OF 2030 NATIONAL VISIBILITY CONDITIONS

BASED ON REMSAD MODELING

[Deciviews] 

Regions a

Predicted 

2030

visibility b

(annual average) 

Natural

background

visibility 

Eastern 

U.S. ....... 18.98 9.5 

Urban 20.48 

Rural .. 18.38 

Western 

U.S. ....... 9.54 5.3 

Urban 10.21 

Rural .. 9.39 

aEastern and Western Regions are separated by 100 degrees north longitude. Background visibility conditions differ by region. bThe results incorporate earlier emissions 

estimates from the engines subject to this rule, 

as discussed in the Final Regulatory Support 

Document. We have revised our estimates 

both upwards for some categories and downwards for others based on public comment 

and updated information; however, we believe 

that the net results would underestimate future 

PM emissions. 

(B) Visibility Impairment in Class I 

Areas 

The Clean Air Act establishes special 

goals for improving visibility in many 

national parks, wilderness areas, and 

international parks. In the 1977 

amendments to the Clean Air Act, 

Congress set as a national goal for 

visibility the ‘‘prevention of any future, 

and the remedying of any existing, 

impairment of visibility in mandatory 

class I Federal areas which impairment 

results from manmade air pollution’’

(CAA section 169A(a)(1)). The 

Amendments called for EPA to issue 

regulations requiring States to develop 

implementation plans that assure 

‘‘reasonable progress’’ toward meeting 

the national goal (CAA Section 

169A(a)(4)). EPA issued regulations in 

1980 to address visibility problems that 

are ‘‘reasonably attributable’’ to a single 

source or small group of sources, but 

deferred action on regulations related to 

regional haze, a type of visibility 

impairment that is caused by the 

emission of air pollutants by numerous 

emission sources located across a broad 

geographic region. At that time, EPA 

acknowledged that the regulations were 

only the first phase for addressing 

visibility impairment. Regulations 

dealing with regional haze were 

deferred until improved techniques 

were developed for monitoring, for air 

quality modeling, and for understanding 

the specific pollutants contributing to 

regional haze. 

In the 1990 Clean Air Act 

amendments, Congress provided 

additional emphasis on regional haze 

issues (see CAA section 169B). In 1999 

EPA finalized a rule that calls for States 

to establish goals and emission 

reduction strategies for improving 

visibility in all 156 mandatory Class I 

national parks and wilderness areas. In 

this rule, EPA established a ‘‘natural 

visibility’’ goal. In that rule, EPA also 

encouraged the States to work together 

in developing and implementing their 

air quality plans. The regional haze 

program is focused on long-term 

emissions decreases from the entire 

regional emissions inventory comprised 

of major and minor stationary sources, 

area sources and mobile sources. The 

regional haze program is designed to 

improve visibility and air quality in our 

most treasured natural areas from these 

broad sources. At the same time, control 

strategies designed to improve visibility 

in the national parks and wilderness 

areas will improve visibility over broad 

geographic areas. In the 1997 PM 

NAAQS rulemaking, EPA also 

anticipated the need in addition to the 

NAAQS and Section 169 regional haze 

program to continue to address 

localized impairment that may relate to 

unique circumstances in some Western 

areas. For mobile sources, there is a 

need for a Federal role in reduction of 

those emissions, particularly because 

mobile source vehicles are regulated 

primarily at the federal level. 

Visibility impairment is caused by 

pollutants (mostly fine particles and 

precursor gases) directly emitted to the 

atmosphere by several activities (such as 

electric power generation, various 

industry and manufacturing processes, 

truck and auto emissions, construction 

activities, etc.). These gases and 

particles scatter and absorb light, 

removing it from the sight path and 

creating a hazy condition. Visibility 

impairment is caused by both regional 

haze and localized impairment. As 

described above, regional haze is caused

68252 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

22U.S. EPA Review of the National Ambient Air 

Quality Standards for Particulate Matter: Policy 

Assessment of Scientific and Technical Information 

OAQPS Staff Paper. EPA–452/R–96–013. 1996. 

Docket Number A–99–06, Documents Nos. II–A–18, 

19, 20, and 23. The particulate matter air quality 

criteria documents are also available at http://

www.epa.gov/ncea/partmatt.htm. 23 In a recent case, American Corn Growers 

Association v. EPA, 291 F. 3d 1 (D.C. Cir 2002), the 

court vacated the BART provisions of the Regional 

Haze rule, but the court denied industry’s challenge 

to EPA’s requirement that state’s SIPs provide for 

reasonable progress towards achieving natural 

visibility conditions in national parks and 

wilderness areas and the ‘‘no degradation’’

requirement. Industry did not challenge 

requirements to improve visibility on the haziest 20 

percent of days. A copy of this decision can be 

found in Docket A–2000–01, Document IV–A–113. 24The results incorporate earlier emissions 

estimates from the engines subject to this rule, as 

discussed in the Final Regulatory Support 

Document. We have revised our estimates both 

upwards for some categories and downwards for 

others based on public comment and updated 

information; however, we believe that the net 

results would underestimate future PM emissions.

25No data were available at five additional parks 

where snowmobiles are also commonly used: Black 

Canyon of the Gunnison, CO, Grand Teton, WY, 

Northern Cascades, WA, Theodore Roosevelt, ND, 

and Zion, UT.

26Letter from Debra C. Miller, Data Analyst, 

National Park Service, to Drew Kodjak, August 22, 

2001. Docket No. A–2000–01, Document Number 

II–B–28.

by the emission from numerous sources 

located over a wide geographic area.22

Because of evidence that fine particles 

are frequently transported hundreds of 

miles, all 50 states, including those that 

do not have Class I areas, participate in 

planning, analysis, and, in many cases, 

emission control programs under the 

regional haze regulations. Even though 

a given State may not have any Class I 

areas, pollution that occurs in that State 

may contribute to impairment in Class 

I areas elsewhere. The rule encourages 

states to work together to determine 

whether or how much emissions from 

sources in a given state affect visibility 

in a downwind Class I area. 

The regional haze program calls for 

states to establish goals for improving 

visibility in national parks and 

wilderness areas to improve visibility 

on the haziest 20 percent of days and to 

ensure that no degradation occurs on 

the clearest 20 percent of days (64 FR 

35722. July 1, 1999). The rule requires 

states to develop long-term strategies 

including enforceable measures 

designed to meet reasonable progress 

goals toward natural visibility 

conditions. Under the regional haze 

program, States can take credit for 

improvements in air quality achieved as 

a result of other Clean Air Act programs, 

including national mobile source 

programs.23

In the PM air quality modeling 

described above, we also modeled 

visibility conditions in the Class I areas, 

and we summarize the results by region 

in Table I.E–6.

TABLE I.E–6—SUMMARY OF 2030 VISIBILITY CONDITIONS IN CLASS I AREAS BASED ON REMSAD MODELING

[Annual Average Deciview] 

Region a

Predicted 

2030

visibility b

Natural

background

visibility 

Eastern ........................ 9.5 

Southeast ................................................................................................................................................................. 25.02 ........................

Northeast/Midwest ................................................................................................................................................... 21.00 ........................

Western ........................ 5.3 

Southwest ................................................................................................................................................................ 8.69 ........................

California .................................................................................................................................................................. 11.61 ........................

Rocky Mountain ....................................................................................................................................................... 12.30 ........................

Northwest ................................................................................................................................................................. 15.44 ........................

National Class I Area Average ......................................................................................................................... 14.04 ........................

a Regions are depicted in Figure VI–5 in the Regulatory Support Document for the highway Heavy Duty Engine/Diesel Fuel RIA (EPA 420–R–

00–026, December 2000.) Background visibility conditions differ by region: Eastern natural background is 9.5 deciviews (or visual range of 150 

kilometers) and in the West natural background is 5.3 deciviews (or visual range of 230 kilometers). bThe results incorporate earlier emissions estimates from the engines subject to this rule, as discussed in the Final Regulatory Support Document. We have revised our estimates both upwards for some categories and downwards for others based on public comment and updated information; however, we believe that the net results underestimate future PM emissions. 

Nonroad engines represent a sizeable 

portion of the total inventory of 

anthropogenic emissions related to 

PM2.5, as shown in the tables above. 

Numerous types of nonroad engines 

may operate near Class I areas (e.g., 

mining equipment, recreational 

vehicles, and agricultural equipment). 

We have reviewed contributions from 

snowmobile in particular. 

Emissions from nonroad engines, in 

particular snowmobiles, contribute 

significantly to visibility impairment in 

Class I areas.24 Visibility and PM 

monitoring data are available for eight 

Class I areas where snowmobiles are 

commonly used. These are: Acadia, 

Boundary Waters, Denali, Mount 

Rainier, Rocky Mountain, Sequoia and 

Kings Canyon, Voyageurs, and 

Yellowstone.25 Fine particle monitoring 

data for these parks are set out in Table 

I.E–7. This table shows the number of 

monitored days in the winter that fell 

within the 20-percent worst visibility 

days for each of these eight parks. 

Monitors collect data 2 days a week for 

a total of about 104 days of monitored 

values. Thus, for a particular site, a 

maximum of 21 worst possible days of 

these 104 days with monitored values 

constitute the set of 20-percent worst 

visibility days during a year which are 

tracked as the primary focus of 

regulatory efforts.26 With the exception 

of Denali in Alaska, we defined the 

snowmobile season as January 1 through 

March 15 and December 15 through 

December 31 of the same calendar year, 

consistent with the methodology used 

in the Regional Haze Rule, which is 

calendar-year based. For Denali in 

Alaska, the snowmobile season is 

October 1 to April 30.

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68253

27Letter from Debra C. Miller, Data Analyst, 

National Park Service, to Drew Kodjak, August 22, 

2001. Docket No. A–2000–01, Document Number 

II–B–28.

28See Chapter 1 in the RSD for a discussion or 

U.S. EPA Technical Support Document for Heavyduty Engine and Vehicle Standards and Highway 

Diesel Fuel Sulfur Control Requirements—Air 

Quality Modeling Analyses December 2000. Docket 

No. A–2000–01, Docket Number IV–A–218. This 

document is also avaiable at www.epa.gov/otaq/

hdmodels.htm.

TABLE I.E–7—WINTER DAYS THAT FALL WITHIN THE 20 PERCENT WORST VISIBILITY DAYS AT NATIONAL PARKS USED BY

SNOWMOBILES

NPS unit States 

Number of sampled wintertime days within 20 

percent worst visibility days

(maximum of 21 out of 104 monitored days) 

1996 1997 1998 1999 

Acadia NP .................................................................................. ME ........................................... 4 4 2 1 

Denali NP and Preserve ............................................................ AK ............................................ 10 10 12 9 

Mount Rainier NP ...................................................................... WA ........................................... 1 3 1 1 

Rocky Mountain NP ................................................................... CO ........................................... 2 1 2 1 

Sequoia and Kings Canyon NP ................................................. CA ............................................ 4 9 1 8 

Voyageurs NP (1989–1992) ...................................................... MN ........................................... 1989 1990 1991 1992 

3 4 6 8 

—Boundary Waters USFS Wilderness Area (close to 

Voyaguers with recent data).

MN ........................................... 2 5 1 5 

Yellowstone NP ......................................................................... ID, MT, WY .............................. 0 2 0 0 

Source: Letter from Debra C. Miller, Data Analyst, National Park Service, to Drew Kodjak, August 22, 2001. Docket No. A–2000–01, Document Number II–B–28. 

According to the National Park 

Service, ‘‘[s]ignificant differences in 

haziness occur at all eight sites between 

the averages of the clearest and haziest 

days. Differences in mean standard 

visual range on the clearest and haziest 

days fall in the approximate range of 

115–170 km.’’ 27 We examined future air 

quality predictions to whether the 

emissions from recreational vehicles, 

such as snowmobiles, contribute to 

regional visibility impairment in Class I 

areas. We present results from the future 

air quality modeling described above for 

these Class I areas in addition to 

inventory and air quality measurements. 

Specifically, in Table I.E–8, we 

summarize the expected future visibility 

conditions in these areas without these 

regulations.

TABLE I.E–8—ESTIMATED 2030 VISIBILITY IN SELECTED CLASS I AREAS a,b

Class I area County State 

Predicted 

2030 visibility

(annual average deciview) 

Natural background visibility

(annual average deciview) 

Eastern areas .......................................... .......................................... ........................ 9.5 

Acadia ......................................................................... Hancock Co ..................... ME .................................... 23.42 ........................

Boundary Waters ........................................................ St. Louis Co ..................... MN ................................... 22.07 ........................

Voyageurs ................................................................... St. Louis Co ..................... MN ................................... 22.07 ........................

Western areas .......................................... .......................................... ........................ 5.3 

Grand Teton NP ......................................................... Teton Co .......................... WY ................................... 11.97 ........................

Kings Canyon ............................................................. Fresno Co ........................ CA .................................... 10.39 ........................

Mount Rainier ............................................................. Lewis Co .......................... WA ................................... 16.19 ........................

Rocky Mountain .......................................................... Larimer Co ....................... CO .................................... 8.11 ........................

Sequoia-Kings ............................................................. Tulare Co ......................... CA .................................... 9.36 ........................

Yellowstone ................................................................. Teton Co .......................... WY ................................... 11.97 ........................

a Natural background visibility conditions differ by region because of differences in factors such as relative humidity: Eastern natural background is 9.5 deciviews (or visual range of 150 kilometers) and in the West natural background is 5.3 deciviews (or visual range of 230 kilometers). bThe results incorporate earlier emissions estimates from the engines subject to this rule. We have revised our estimates both upwards for 

some categories and downwards for others based on public comment and updated information; however, on net, we believe that HD07 analyses 

would underestimate future PM emissions from these categories. 

The information presented in Table 

I.E–7 shows that visibility data support 

a conclusion that there are at least 8 

Class I Areas (7 national parks and one 

wilderness area) frequented by 

snowmobiles with one or more 

wintertime days within the 20-percent 

worst visibility days of the year, and in 

many cases several days. For example, 

Rocky Mountain National Park in 

Colorado was frequented by about 

27,000 snowmobiles during the 1998–

1999 winter. Of the monitored days 

characterized as within the 20-percent 

worst visibility monitored days, 2 of 

those days occurred during the 

wintertime when snowmobile emissions 

such as hydrocarbons contributed to 

visibility impairment. 

The information in Table I.E–8 shows 

that these areas also are predicted to 

have high annual average deciview 

levels in the future. Emissions from 

snowmobiles and other recreational 

vehicles, as well as other nonroad 

engines contributed to these levels.28

68254 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

29Letter from Debra C. Miller, Data Analyst, 

National Park Service, to Drew Kodjak, August 22, 

2001. Docket No. A–2000–01, Document Number 

II–B–28. 30Emissions of NOX from snowmobiles 

contribute to the total amount of particulate nitrate, 

although the total NOX emissions from 

snowmobiles are considerably less than HC or 

direct PM emissions from these engines. 31Technical Memorandum, Aaron Worstell, 

Environmental Engineer, National Park Service, Air 

Resources Division, Denver, Colorado, particularly 

Table 1. Docket No. A–2000–01, Document Number 

II–G–178.

32Memo to Docket, Mike Samulski. 

‘‘Hydrocarbon Measurements as an Indicator for 

Particulate Matter Emissions in Snowmobiles,’’

with attachments. September 6, 2002, Docket A–

2000–01; Document No. IV–B–42.

Ambient concentrations of fine 

particles are the primary pollutant 

responsible for visibility impairment. 

The classes of fine particles principally 

responsible for visibility impairment are 

sulfates, nitrates, organic carbon 

particles, elemental carbon, and crustal 

material. Hydrocarbon emissions from 

automobiles, trucks, snowmobiles, and 

other industrial processes are common 

sources of organic carbon. The organic 

carbon fraction of fine particles ranges 

from 47 percent in Western areas such 

as Denali National Park, to 28 percent in 

Rocky Mountain National Park, to 13 

percent in Acadia National Park.29

In the winter months, HC emissions 

from snowmobiles can be significant, 

and these HC emissions can be more 

than half of the organic carbon fraction 

of fine particles which are largely 

responsible for visibility impairment. In 

Yellowstone, a park with high 

snowmobile usage during the winter 

months, snowmobile HC emissions can 

exceed 500 tons per year, as much as 

several large stationary sources.30 Other 

parks with less snowmobile traffic are 

also impacted although to a lesser extent 

by these HC emissions.31

Table I.E–9 shows estimated tons of 

four pollutants during the winter season 

in five Class I national parks for which 

we have estimates of snowmobile use. 

The national park areas outside of 

Denali in Alaska are open to 

snowmobile operation in accordance 

with special regulations (36 CFR part 7). 

Denali National Park permits 

snowmobile operation by local rural 

residents engaged in subsistence uses 

(36 CFR part 13).

TABLE I.E–9.—WINTER SEASON SNOWMOBILE EMISSIONS

[tons; 1999 Winter Season] 

NPS unit HC CO NOX PM 

Denali NP & Preserve ............................................................................................................................. >9.8 >26.1 >0.08 >0.24 

Grand Teton NP ...................................................................................................................................... 13.7 36.6 0.1 0.3 

Rocky Mountain NP ................................................................................................................................. 106.7 284.7 0.8 2.6 

Voyageurs NP .......................................................................................................................................... 138.5 369.4 1.1 3.4 

Yellowstone NP ....................................................................................................................................... 492 1311.9 3.8 12 

Source: Letter from Aaron J. Worstell, Environmental Engineer, National Park Service, Air Resources Division, to Drew Kodjak, August 21, 

2001, particularly Table 1. Docket No. A–2000–01, Document No. II–G–178. 

Inventory analysis performed by the 

National Park Service for Yellowstone 

National Park suggests that snowmobile 

emissions are a significant source of 

total annual mobile source emissions for 

the park year round. The proportion of 

snowmobile emissions to emissions 

from other sources affecting air quality 

in these parks is likely to be similar to 

that in Yellowstone. 

Furthermore, public comments from 

an industry-initiated study contained 

modeling showing a 4 to 8 percent 

contribution to perceptible impairment 

from snowmobile exhaust in 

Yellowstone National Park. Although 

we believe the modeling technique may 

not be fully appropriate, the study still 

indicates a significant contribution from 

snowmobiles. EPA conducted 

independent modeling using a more 

appropriate visibility model, and we 

confirmed that snowmobiles would be 

creating perceptible plumes at all park 

entrances, impairing visibility. This 

evidence shows that snowmobiles 

contribute significantly to visibility 

impairment in several Class I areas. 

(C) Regulation of HC Is a Good Proxy for 

Regulation of Fine PM Emissions From 

Current Snowmobile Engines 

We believe the best way to regulate 

the contribution to ambient 

concentrations of fine PM from current 

snowmobile engines is to set standards 

to control HC emissions. The current 

fleet of snowmobiles consists almost 

exclusively of two-stroke engines. Twostroke engines inject lubricating oil into 

the air intake system where it is 

combusted with the air and fuel mixture 

in the combustion chamber. This is 

done to provide lubrication to the piston 

and crankshaft, since the crankcase is 

used as part of the fuel delivery system 

and cannot be used as a sump for oil 

storage as in four-stroke engines. As a 

result, in addition to products of 

incomplete combustion, two-stroke 

engines also emit a mixture of 

uncombusted fuel and lubricant oil. HCrelated emissions from snowmobiles 

increase PM concentrations in two 

ways. Snowmobile engines emit HC 

directly as particles (such as droplets of 

lubricant oil). Snowmobile engines also 

emit HC gases, as well as raw unburned 

HC from the fuel which either 

condenses in cold temperatures to 

particles or reacts chemically to 

transform into particles as it moves in 

the atmosphere. As discussed above, 

fine particles can cause a variety of 

adverse health and welfare effects, 

including visibility impairment. 

We believe measurements of HC 

emissions will serve as a reasonable 

surrogate for measurement of fine 

particles for snowmobiles for several 

reasons. First, emissions of PM and HC 

from these engines are related. Test data 

show that over 70 percent of the average 

volatile organic fraction of PM from a 

typical two-stroke snowmobile engine is 

organic hydrocarbons, largely from 

lubricating oil components.32 The HC 

measurements (which use a 191° C 

heated flame-ionization detector (FID)) 

would capture the volatile component, 

which in ambient temperatures would 

be particles (as droplets).

Second, many of the technologies that 

will be employed to reduce HC 

emissions are expected to reduce PM 

(four-stroke engines, pulse air, and 

direct fuel injection techniques for 

example). The organic emissions are a 

mixture of fuel and oil, and reductions 

in the organic emissions will likely 

yield both HC and PM reductions. HC 

measurements would capture the 

reduction from both the gas and particle 

(at ambient temperature) phases. For 

example, the HC emission factor for a 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68255

33For recreational vehicles, we are adopting 

vehicle-based standards. For these applications, the 

term ‘‘engine’’ in this document applies equally to 

the vehicles.

34The term ‘‘manufacturer’’ includes any 

individual or company that manufactures any new 

engine for sale or otherwise introduces a new 

engine into commerce in the United States. It also 

includes importers for resale.

typical two-stroke snowmobile is 111 g/

hp-hr. The HC emission factor for a 

direct fuel injection engine is 21.8, and 

for a four-stroke is 7.8 g/hp-hr, 

representing a 80-percent and 99-

percent reduction, respectively. 

Similarly, the PM emission factor for a 

typical two-stroke snowmobile is 2.7 g/

hp-hr. The corresponding PM emission 

factor for a direct fuel injection engine 

is 0.57, and for a four-stroke is 0.15 g/

hp-hr, representing a 75 percent and 93 

percent reduction, respectively. 

Thus, manufacturers will generally 

reduce PM emissions as a result of 

reducing HC emissions, making separate 

PM standards less necessary. Moreover, 

PM standards would cover only the PM 

directly emitted at the tailpipe. It would 

not measure the gaseous or semi-volatile 

organic emissions which would 

condense or be converted into PM in the 

atmosphere. The HC measurements 

would also include the gaseous HC 

which would condense or be converted 

into PM in the atmosphere. 

Consequently, the HC measurement 

would be a more comprehensive 

measurement. Also, HC standards 

actually will reduce secondary PM 

emissions that would not necessarily be 

reduced by PM standards. 

Finally, from an implementation 

point of view, PM is not routinely 

measured in snowmobiles. There is no 

currently established protocol for 

measuring PM and substantial technical 

issues would need to be overcome to 

create a new method. Establishing 

additional PM test procedures would 

also entail additional costs for 

manufacturers. HC measurements are 

more routinely performed on these 

types of engines, and these 

measurements currently serve as a more 

reliable basis for setting a numeric 

standard. Thus, we believe that 

regulation of HC is the best way to 

reduce PM emissions and PM 

contributions from current snowmobile 

engines. 

We included a NOX standard for 

snowmobiles. This standard will 

essentially cap NOX emissions from 

these engines to prevent backsliding. 

We are not promulgating standards that 

would require substantial reductions in 

NOX because we believe that standards 

which force substantial NOX reductions 

would likely not lead to reductions in 

PM and may in fact increase PM levels. 

NOX emissions from snowmobiles are 

very small, particularly compared to 

levels of HC. In fact, technologies that 

reduce HC and CO are likely to increase 

levels of NOX and vice versa, because 

technologies to reduce HC and CO 

emissions would result in leaner 

operation. A lean air and fuel mixture 

causes NOX emissions to increase. 

These increases are minor, however, 

compared to the reductions of HC (and 

therefore PM) that result from these 

techniques. 

On the other hand, substantial control 

of NOX emissions may have the countereffect of increasing HC emissions and 

the greater PM emissions associated 

with those HC emissions. The only way 

to reduce NOX emissions from fourstroke engines (at the same time as 

reducing HC and CO levels) would be to 

use a three-way catalytic converter. We 

do not have enough information at this 

time on the durability or safety 

implications of using a three-way 

catalyst with a four-stroke engine in 

snowmobile applications. Three-way 

catalyst technology is well beyond the 

technology reviewed for this rule and 

would need substantial additional 

review before being contemplated for 

snowmobiles. Thus, given the 

overwhelming level of HC compared to 

NOX, and the secondary PM expected to 

result from these levels, it would be 

premature and possibly 

counterproductive to promulgate NOX

standards that require significant NOX

reductions from snowmobiles at this 

time. We have therefore decided to 

structure our long term HC+NOX

standard for 2012 and later model year 

snowmobiles to require only a cap on 

NOX emissions from the advanced 

technology engines which will be the 

dominant technology in the new 

snowmobiles certified at that time.

II. Nonroad: General Provisions 

This section describes general 

provisions concerning the emission 

standards adopted in this final rule and 

the ways in which a manufacturer 

shows compliance with these standards. 

Clean Air Act section 213(a)(3) requires 

us to set standards that achieve the 

greatest degree of emission reduction 

achievable through the application of 

technology that will be available, giving 

appropriate consideration to cost, noise, 

energy, and safety factors. Section 

202(a)(4) provides further authority to 

adopt standards for pollution beyond 

that regulated under section 202(a)(3). 

In addition to emission standards, this 

document describes a variety of other 

provisions necessary for implementing 

the proposed emission-control program 

in an effective way, such as applying for 

certification, labeling engines, and 

meeting warranty requirements. 

The discussions in this section are 

general and are meant to cover all the 

nonroad engines and vehicles subject to 

the new standards. In this Section II, the 

term engine is sometimes used to 

include both nonroad engines and 

nonroad vehicles. Refer to the 

discussions of specific programs, 

contained in Sections III through VI, to 

determine whether the regulations are 

being applied to the entire vehicle or 

just the engine, as well as for more 

information about specific requirements 

for different categories of nonroad 

engines and vehicles. 

This section describes general 

nonroad provisions related to 

certification prior to sale or introduction 

into commerce. Section VII describes 

several compliance provisions that 

apply generally to nonroad engines, and 

Section VIII similarly describes general 

testing provisions. 

A. Scope of Application 

This final rule covers recreational 

marine diesel engines, nonroad sparkignition engines rated over 19 kW, and 

recreational spark-ignition vehicles 

introduced into commerce in the United 

States. The following sections describe 

generally when emission standards 

apply to these products. These 

provisions are generally consistent with 

prior nonroad and motor-vehicle 

rulemakings. Refer to the specific 

program discussion below for more 

information about the scope of 

application and timing of new 

standards. 

1. What Engines and Vehicles Are 

Subject to the Standards? 

The scope of this rule is broadly set 

by Clean Air Act section 213(a), which 

instructs us to set emission standards 

for new nonroad engines and new 

nonroad vehicles. Generally speaking, 

this rule is intended to cover all new 

engines and vehicles in the categories 

listed above (including any associated 

equipment or vessels) for their entire 

useful lives, as defined in the 

regulations.33 Once the emission 

standards apply to a group of engines or 

vehicles, manufacturers of a new engine 

must have an approved certificate of 

conformity from us before selling them 

in the United States.34 This also applies 

to importation by any person and any 

other means of introducing new engines 

and vehicles into commerce. We also 

require equipment manufacturers that 

install engines from other companies to 

install only certified engines into new 

equipment once emission standards 

68256 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

35The definition in Clean Air Act section 216 

applies specifically to ‘‘new motor vehicles,’’ but 

we have interpreted ‘‘new nonroad engine’’

consistently with the definition in section 216.

apply. The information we require of 

manufacturers applying for certification 

(with the corresponding engine labels) 

provides assurance that manufacturers 

have met their obligation to make 

engines that meet emission standards 

over the useful life we specify in the 

regulations.

2. How Do I Know if My Engine or 

Equipment Is New? 

We are defining ‘‘new’’ consistent 

with previous rulemakings. We will 

consider a nonroad engine (or nonroad 

equipment) to be new until its title has 

been transferred to the ultimate 

purchaser or the engine has been placed 

into service. This definition applies to 

both engines and equipment, so the 

nonroad equipment using these engines, 

including all-terrain vehicles, 

snowmobiles, off-highway motorcycles, 

and other land-based nonroad 

equipment will be considered new until 

their title has been transferred to an 

ultimate buyer. In Section II.B.1 we 

describe how to determine the model 

year of individual engines and vehicles. 

To further clarify the definition of 

new nonroad engine, we specify that a 

nonroad engine, vehicle, or equipment 

is placed into service when it is used for 

its intended purpose. An engine subject 

to emission standards is used for its 

functional purpose when it is installed 

in an all-terrain vehicle, snowmobile, 

off-highway motorcycle, marine vessel, 

or other piece of nonroad equipment. 

We need to make this clarification 

because some engines are made by 

modifying a highway or land-based 

nonroad engine that has already been 

installed on a vehicle or other piece of 

equipment. For example, someone can 

install an engine in a recreational 

marine vessel after it has been used for 

its functional purpose as a land-based 

highway or nonroad engine. We believe 

our approach is reasonable because the 

practice of adapting used highway or 

land-based nonroad engines may 

become more common if these engines 

are not subject to emission standards. 

In summary, an engine may be subject 

to emission standards if it is: 

• Freshly manufactured, whether 

domestic or imported; this may include 

engines produced from engine block 

cores 

• Installed for the first time in 

nonroad equipment after having 

powered an automobile or a category of 

nonroad equipment subject to different 

emission standards 

• Installed in new nonroad 

equipment, regardless of the age of the 

engine 

• Imported (freshly manufactured or 

used) and was originally manufactured 

after the effective date of our standards 

3. When Do Imported Engines Need To 

Meet Emission Standards? 

The emission standards apply to all 

new engines sold in the United States. 

Consistent with Clean Air Act section 

216, engines that are imported by any 

person, whether freshly manufactured 

or used are considered ‘‘new’’ engines.35

Thus, we include engines that are 

imported for use in the United States, 

whether they are imported as loose 

engines or if they are already installed 

on a marine vessel, recreational vehicle, 

or other piece of nonroad equipment, 

built elsewhere. All imported engines 

manufactured after our standards begin 

to apply need an EPA-issued certificate 

of conformity to clear customs, with 

limited exemptions (as described 

below).

An engine or marine vessel, 

recreational vehicle, or other piece of 

nonroad equipment that was built after 

emission standards take effect cannot be 

imported without a currently valid 

certificate of conformity. We would 

consider it to be a new engine, vehicle, 

or vessel, which would trigger a 

requirement to comply with the 

applicable emission standards. Thus, for 

example, a marine vessel manufactured 

in a foreign country in 2007, then 

imported into the United States in 2010, 

would be considered ‘‘new.’’ The 

engines on that vessel would have to 

comply with the requirements for the 

2007 model year, assuming no other 

exemptions apply. This provision is 

important to prevent manufacturers 

from avoiding emission standards by 

building vessels or vehicles abroad, 

transferring their title, and then 

importing them as used vessels or 

vehicles. 

Imported engines are generally subject 

to emission standards. However, we are 

not adopting a definition of ‘‘import’’ in 

this regulation. We will defer to the U.S. 

Customs Service for determinations of 

when an engine or vehicle is imported 

into the U.S. 

4. Do the Standards Apply to Exported 

Engines or Vehicles? 

Engines or vehicles intended for 

export are generally not required to 

meet the emission standards or other 

requirements adopted in this rule. 

However, engines that will be exported 

and subsequently re-imported into the 

United States must be covered by a 

certificate of conformity. For example, 

this would occur when a foreign 

company purchases engines 

manufactured in the United States for 

installation on a marine vessel, 

recreational vehicle, or other nonroad 

equipment for export back to the United 

States. Those engines would be subject 

to the emission standards that apply on 

the date the engine was originally 

manufactured. If the engine is later 

modified and certified (or recertified), 

the engine is subject to emission 

standards that apply on the date the 

modification is complete. So, for 

example, foreign boat builders buying 

U.S.-made engines without recertifying 

the engines will need to make sure they 

purchase complying engines for the 

products they sell in the U.S. We also 

do not exempt engines exported to 

countries that share our emission 

standards.

5. Are Any New Engines or Vehicles in 

the Applicable Categories Not Subject to 

Emission Standards of This Rule? 

We are extending our basic nonroad 

exemptions to the engines and vehicles 

covered by this rulemaking. These 

include the testing exemption, the 

manufacturer-owned exemption, the 

display exemption, and the nationalsecurity exemption. These exemptions 

are described in more detail in Section 

VII.C. 

In addition, the Clean Air Act does 

not consider stationary engines or 

engines used solely for competition to 

be nonroad engines, so the emission 

standards do not apply to them. Refer to 

the program discussions below for a 

description of how these exclusions or 

exemptions apply for different 

categories of engines. 

B. Emission Standards and Testing 

1. Which Pollutants Are Covered by 

Emission Standards? 

Engines subject to the exhaust 

emission standards must meet standards 

based on measured levels of specified 

pollutants, such as NOX, HC, or CO, 

though not all engines have standards 

for each pollutant. Diesel engines 

generally must also meet a PM emission 

standard. In addition, there may be 

standards or other requirements for 

crankcase, evaporative, or permeation 

emissions, as described below. 

The emission standards are effective 

on a model-year basis. We define model 

year much like we do for passenger cars. 

It generally means either the calendar 

year or some other annual production 

period based on the manufacturer’s 

production practices. A model year may 

include January 1 from only one year. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68257

For example, manufacturers could start 

selling 2006 model year engines as early 

as January 2, 2005, as long as the 

production period extends until at least 

January 1, 2006. All of a manufacturer’s 

engines from a given model year must 

meet emission standards for that model 

year. For example, manufacturers 

producing new engines in the 2006 

model year need to comply with the 

2006 standards. The model year of a 

particular engine is determined based 

on the date that the engine is fully 

assembled. In the case of recreational 

vehicles, this generally applies to the 

final assembly of the whole vehicle, 

since the emission standards apply to 

the vehicle. Refer to the individual 

program discussions below or the 

regulations for additional information 

about model year periods, including 

how to define what model year means 

in less common scenarios, such as 

installing used engines in new 

equipment. 

2. What Standards Apply to Crankcase, 

Evaporative, Permeation, and Other 

Emissions? 

Blow-by of combustion gases and the 

reciprocating action of the piston can 

cause exhaust emissions to accumulate 

in the crankcase of four-stroke engines. 

Uncontrolled engine designs route these 

vapors directly to the atmosphere, 

where they contribute to ambient levels 

of hydrocarbons. We have long required 

that automotive engines prevent 

emissions from their crankcases. 

Manufacturers typically do this by 

routing crankcase vapors through a 

valve into the engine’s air intake system. 

We generally require in this rulemaking 

that engines control crankcase 

emissions. 

Vehicles with spark-ignition engines 

use fuel that is volatile and the 

unburned fuel can be released into the 

ambient air. We are adopting standards 

to limit evaporative emissions from the 

fuel. Evaporative emissions result from 

heating gasoline or other volatile fuels 

in a tank that is vented to the 

atmosphere or from permeation through 

plastic fuel tanks and rubber hoses. 

Section IV describes the permeation 

standards for recreational vehicles. 

Section V provides additional 

information on the evaporative emission 

standards for Large SI engines. 

We are also adopting a general 

requirement that all engines subject to 

this final rule may not cause or 

contribute to an unreasonable risk to 

public health, welfare, or safety, 

especially with respect to noxious or 

toxic emissions that may increase as a 

result of emission-control technologies. 

The regulatory language has been 

modified consistent with the alternate 

language suggested in the proposal. This 

alternate language implements sections 

202(a)(4) and 206(a)(3) of the Act and 

clarifies that the purpose of this 

requirement is to prevent control 

technologies that would cause 

unreasonable risks, rather than to 

prevent trace emissions of any noxious 

compounds. For example, this 

requirement would prevent the use of 

emission-control technologies that 

produce high levels of pollutants for 

which we have not set emission 

standards, but nevertheless pose a risk 

to the public. However, it should be 

noted that this would generally not 

apply to exhaust gas recirculation 

systems on gasoline- or diesel-fueled 

engines. 

3. What Duty Cycles Is EPA Adopting 

for Emission Testing? 

Testing an engine for exhaust 

emissions typically consists of 

exercising it over a prescribed duty 

cycle of speeds and loads, typically 

using an engine or chassis 

dynamometer. The duty cycle used to 

measure emissions for certification, 

which is generally derived from typical 

operation from the field, is critical in 

evaluating the likely emissions 

performance of engines designed to 

emission standards. Testing for 

recreational marine diesel engines and 

Large SI engines may also include 

additional operation not included in the 

specific duty cycles. 

Steady-state testing consists of engine 

operation for an extended period at 

several speed-load combinations. 

Associated with these test points are 

weighting factors that allow calculation 

of a single weighted-average steady-state 

emission level in g/kW. Transient 

testing involves a continuous trace of 

specified engine or vehicle operation; 

emissions are collected over the whole 

testing period for a single mass 

measurement. 

See Section VIII.C for a discussion of 

how we define maximum test speed and 

intermediate speed for engine testing. 

Refer to the program discussions below 

for more information about the type of 

duty cycle required for testing the 

various engines and vehicles. Those 

sections also include information 

regarding testing provisions that do not 

rely on specific operating cycles (i.e., 

field-testing, not-to exceed testing, and 

evaporative testing). 

4. How Do Adjustable Engine 

Parameters Affect Emission Testing? 

Many engines are designed with 

components that can be adjusted for 

optimum performance under changing 

conditions, such as varying fuel quality, 

high altitude, or engine wear. Examples 

of adjustable parameters include spark 

timing, idle-speed setting, and fuelinjection timing. While we recognize the 

need for this practice, we are also 

concerned that engines maintain an 

appropriate level of emission control for 

the whole range of adjustability. 

Manufacturers must therefore show that 

their engines meet emission standards 

over the full adjustment range. 

Manufacturers must also provide a 

physical stop to prevent adjustment 

outside the established range. Operators 

are then prohibited by the antitampering provisions from adjusting 

engines outside this range.

5. What Are Voluntary Low-Emission 

Engines and Blue Sky Standards? 

Several state and environmental 

groups and manufacturers of emission 

controls have supported our efforts to 

develop incentive programs to 

encourage engine technologies that go 

beyond federal emission standards. 

Some companies have already 

significantly developed these 

technologies. In the final rule for landbased nonroad diesel engines, we 

included a program of voluntary 

standards for low-emitting engines, 

referring to these as ‘‘Blue Sky Series’’

engines (63 FR 56967, October 23, 

1998). We included similar programs for 

commercial marine diesel engines. The 

general purposes of such programs are 

to provide incentives to manufacturers 

to produce clean products, as well as to 

create market choices and opportunities 

for environmental information for 

consumers regarding such products. 

We are adopting voluntary Blue Sky 

Series standards for some of the engines 

subject to this final rule. Creating a 

program of voluntary standards for lowemitting engines, including testing and 

durability provisions to help ensure 

adequate in-use performance, will be a 

step forward in advancing emissioncontrol technologies. While these are 

voluntary standards, they become 

binding once a manufacturer chooses to 

participate. EPA certification will 

therefore provide protection against 

false claims of environmentally 

beneficial products. 

C. Demonstrating Compliance 

We are adopting a compliance 

program to accompany the final 

emission standards. This consists first of 

a process for demonstrating that new 

engine models comply with the 

emission standards. In addition to newengine testing, several provisions ensure 

that emission-control systems will 

continue to function over long-term 

68258 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

operation in the field. Most of these 

certification provisions are consistent 

with previous rulemakings for other 

nonroad engines. Refer to the discussion 

of the specific programs below for 

additional information about these 

requirements for each engine category. 

1. How Do I Certify My Engines? 

We are adopting a certification 

process similar to that already 

established for other nonroad engines. 

Manufacturers generally test 

representative prototype engines and 

submit the emission data along with 

other information to EPA in an 

application for a Certificate of 

Conformity. If we approve the 

application, EPA issues a Certificate of 

Conformity which allows the 

manufacturer to produce and sell the 

engines described in the application in 

the U.S. 

Manufacturers certify their engine 

models by grouping them into engine 

families that have similar emission 

characteristics. The engine family 

definition is fundamental to the 

certification process and to a large 

degree determines the amount of testing 

required for certification. The 

regulations include specific engine 

characteristics for grouping engine 

families for each category of engines. To 

address a manufacturer’s unique 

product mix, we may approve using 

broader or narrower engine families. 

Engine manufacturers are responsible 

to build engines that meet the emission 

standards over each engine’s useful life. 

The useful life we adopt by regulation 

is intended to reflect the period during 

which engines are designed to properly 

function without being remanufactured 

or the average service life. Useful life 

values, which are expressed in terms of 

years or amount of operation (in hours 

or kilometers), vary by engine category, 

as described in the following sections. 

Consistent with other recent EPA 

programs, we generally consider this 

useful life value in amount of operation 

to be a minimum value, requiring 

manufacturers to comply for a longer 

period in those cases where their 

engines operate longer than the 

minimum useful life. 

The emission-data engine is the 

engine from an engine family that will 

be used for certification testing. To 

ensure that all engines in the family 

meet the standards, manufacturers must 

select the engine most likely to exceed 

emission standards in a family for 

certification testing. In selecting this 

‘‘worst-case’’ engine, the manufacturer 

uses good engineering judgment. 

Manufacturers consider, for example, all 

engine configurations and power ratings 

within the engine family and the range 

of installed options allowed. Requiring 

the worst-case engine to be tested helps 

the manufacturer be sure that all 

engines within the engine family are 

complying with emission standards. 

Manufacturers estimate the rate of 

deterioration for each engine family 

over its useful life and show that 

engines continue to meet standards after 

incorporating the estimated 

deterioration. We may also test the 

engines ourselves. 

Manufacturers must include in their 

application for certification the results 

of emission tests showing that the 

engine family meets emission standards. 

In addition, we may ask the 

manufacturer to include any additional 

data from their emission-data engines, 

including any diagnostic-type 

measurements (such as ppm testing) and 

invalidated tests. This complete set of 

test data ensures that the valid tests 

forming the basis of the manufacturer’s 

application are a robust indicator of 

emission-control performance, rather 

than a spurious or incidental test result. 

We are adopting test-fuel 

specifications intended to represent inuse fuels. Engines must be able to meet 

the standards on fuels with properties 

anywhere in the specified ranges. The 

test fuel is generally to be used for all 

testing associated with the regulations, 

including certification, production-line 

testing, and in-use testing. Refer to the 

program discussions below related to 

test fuel specifications. 

We require engine manufacturers to 

give engine buyers instructions for 

properly maintaining their engines. We 

are including limitations on the 

frequency of scheduled maintenance 

that a manufacturer may specify for 

emission-related components to help 

ensure that emission-control systems 

don’t depend on an unreasonable 

expectation of maintenance in the field. 

These maintenance limits also apply 

during any service accumulation that a 

manufacturer may do to establish 

deterioration factors. This approach is 

common to all our engine programs. It 

is important to note, however, that these 

provisions don’t limit the maintenance 

an operator may perform; it merely 

limits the maintenance that operators 

can be expected to perform on a 

regularly scheduled basis. Refer to the 

discussion of the specific programs 

below for additional information about 

the allowable maintenance intervals for 

each category of engines. 

Once an engine family is certified, we 

require every engine a manufacturer 

produces from the engine family to have 

a label with basic identifying 

information. The design and content of 

engine labels is specified in the 

regulations. 

2. What Warranty Requirements Apply 

to Certified Engines? 

Consistent with our current emissioncontrol programs, manufacturers must 

provide a design and defect warranty 

covering emission-related components 

for a minimum period specified in the 

regulations. This minimum period is 

generally half of the useful life period. 

The regulations also provide that the 

manufacturer’s emission warranty 

period could be adjusted to a value 

higher than the minimum period for 

those cases where the manufacturer 

provides a longer mechanical warranty 

for the engine or any of its components; 

this includes extended warranties that 

are available for an extra price. Any 

such adjustment would be dependent 

on the average service life of the vehicle 

as well. The manufacturer generally 

does not need to include scheduled 

maintenance or other routine 

maintenance under the emission 

warranty. See the regulation language 

for a detailed description of the 

components that are considered to be 

emission-related. 

If an operator makes a valid warranty 

claim for an emission-related 

component during the warranty period, 

the engine manufacturer is generally 

obligated to replace the component at 

no charge to the operator. The engine 

manufacturer may deny warranty 

claims, however, if the operator caused 

the component failure by misusing the 

engine or failing to do necessary 

maintenance. 

We are also adopting a defect 

reporting requirement that applies 

separate from the emission-related 

warranty (see Section VII.F). In general, 

defect reporting applies when a 

manufacturer discovers a pattern of 

component failures, whether that 

information comes from warranty 

claims, voluntary investigation of 

product quality, or other sources. 

3. Can I Use Emission Averaging To 

Show That I Meet Emission Standards? 

Many of our mobile source emissioncontrol programs include voluntary use 

of emission credits to facilitate 

implementation of emission controls. 

An emission-credit program is an 

important factor we take into 

consideration in setting emission 

standards that are appropriate under 

Clean Air Act section 213. An emissioncredit program can improve the 

technological feasibility and reduce the 

cost of achieving standards, allowing us 

to consider a more stringent emission 

standard than might otherwise be 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68259

36We consider an engine to be randomly selected 

if it undergoes normal assembly and manufacturing 

procedures. An engine is not randomly selected if 

it has been built with any kind of special 

components or procedures.

appropriate, including a compliance 

date for the standards earlier than 

would otherwise be appropriate. 

Manufacturers gain flexibility in 

product planning and introduction of 

product lines meeting a new standard. 

Emission-credit programs also create an 

incentive for the early introduction of 

new technology, which allows certain 

engine families to act as trailblazers for 

new technology. This can help provide 

valuable information to manufacturers 

on the technology before they apply the 

technology throughout their product 

line. This early introduction of clean 

technology improves the feasibility of 

achieving the standards and can provide 

valuable information for use in other 

regulatory programs that may benefit 

from similar technologies. 

Emission-credit programs may 

involve averaging, banking, or trading. 

Averaging allows a manufacturer to 

certify one or more engine families at 

emission levels above the applicable 

emission standards, as long as the 

increased emissions from that engine 

family are offset by one or more engine 

families certified below the applicable 

standards. The over-complying engine 

families generate credits that are used 

by the under-complying engine families. 

Compliance is determined taking into 

account differences in production 

volume, power and useful life among 

engine families. The average of all the 

engine families for a particular 

manufacturer’s production must be at or 

below the level of the applicable 

emission standards. This calculation 

generally factors in sales-weighted 

average power, production volume, and 

useful life. Banking allows a 

manufacturer to generate emission 

credits and bank them for future use in 

its own averaging program in later years. 

Trading allows transfer of credits to 

another company. 

In general, a manufacturer choosing to 

participate in an emission-credit 

program certifies each participating 

engine family to a Family Emission 

Limit. In its certification application, a 

manufacturer determines a separate 

Family Emission Limit for each 

pollutant included in the emissioncredit program. The Family Emission 

Limit selected by the manufacturer 

becomes the emission standard for each 

engine in that engine family. Emission 

credits are based on the difference 

between the emission standard that 

applies to the family and the Family 

Emission Limit. Manufacturers must 

meet the Family Emission Limit for all 

emission testing of any engine in that 

family. At the end of the model year, 

manufacturers must show that the net 

effect of all their engine families 

participating in the emission-credit 

program is a zero balance or a net 

positive balance of credits. A 

manufacturer may generally choose to 

include only a single pollutant from an 

engine family in the emission-credit 

program or, alternatively, to establish a 

Family Emission Limit for each of the 

regulated pollutants. Refer to the 

program discussions below for more 

information about emission-credit 

provisions for individual engine 

categories.

4. What Are the Production-Line Testing 

Requirements? 

We are adopting production-line 

testing requirements for recreational 

marine diesel engines, recreational 

vehicles, and Large SI engines. 

Manufacturers must routinely test 

production-line engines to help ensure 

that newly assembled engines control 

emissions at least as well as the 

emission-data engines tested for 

certification. Production-line testing 

serves as a quality-control step, 

providing information to allow early 

detection of any problems with the 

design or assembly of freshly 

manufactured engines. This is different 

than selective enforcement auditing, in 

which we would give a test order for 

more rigorous testing for a small subset 

of production-line engines in a 

particular engine family (see Section 

VII.E). Production-line testing 

requirements are already common to 

several categories of nonroad engines as 

part of their emission-control program. 

If an engine fails to meet an emission 

standard, the manufacturer must modify 

it to bring that specific engine into 

compliance. Manufacturers may adjust 

the engine family’s Family Emission 

Limit to take into account the results 

from production-line testing (if 

applicable). If too many engines exceed 

emission standards, this indicates it is 

more of a family-wide problem and the 

manufacturer must correct the problem 

for all affected engines. The remedy may 

involve changes to assembly procedures 

or engine design, but the manufacturer 

must, in any case, do sufficient testing 

to show that the engine family complies 

with emission standards before 

producing more engines. The remedy 

may also need to address engines 

already produced since the last showing 

that production-line engines met 

emission standards. 

The production-line testing programs 

for Large SI engines and for recreational 

vehicles depend on the Cumulative Sum 

(CumSum) statistical process for 

determining the number of engines a 

manufacturer needs to test (see the 

regulations for the specific calculation 

methodology). Each manufacturer 

generally selects engines randomly at 

the beginning of each new quarter.36 If 

engines must be tested at a facility 

where final assembly is not yet 

completed, manufacturers must 

randomly select engine components and 

assemble the test engine according to 

their established assembly instructions. 

The Cumulative Sum program uses the 

emission results to calculate the number 

of tests required for the remainder of the 

year to reach a pass or fail 

determination for production-line 

testing. If tested engines have emissions 

close to the standard, the statistical 

sampling method calls for an increased 

number of tests to show whether to 

make a pass or fail determination for the 

engine family. The remaining number of 

tests is recalculated after the 

manufacturer tests each engine. Engines 

selected should cover the broadest range 

of production configurations possible. 

Tests should also be distributed evenly 

throughout the sampling period to the 

extent possible.

If an engine family fails the 

production-line testing criteria, we may 

suspend the Certificate of Conformity. 

Under the CumSum approach, 

individual engines can exceed the 

emission standards without causing the 

whole engine family to exceed the 

production-line testing criteria. The 

production-line testing criteria are 

designed to determine if there is a 

problem that applies broadly across the 

engine family. Whether or not the 

production-line testing criteria are met, 

manufacturers must adjust or repair 

every failing engine and retest it to show 

that it meets the emission standards. 

Note also that all production-line 

emission measurements must be 

included in the periodic reports to us. 

This includes any type of screening or 

surveillance tests (including ppm 

measurements), all data points for 

evaluating whether an engine controls 

emissions ‘‘off-cycle,’’ and any engine 

tests that exceed the minimum required 

level of testing. 

The regulations allow us to reduce 

testing requirements for engine families 

that consistently pass the productionline testing criteria. For engine families 

that pass all of the production-line test 

requirements for two consecutive years, 

the manufacturer may request a reduced 

testing rate. The minimum testing rate is 

one test per engine family for one year. 

Our approval for a reduced testing rate 

may be limited to a single model year, 

68260 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

37Almost all recreational vehicles are equipped 

with spark-ignition engines. Any diesel engines 

used in these applications must meet our emission 

standards for nonroad diesel engines.

but manufacturers may continue to 

request reduced testing rates. 

As we have concluded in other engine 

programs, some manufacturers may 

have unique circumstances that call for 

different methods to show that 

production engines comply with 

emission standards. A manufacturer 

may therefore suggest an alternate plan 

for testing production-line engines, as 

long as the alternate program is as 

effective at ensuring that the engines 

will comply. A manufacturer’s petition 

to use an alternate plan should address 

the need for the alternative and should 

justify any changes from the regular 

testing program. The petition must also 

describe in detail the equivalent 

thresholds and failure rates for the 

alternate plan. If we approve the plan, 

we will use these criteria to determine 

when an engine family passes or fails 

the production-line testing criteria. It is 

important to note that this allowance is 

intended only as a flexibility, and is not 

intended to affect the stringency of the 

standards or the production-line testing 

program. 

Refer to the specific program 

discussions below for additional 

information about production-line 

testing for different types of engines. 

D. Other Concepts 

1. What Are Emission-Related 

Installation Instructions? 

Manufacturers selling loose engines to 

equipment manufacturers must develop 

a set of emission-related installation 

instructions. These instructions include 

anything the installer needs to know to 

ensure that the engine operates within 

its certified design configuration. For 

example, the installation instructions 

could specify a total capacity needed 

from the engine cooling system, 

placement of catalysts after final 

assembly, or specification of parts 

needed to control evaporative or 

permeation emissions. We approve 

emission-related installation 

instructions as part of the certification 

process. If equipment manufacturers fail 

to follow the established emissionrelated installation instructions, we will 

consider this tampering, which may 

subject them to significant civil 

penalties. Refer to the program 

discussions below for more information 

about specific provisions related to 

installation instructions. 

2. Are There Special Provisions for 

Small Manufacturers of These Engines 

and Vehicles? 

The scope of this rule includes many 

engine and vehicle manufacturers that 

have previously not been subject to our 

mobile source regulations or 

certification process. Some of these 

manufacturers are small businesses, 

with unique concerns relating to the 

compliance burden from the general 

regulating program. The sections 

describing the emission-control program 

include discussion of special 

compliance provisions designed to 

address this for the different engine 

categories.

III. Recreational Vehicles and Engines 

A. Overview 

We are adopting new exhaust 

emission standards for snowmobiles, 

off-highway motorcycles, and all-terrain 

vehicles (ATVs). The engines used in 

these vehicles are a subset of nonroad SI 

engines.37 In our program to set exhaust 

emission standards for nonroad sparkignition engines below 19 kW (Small 

SI), we excluded recreational vehicles 

because they have different design 

characteristics and usage patterns than 

certain other engines in the Small SI 

category. For example, engines typically 

found in the Small SI category are used 

in lawn mowers, chainsaws, trimmers, 

and other lawn and garden applications. 

These engines tend to have low power 

outputs and operate at constant loads 

and speeds, whereas recreational 

vehicles can have high power outputs 

with highly variable engine loads and 

speeds. This suggests that these engines 

should be regulated differently than 

Small SI engines. In the same way, we 

treat snowmobiles, off-highway 

motorcycles, and ATVs separately from 

our Large SI engine program, which is 

described in Section V. Recreational 

vehicles that are not snowmobiles, offhighway motorcycles, or ATVs, will be 

subject to the standards that otherwise 

apply to small nonroad spark-ignition 

engines (see Section III.B.2).

We are adopting exhaust emission 

standards for HC and CO from all 

recreational vehicles. We are adopting 

an additional requirement to control 

NOX from off-highway motorcycles and 

ATVs. We believe that vehicle and 

engine manufacturers will be able to use 

technology already established for other 

types of engines, such as highway 

motorcycles, small spark-ignition 

engines, and marine engines, to meet 

these standards. We recognize that some 

small businesses manufacture 

recreational vehicles; we are therefore 

adopting several special compliance 

provisions to reduce the burden of 

emission regulations on small 

businesses. 

1. What Are Recreational Vehicles and 

Who Makes Them? 

We are adopting new exhaust 

emission standards for off-highway 

motorcycles, ATVs, and snowmobiles. 

Eight large manufacturers dominate the 

sales of these recreational vehicles. Of 

these eight manufacturers, seven of 

them manufacture two or more of the 

three main types of recreational 

vehicles. For example, there are four 

companies that manufacture both offhighway motorcycles and ATVs. There 

are three companies that manufacture 

ATVs and snowmobiles; one company 

manufactures all three. These eight 

companies represent approximately 95 

percent of all domestic sales of 

recreational vehicles. 

a. Off-highway motorcycles.

Motorcycles are two-wheeled, selfpowered vehicles that come in a variety 

of configurations and styles. Offhighway motorcycles are similar in 

appearance to highway motorcycles, but 

there are several important distinctions 

between the two types of machines. Offhighway motorcycles are not street-legal 

and are primarily operated on public 

and private lands over trails and open 

areas. A significant number are used in 

competition events. Off-highway 

motorcycles tend to be much smaller, 

lighter and more maneuverable than 

their larger highway counterparts. They 

are equipped with relatively smalldisplacement single-cylinder two- or 

four-stroke engines ranging from 48 to 

650 cubic centimeters (cc) in size. The 

exhaust systems for off-highway 

motorcycles are distinctively routed 

high on the frame to prevent damage 

from brush, rocks, and water. Offhighway motorcycles are designed to be 

operated over varying surfaces, such as 

dirt, sand, or mud, and are equipped 

with knobby tires to give better traction 

in off-road conditions. Unlike highway 

motorcycles, off-highway motorcycles 

have fenders mounted far from the 

wheels and closer to the rider to keep 

dirt and mud from spraying the rider 

and clogging between the fender and 

tire. Off-highway motorcycles are also 

equipped with more advanced 

suspension systems than those for 

highway motorcycles. This allows the 

operator to ride over obstacles and make 

jumps safely. 

Five companies dominate sales of offhighway motorcycles. They are longestablished, large corporations that 

manufacture several different products 

including highway and off-highway 

motorcycles. These five companies 

account for 90 to 95 percent of all 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68261

38Notice to Off-Highway Recreational Vehicle 

Manufacturers and All Other Interested Parties 

Regarding Alternate Emission Standards for AllTerrain Vehicles, Mail Out #95–16, April 28, 1995, California ARB (Docket A–2000–01, document II–

D–06).

domestic sales of off-highway 

motorcycles. There are also several 

relatively small companies that 

manufacture off-highway motorcycles, 

many of which specialize in 

competition machines. 

b. All-terrain vehicles. The earliest 

ATVs were three-wheeled off-highway 

models with large balloon tires that 

existed in the early 1970’s. Due to safety 

concerns, the three-wheeled ATVs were 

phased-out in the mid-1980s and 

replaced by the current and more 

popular four-wheeled vehicle known as 

‘‘quad runners’’ or simply ‘‘quads.’’

Quads resemble the earlier threewheeled ATVs except that the single 

front wheel was replaced with two 

wheels. The ATV steering system uses 

motorcycle handlebars, rather than a 

steering wheel. The operator sits on and 

rides the quad much like a motorcycle. 

The engines used in quads tend to be 

very similar to those used in offhighway motorcycles—relatively small, 

single-cylinder two- or four-stroke 

engines. Quads are typically divided 

into utility and sport models. The utility 

quads are designed for multi-function 

use and have the ability to perform 

many utility functions, such as plowing 

snow, tilling gardens, and mowing 

lawns in addition to use for recreational 

riding. They are typically heavier and 

equipped with relatively large fourstroke engines and automatic 

transmissions with a reverse gear. Sport 

quads are smaller and lighter and 

designed primarily for recreational 

purposes. They are equipped with twoor four-stroke engines and manual 

transmissions. Presently utility ATVs 

comprise about 75 percent of the market 

and sport models about 25 percent. 

Of all of the types of recreational 

vehicles, ATVs have the largest number 

of major manufacturers. All but one of 

the companies noted above for offhighway motorcycles and below for 

snowmobiles are significant ATV 

producers. These seven companies 

represent over 95 percent of total 

domestic ATV sales. The remaining 5 

percent of sales come from importers, 

which tend to import less expensive, 

youth-oriented ATVs. 

As discussed below, we are requiring 

utility vehicles capable of speeds above 

25 mph to comply the regulations for 

ATVs. 

c. Snowmobiles. Snowmobiles, also 

referred to as ‘‘sleds,’’ are tracked 

vehicles designed to operate over snow. 

Snowmobiles have some similarities to 

off-highway motorcycles and ATVs. A 

snowmobile rider sits on and rides a 

snowmobile similar to an ATV. 

Snowmobiles use high-powered twoand three-cylinder two-stroke engines 

that look similar to off-highway 

motorcycle engines. Rather than wheels, 

snowmobiles are propelled by a track 

system similar to what is used on a 

bulldozer. The snowmobile is steered by 

two skis at the front of the sled. 

Snowmobiles use handlebars similar to 

off-highway motorcycles and ATVs. The 

typical snowmobile seats two riders 

comfortably. Over the years, 

snowmobile performance has steadily 

increased to the point that many 

snowmobiles currently have engines 

over 100 horsepower and are capable of 

exceeding 100 miles per hour. The 

definition for snowmobiles includes a 

limit of 1.5-meter width to differentiate 

conventional snowmobiles from icegrooming machines and snow coaches, 

which use very different engines. 

There are four major snowmobile 

manufacturers, accounting for more 

than 99 percent of all domestic sales. 

The remaining sales come from very 

small manufacturers who tend to 

specialize in high-performance designs. 

d. Other recreational vehicles.

Currently, our Small SI nonroad engine 

regulations cover all recreational 

engines that are under 19 kW (25 hp) 

and have either an installed speed 

governor or a maximum engine speed 

less than 5,000 revolutions per minute 

(rpm). Recreational vehicles currently 

covered by the Small SI standards 

include go-carts, golf carts, and small 

mini-bikes. Although some off-highway 

motorcycles, ATVs and snowmobiles 

have engines with rated horsepower less 

than 19 kW, they all have maximum 

engine speeds greater than 5,000 rpm. 

Thus they have not been included in the 

Small SI regulations. The only other 

types of small recreational engines not 

covered by the Small SI rule are those 

engines under 19 kW that aren’t 

governed and have maximum engine 

speed of at least 5,000 rpm. There are 

relatively few such vehicles with 

recreational engines not covered by the 

Small SI regulations. The best example 

of vehicles that fit in this category are 

stand-on scooters and skateboards that 

have been equipped with very small 

gasoline spark-ignition engines. The 

engines used on these vehicles are 

typically the same as those used in 

string trimmers or other lawn and 

garden equipment, which are covered 

under the Small SI regulations. Because 

these engines are generally already 

covered by the Small SI regulations and 

are the same as, or very similar to, 

engines as those used in lawn and 

garden applications, we are revising the 

Small SI rules to cover these engines 

under the Small SI regulations. To avoid 

any problems in transitioning to meet 

emission standards, we are applying 

these standards beginning in 2006. We 

did not receive any comments on this 

approach. 

2. What Is the Regulatory History for 

Recreational Vehicles? 

The California Air Resources Board 

(California ARB) established standards 

for off-highway motorcycles and ATVs, 

which took effect in January 1997 (1999 

for vehicles with engines of 90 cc or 

less). California has not adopted 

standards for snowmobiles. The 

standards, shown in Table III.A–1, are 

based on the highway motorcycle 

chassis test procedures. Manufacturers 

may certify ATVs to optional standards, 

also shown in Table III.A–1, which are 

based on the utility engine test 

procedure.38 This is the test procedure 

over which Small SI engines are tested. 

The stringency level of the standards 

was based on the emission performance 

of small four-stroke engines and 

advanced two-stroke engines with a 

catalytic converter. California ARB 

anticipated that the standards would be 

met initially by using high-performance 

four-stroke engines.

III.A–1—CALIFORNIA OFF-HIGHWAY MOTORCYCLE AND ATV STANDARDS FOR MODEL YEAR 1997 AND LATER

[1999 and later for engines at or below 90 cc] 

HC NOX CO PM 

Off-highway motorcycle and ATV standards (g/km) ........................................ a 1.2 ........................ 15 ........................

68262 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

39 Initial Statement of Reasons, Public Hearing to 

Consider Amendments to the California Regulations 

for New 1997 and Later Off-highway Recreational 

Vehicles and Engines, California ARB, October 23, 

1998 (Docket A–2000–01, document II–D–08).

40Otto-cycle is another name for a reciprocating, 

internal-combustion engine that uses a spark to 

ignite a homogeneous air and fuel mixture, in 

which air-fuel mixing may occur inside or outside 

the combustion chamber.

41Snowmobiles use continuously variable 

transmissions, which tend to operate like torque 

converters.

HC + NOX CO PM 

Optional standards for ATV engines below 225 cc (g/bhp–hr) ................................................... a 12.0 300 ........................

Optional standards for ATV engines at or above 225 cc (g/bhp–hr) .......................................... a 10.0 300 ........................

a Corporate-average standard. 

California revisited the program 

because a lack of certified off-highway 

motorcycles from manufacturers was 

reportedly creating economic hardship 

for dealerships. The number of certified 

off-highway motorcycle models was 

particularly inadequate.39 In 1998, 

California revised the program, allowing 

the uncertified products in off-highway 

vehicle recreation areas with regional/

seasonal use restrictions. Currently, 

noncomplying vehicles may be sold in 

California and used in attainment areas 

year-round and in nonattainment areas 

during months when exceedances of the 

state ozone standard are not expected. 

For enforcement purposes, certified and 

uncertified products are identified with 

green and red stickers, respectively. 

Only about one-third of off-highway 

motorcycles selling in California are 

certified. All certified products have 

four-stroke engines.

B. Engines Covered by This Rule 

We are adopting new emission 

standards for new off-highway 

motorcycles, ATVs, and snowmobiles. 

(We are also applying existing Small SI 

emission standards to other recreational 

equipment, as described above.) The 

engines used in recreational vehicles 

tend to be small, air- or liquid-cooled, 

reciprocating Otto-cycle engines that 

operate on gasoline.40 Engines used in 

vehicle applications experience engine 

performance that is characterized by 

highly transient operation, with a wide 

range of engine speed and load 

capability. Maximum engine speed are 

typically well above 5,000 rpm. Also, 

with the exception of snowmobiles, the 

vehicles are typically equipped with 

transmissions rather than torque 

converters to ensure performance under 

a variety of operating conditions.41

1. Two-Stroke vs. Four-Stroke Engines 

The engines used by recreational 

vehicles can be separated into two 

distinct designs: two-stroke and fourstroke. The distinction between twostroke and four-stroke engines is 

important for emissions because twostroke engines tend to emit much greater 

amounts of unburned HC and PM than 

four-stroke engines of similar size and 

power. Two-stroke engines have lower 

NOX emissions than do four-stroke 

engines because they experience a 

significant amount of internal exhaust 

gas recirculation resulting from exhaust 

gases being drawn back into the 

combustion chamber on the piston’s 

downward stroke while the exhaust port 

is uncovered. Exhaust gas is inert and 

displaces fresh fuel and air that could 

otherwise be combusted, which creates 

lower in-cylinder temperatures and thus 

less NOX. Two-stroke engines also have 

greater fuel consumption than fourstroke engines, but they also tend to 

have higher power output per-unit 

displacement, lighter weight, and better 

cold-starting performance. These, and 

other characteristics, tend to make twostroke engines popular as a power unit 

for recreational vehicles. With the 

exception of a few youth and touring 

models, almost all snowmobiles use 

two-stroke engines. Currently, about 63 

percent of all off-highway motorcycles 

(predominantly in high-performance, 

youth, and entry-level bikes) and 20 

percent of all ATVs sold in the United 

States use two-stroke engines. 

The basis for the differences in engine 

performance and exhaust emissions 

between two-stroke and four-stroke 

engines can be found in the 

fundamental differences in how twostroke and four-stroke engines operate. 

Four-stroke operation takes place in four 

distinct steps: intake, compression, 

power, and exhaust. Each step 

corresponds to one up or down stroke 

of the piston or 180° of crankshaft 

rotation. The first step of the cycle is for 

an intake valve in the combustion 

chamber to open during the intake 

stroke, allowing a mixture of air and 

fuel to be drawn into the cylinder while 

the piston moves down the cylinder. 

The intake valve then closes and the 

momentum of the crankshaft causes the 

piston to move back up the cylinder, 

compressing the air and fuel mixture. At 

the very end of the compression stroke, 

the air and fuel mixture is ignited by a 

spark from a spark plug and begins to 

burn. As the air and fuel mixture burns, 

increasing temperature and pressure 

cause the piston to move back down the 

cylinder. This is referred to as the 

‘‘power’’ stroke. At the bottom of the 

power stroke, an exhaust valve opens in 

the combustion chamber and as the 

piston moves back up the cylinder, the 

burnt gases are pushed out through the 

exhaust valve to the exhaust manifold, 

and the cycle is complete. 

In a four-stroke engine, combustion 

and the resulting power stroke occur 

only once every two revolutions of the 

crankshaft. In a two-stroke engine, 

combustion occurs every revolution of 

the crankshaft. Two-stroke engines 

eliminate the intake and exhaust 

strokes, leaving only compression and 

power strokes. This is due to the fact 

that two-stroke engines do not use 

intake and exhaust valves. Instead, they 

have intake and exhaust ports in the 

sides of the cylinder walls. With a twostroke engine, as the piston approaches 

the bottom of the power stroke, it 

uncovers exhaust ports in the wall of 

the cylinder. The high pressure 

combustion gases blow into the exhaust 

manifold. As the piston gets closer to 

the bottom of the power stroke, the 

intake ports are uncovered, and fresh 

mixture of air and fuel are forced into 

the cylinder while the exhaust ports are 

still open. Exhaust gas is ‘‘scavenged’’ or 

forced into the exhaust by the pressure 

of the incoming charge of fresh air and 

fuel. In the process, however, some 

mixing between the exhaust gas and the 

fresh charge of air and fuel takes place, 

so that some of the fresh charge is also 

emitted in the exhaust. Losing part of 

the fuel out of the exhaust during 

scavenging causes very high 

hydrocarbon emission characteristics of 

two-stroke engines. The other major 

reason for high HC emissions from twostroke engines is their tendency to 

misfire under low-load conditions due 

to greater combustion instability.

2. Applicability of Small SI Regulations 

In our regulations for Small SI 

engines, we established criteria, such as 

rated engine speed at or above 5,000 

rpm and the use of a speed governor, 

that excluded engines used in certain 

types of recreational vehicles (see 40 

CFR 90.1(b)(5)). Engines used in some 

other types of recreational vehicles may 

be covered by the Small SI standards, 

depending on the characteristics of the 

engines. For example, lawnmower-type 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68263

engines used in go carts are typically 

covered by the Small SI standards 

because they don’t operate above 5000 

rpm. Similarly, engines used in golf 

carts are included in the Small SI 

program. As discussed above, we are 

revising the Small SI regulations to 

include all recreational engines except 

those in off-highway motorcycles, 

ATVs, snowmobiles, and hobby engines. 

Golf cart and go-cart engines will 

remain in the Small SI program because 

the vehicles are not designed for 

operation over rough terrain and do not 

meet the definition of ATV. We are 

accordingly removing the 5,000 rpm and 

speed governor criteria from the 

applicability provisions of the Small SI 

regulations. 

3. Utility Vehicles 

We proposed to define ATV as a 

‘‘nonroad vehicle with three or more 

wheels and a seat designed for operation 

over rough terrain and intended 

primarily for transportation’’, and that it 

would include ‘‘both land-based and 

amphibious vehicles’’. We requested 

comment on the proposed definition 

and based on comments, we are 

modifying the definition to clearly 

exclude utility vehicles not capable of 

reaching 25 mph. Utility vehicles differ 

from ATVs in several ways. As stated 

earlier, an ATV is operated and ridden 

very similar to a motorcycle, with the 

rider straddling the seat and using 

handlebars to steer the vehicle. The 

throttle and brakes are located on the 

handle bars, similar to a motorcycle and 

snowmobile. Utility vehicles look and 

operate very similarly to golf carts. The 

operator sits on a bench seat with a back 

support that holds two or more 

passengers. Rather than handlebars, 

utility vehicles use a steering wheel and 

have throttle and brake pedals on the 

floor, similar to an automobile. Utility 

vehicles also typically have a cargo box 

or bed (similar to that found on a pickup truck) used for hauling cargo. We 

define an off-highway utility vehicle as 

a ‘‘nonroad vehicle that has four or more 

wheels, seating for two or more persons, 

is designed for operation over rough 

terrain, and has either a rear payload of 

350 pounds or more or seating for six or 

more passengers.’’ We are requiring 

utility vehicles capable of high speed 

operation (speeds greater than 25 mph) 

to meet ATV standards. For utility 

vehicles that are permanently governed 

and not capable of reaching 25 mph, 

manufacturers must either continue to 

certify them to the Small SI standards 

(or Large SI standards, if applicable) or 

optionally certify them to the new ATV 

standards. 

We received comments from the 

Outdoor Power Equipment Institute 

(OPEI) that the definition should be 

clarified to exclude utility vehicles. 

Most utility vehicles are equipped with 

engines that are currently required to 

meet EPA Small SI standards. OPEI 

commented that utility vehicles are 

designed specifically for work related 

tasks and are equipped with seating for 

passengers, a bed for cargo, and ridingmower-style controls. 

The industry differentiates between 

utility vehicles based on vehicle speed. 

The vast majority of utility vehicles are 

considered ‘‘low-speed utility vehicles’’

(LUVs) and are vehicle speed governed 

with maximum speed of less than 25 

mph. The engines used in such vehicles 

are generally below 25 hp and are 

typically used in other lawn and garden 

or utility applications such as generators 

or lawn tractors. The engines differ 

significantly from those used in 

recreational products which are 

designed for higher rpm operation with 

an emphasis on higher performance. 

OPEI also provided comment on a 

newer type of utility vehicle, which 

uses a more powerful (over 19kW) ATVbased engine and is capable of speeds of 

up to 40 mph. 

We are finalizing the approach 

described. The engines used in lowspeed utility vehicles are more similar 

in design and use to utility engines than 

ATVs. The engines used to power these 

vehicles are often used in other utility 

applications, such as lawn and garden 

tractors and generators and are typically 

produced by companies that specialize 

in utility and lawn equipment rather 

than power sport vehicles. These 

products are already certified to the 

Small SI standards. 

However, we have some concerns 

with continuing to use the Small SI 

program test cycle for engines used in 

applications that operate at broad 

engine speeds. The cycle was developed 

primarily for push lawnmowers and 

other equipment that operates in a 

narrow band of engine speeds. The 

Small SI test cycle measures emissions 

only at a single high engine speed. We 

are concerned that the Small SI test 

cycle may not achieve the same 

emission reductions for off-highway 

utility vehicles in use as it would for 

lawnmowers, especially as more 

stringent standards go into effect. The 

concern also applies to other large rideon equipment in the Small SI program, 

such as riding lawn mowers, where 

engine speed is inherently variable. 

While the ATV program may not be 

appropriate for these low-speed utility 

applications due to operating and 

design differences, the Small SI program 

as it is currently designed may not be 

completely appropriate either. Since we 

did not propose changes for the Small 

SI program which currently applies to 

utility vehicles and need to further 

study the issues, we are not finalizing 

such changes to the Small SI program in 

this Final Rule. We plan to continue to 

study the issue and, if necessary, 

address it through a future rulemaking 

for the Small SI program. 

In addition to test cycle, there are 

other reasons we plan to continue to 

examine the appropriateness of the 

Small SI program for large ride-on 

equipment. With respect to useful life, 

we are concerned that off-highway 

utility vehicles may be designed to last 

significantly longer than the typical 

lawnmower. 40 CFR 90.105 specifies 

useful life values that vary by 

application with the longest useful life 

being 1000 hours. It is not clear that this 

maximum value is high enough to 

address the expected life of in-use offhighway utility vehicles, especially 

those that are used commercially. 

Finally, with respect to the level of the 

standards, we are concerned about the 

relative stringency of the Small SI 

standards relative to the long-term 

standards for ATVs and other nonroad 

vehicles. Nevertheless, given the lowspeed operation of these vehicles, and 

other differences, we do not believe that 

they should be treated the same as 

higher speed ATVs. We did not propose 

changes for the Small SI program to 

address the above issues and need to 

study them further. However, these 

vehicles are unique in many ways, and 

should be addressed in a future 

rulemaking. 

Given the utility nature of the lowspeed vehicles, we believe that at least 

for now, it is appropriate to continue to 

certify them under 40 CFR part 90. For 

vehicles capable of higher speeds (e.g., 

greater than 25 mph), the engine designs 

and vehicle in-use operation is likely to 

be more like ATVs. The test procedures 

and standards for ATVs will better fit 

these high speed vehicles than those in 

the Small SI program. For regulatory 

purposes, we are defining an offhighway utility vehicle as a nonroad 

vehicle that has four or more wheels, 

seating for two or more persons, is 

designed for operation over rough 

terrain, and has either a rear payload 

capacity of 350 pounds or more or total 

seating for six or more passengers. 

4. Hobby Engines 

The Small SI rule categorized sparkignition engines used in model cars, 

boats, and airplanes as recreational 

engines and exempted them from the 

68264 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

42 80 FR 24292, April 25, 2000.

43Comments submitted by Hobbico on behalf of 

Great Plains Model Distributors and Radio Control 

Hobby Trade Association, February 5, 2001, Docket 

A–2000–01, document II–D–58.

44Hobby engines with glow plugs are considered 

compression-ignition (diesel) engines because they 

lack a spark-ignition system and a throttle (see the 

definition of compression-ignition, 40 CFR 89.2). 

The nonroad diesel engine regulations 40 CFR part 

89 generally do not apply to hobby engines, so these 

engines are unregulated.

45Comments submitted by Hobbico on behalf of 

Great Plains Model Distributors and Radio Control 

Hobby Trade Association, February 5, 2001, Docket 

A–2000–01, document II–D–58.

46E-mail from Carl Maroney of the Academy of 

Model Aeronautics to Christopher Lieske, of EPA, 

June 4, 2001, Docket A–2000–01, document II–G–

144.

47Comments submitted by Hobbico on Behalf of 

Great Plains Model Distributors and Radio Control 

Hobby Trade Association, February 5, 2001, Docket 

A–2000–01, document II–D–58.

48For further information on the feasibility, 

emission inventories, and costs, see ‘‘Analysis of 

Spark Ignition Hobby Engines’’, Memorandum from 

Chris Lieske to Docket A–2000–01, document II–G–

144.

49A motocross bike is typically a highperformance off-highway motorcycle that is 

designed to be operated in motocross competition. 

Motocross competition is defined as a circuit race 

around an off-highway closed-course. The course 

contains numerous jumps, hills, flat sections, and 

bermed or banked turns. The course surface usually 

consists of dirt, gravel, sand, and mud. Motocross 

bikes are designed to be very light for quick 

handling and easy maneuverability. They also come 

with large knobby tires for traction, high fenders to 

protect the rider from flying dirt and rocks, 

aggressive suspension systems that allow the bike 

to absorb large amounts of shock, and are powered 

by high-performance engines. They are not 

equipped with lights.

50An enduro bike is very similar in design and 

appearance to a motocross bike. The primary 

difference is that enduros are equipped with lights 

and have slightly different engine performance that 

is more geared towards a broader variety of 

operation than a motocross bike. An enduro bike 

Small SI program.42 We are continuing 

to exclude hobby engines from the 

Small SI program because of significant 

engine design and use differences. We 

also believe that hobby engines are 

substantially different than engines used 

in recreational vehicles and, as 

proposed, we are not including sparkignition hobby engines in this final rule. 

We received no comment on our 

proposed treatment of hobby engines or 

any additional information on their 

design or use.

There are about 8,000 spark-ignition 

engines sold per year for use in scalemodel aircraft, cars, and boats.43 This is 

a very small subsection of the overall 

model engine market, most of which are 

glow-plug engines that run on a mix of 

castor oil, methyl alcohol, and nitro 

methane.44 A typical spark-ignition 

hobby engine is approximately 25 cc 

with a horsepower rating of about 1–3 

hp, though larger engines are available. 

These spark-ignition engines are 

specialty products sold in very low 

volumes, usually not more than a few 

hundred units per engine line annually. 

Many of the engines are used in model 

airplanes, but they are also used in other 

types of models such as cars and boats. 

These engines, especially the larger 

displacement models, are frequently 

used in competitive events by 

experienced operators. The racing 

engines sometimes run on methanol 

instead of gasoline. In addition, the 

engines are usually installed and 

adjusted by the hobbyist who selects an 

engine that best fits the particular model 

being constructed.

The average annual hours of operation 

has been estimated to be about 12.2 

hours per year.45 The usage rate is very 

low compared to other recreational or 

utility engine applications due to the 

nature of their use. Much of the hobby 

revolves around building the model and 

preparing the model for operation. The 

engine and model must be adjusted, 

maintained, and repaired between uses.

Spark-ignition model engines are 

highly specialized and differ 

significantly in design compared to 

engines used in other recreational or 

utility engine applications. While some 

of the basic components such as pistons 

may be similar, the materials, airflow, 

cooling, and fuel delivery systems are 

considerably different.46 47 Some sparkignition model engines are scale replicas 

of multi-cylinder aircraft or automobile 

engines and are fundamentally different 

than spark-ignition engines used in 

other applications. Model-engine 

manufacturers often select lighterweight materials and simplified designs 

to keep engine weight down, often at the 

expense of engine longevity. Hobby 

engines use special ignition systems 

designed specifically for the application 

to be lighter than those used in other 

applications. To save weight, hobby 

engines typically lack pull starters that 

are found on other engines. Hobby 

engines must be started by spinning the 

propeller. In addition, the models 

themselves vary significantly in their 

design, introducing packaging issues for 

engine manufacturers.

We are not including spark-ignition 

hobby engines in the recreational 

vehicles program. The engines differ 

significantly from other recreational 

engines in their design and use, as noted 

above. Emission-control strategies 

envisioned for other recreational 

vehicles may not be well suited for 

hobby engines because of their design, 

weight constraints, and packaging 

limitations. Approaches such as using a 

four-stroke engine, a catalyst, or fuel 

injection all would involve increases in 

weight, which would be particularly 

problematic for model airplanes. The 

feasibility of these approaches for these 

engines is questionable. Reducing 

emissions, even if feasible, would likely 

involve fundamental engine redesign 

and substantial R&D efforts. The costs of 

achieving emission reductions are likely 

to be much higher per engine than for 

other recreational applications because 

the R&D costs would be spread over 

very low sales volumes. The cost of 

fundamentally redesigning the engines 

could double the cost of some engines. 

By contrast, because of their very low 

sales volumes, annual usage rates, and 

relatively short engine life cycle, sparkignition hobby engine emission 

contributions are extremely small 

compared to recreational vehicles. The 

emission reductions possible from 

regulating such engines would be 

minuscule (we estimate that sparkignition hobby engines as a whole 

account for less than 30 tons of HC 

nationally per year, much less than 0.01 

percent of mobile source HC 

emissions).48

In addition, hobby engines differ 

significantly in their in-use operating 

characteristics compared to small utility 

engines and other recreational vehicle 

engines. It is unclear if the test 

procedures developed and used for 

other types of spark-ignition engine 

applications would be sufficiently 

representative or even technically 

practical for hobby engines. We are not 

aware of any efforts to develop an 

emission test cycle or conduct any 

emission testing of these engines. Also, 

because installing, optimizing, 

maintaining, and repairing the engines 

are as much a part of the hobby as 

operating the engine, emission 

standards could fundamentally alter the 

hobby itself. Engines with emissioncontrol systems would be more complex 

and the operator would need to be 

careful not to make changes that would 

cause the engine to exceed emission 

standards. EPA will continue to review 

these issues, as necessary, in the future 

and reconsider adoption of regulations 

if appropriate. 

5. Competition Exemptions 

a. Off-Highway motorcycles.

Currently, a large portion of off-highway 

motorcycles are designed as 

competition/racing motorcycles. These 

models often represent a manufacturer’s 

high-performance offerings in the offhighway market. Most such motorcycles 

are of the motocross variety, although 

some high-performance enduro models 

are marketed for competition use.49 50

These high-performance motorcycles are 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68265

needs to be able to cruise at high speeds as well 

as operate through tight woods or deep mud.

51A spark arrester is a device located in the end 

of the tailpipe that catches carbon sparks coming 

from the engine before they get out of the exhaust 

system. This is important when a bike is used offhighway, where hot carbon sparks falling in grassy 

or wooded areas could result in fires.

52Most manufacturers of motocross racing 

motorcycles do not offer a warranty. Some 

manufacturers do, however, offer very limited (1 to 

3 months) warranties under special conditions.

53 ‘‘Characterization of Off-Road Motorcycle Use,’’

ICF Consulting, September 2001, A–2000–1 

document II–A–81.

largely powered by two-stroke engines, 

though some four-stroke models have 

been introduced in recent years.

Competition events for motocross 

motorcycles mostly involve closedcourse or track racing. Other types of 

off-highway motorcycles, such as 

enduros and trials bikes, are usually 

marketed for trail or open-area use. 

When used for competition, these 

models are likely to be involved in 

point-to-point competition events over 

trails or stretches of open land. There 

are also specialized off-highway 

motorcycles that are designed for 

competitions such as ice racing, drag 

racing, and observed trials competition. 

A few races involve professional 

manufacturer-sponsored racing teams. 

Amateur competition events for offhighway motorcycles are also held 

frequently in many areas of the U.S. 

Clean Air Act subsections 216 (10) 

and (11) exclude engines and vehicles 

‘‘used solely for competition’’ from 

nonroad engine and nonroad vehicle 

regulations. In the proposal we stated 

that in previous nonroad engine 

emission-control programs, we have 

generally defined the term as follows: 

Used solely for competition means 

exhibiting features that are not easily 

removed and that would render its use 

other than in competition unsafe, 

impractical, or highly unlikely. 

Most motorcycles marketed for 

competition do not appear to have 

obvious physical characteristics that 

constrain their use solely to 

competition. In fact, they are usually 

sold by dealers from the showroom 

floor. Upon closer inspection, however, 

there are several features and 

characteristics for many competition 

motorcycles that make recreational use 

unlikely. For example, motocross bikes 

are not equipped with lights or a spark 

arrester, which prohibits them from 

legally operating on public lands (such 

as roads, parks, state land, and federal 

land).51 Vehicle performance of modern 

motocross bikes is so advanced (for 

example, with extremely high power-toweight ratios and advanced suspension 

systems) that it is highly unlikely that 

these machines will be used for 

recreational purposes. In addition, 

motocross and other competition offhighway motorcycles typically do not 

come with a warranty, which further 

deters purchasing and using 

competition bikes for recreational 

operation.52 We believe these features 

are sufficient in distinguishing 

competition motorcycles from 

recreational motorcycles. Therefore, we 

are specifically adopting the following 

features as indicative of motorcycles 

used solely for competition: absence of 

a headlight or other lights; the absence 

of a spark arrester; suspension travel 

greater than 10 inches; an engine 

displacement greater than 50 cc; 

absence of a manufacturer warranty; 

and the absence of a functional seat.

Manufacturers must specifically 

request and receive an exemption from 

EPA to sell off-highway motorcycles 

without a certificate under the 

competition exemption. Vehicles not 

meeting the applicable criteria listed 

above will be exempted only in cases 

where the manufacturer has clear and 

convincing evidence that the vehicles 

for which the exemption is being sought 

will be used solely for competition. 

Examples of this type of evidence may 

be technical rationale explaining the 

differences between a competition and 

non-competition motorcycle, marketing 

and sales information indicating the 

intent of the motorcycle for competition 

purposes, and survey data from users 

indicating the competitive nature of the 

motorcycle. 

Although there are several features 

that generally distinguish competition 

motorcycles from recreational 

motorcycles, several parties have 

commented that they believe 

motorcycles designed for competition 

use are also used for recreational 

purposes, rather than solely for 

competition. This is of particular 

concern because competition 

motorcycles represent about 29 percent 

of total off-highway motorcycle sales or 

approximately 43,000 units per year. 

However, a study on the 

characterization of off-highway 

motorcycle usage found that there are 

numerous—and increasingly popular—

amateur off-highway motorcycle 

competitions across the country, 

especially motocross.53 The estimated 

number of off-highway motorcycle 

competitors is as high as 80,000. Since 

it is very common for competitive riders 

to replace their machines every one to 

two years, the sale of 43,000 offhighway competition motorcycles 

appears to be a reasonable number, 

considering the number of competitive 

participants. We are therefore confident 

that, although we are excluding a high 

percentage of off-highway motorcycles 

as being competition machines, the 

criteria laid out above are indicative of 

motorcycles used solely for competition.

However, we do recognize that it is 

possible that some competition 

motorcycles will be used for 

recreational purposes. We are therefore 

adopting a provision within the 

regulations that allows the Agency to 

deny a manufacturer’s claim for 

exemption from the standards for any 

models, including models that meet the 

six specified criteria, where other 

information is available that indicates 

these off-highway motorcycle models 

are not used solely for competition. This 

same provision allows the Agency to 

deny claims for exemptions in later 

years even if they had been granted 

previously. Examples of this type of 

information can be state registration 

data that indicate a significant number 

of competition exempt models being 

registered to operate on public lands. 

Off-highway competition motorcycles 

designed for motocross competition are 

not typically required to be registered 

with states, since most motocross 

competitions occur on closed-circuit 

courses on private, not public land, and 

motocross machines lack spark arresters 

which are required to operate on public 

land. We believe the possibility of 

losing an exemption for competition 

motorcycles will encourage 

manufacturers to take proper actions in 

promoting, marketing, and guaranteeing 

that competition machines are sold to 

those individuals who will use them 

solely for competition. 

b. Snowmobiles and ATVs.

Snowmobiles and ATVs are also used in 

competition events; however, the 

percentage of snowmobiles or ATVs 

used solely for competition is not nearly 

as large as that for off-highway 

motorcycles. Since snowmobile and 

ATV competition have typically not 

been as popular as off-highway 

motorcycle competitions, there has not 

been the demand for competition 

machines that exists with off-highway 

motorcycles. As a result, manufacturers 

have not manufactured and sold directly 

from their dealers competition 

snowmobiles and ATVs like they have 

off-highway motorcycles. Most 

snowmobiles and ATVs used in 

competition events are modified 

recreational vehicles, rather than stock 

racing machines bought directly from 

the dealer, as is the case with offhighway motorcycles. As a result, there 

isn’t the same concern over potential 

misuse of competition snowmobiles and 

ATVs for recreational purposes. 

68266 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Competition snowmobiles and ATVs 

aren’t currently sold directly at the 

dealership. Therefore, manufacturers 

can receive a competition exemption 

from EPA for snowmobiles and ATVs 

meeting all of the following criteria: the 

vehicle or engine may not be displayed 

for sale in any public dealership; sale of 

the vehicle must be limited to 

professional racers or other qualified 

racers; and the vehicle must have 

performance characteristics that are 

substantially superior to noncompetitive 

models.

As with off-highway motorcycles, 

snowmobiles and ATVs not meeting the 

applicable criteria listed above will be 

exempted only in cases where the 

manufacturer has clear and convincing 

evidence that the vehicles for which the 

exemption is being sought will be used 

solely for competition. We are also 

adopting the same provision as for offhighway motorcycles within the 

regulations that allows the Agency to 

deny a manufacturer’s claim for 

exemption from the standards for any 

models where other information is 

available that indicates these 

snowmobiles and ATVs models are not 

used solely for competition. As with offhighway motorcycles, this same 

provision allows the Agency to deny 

claims for exemptions in later years 

even if they had been granted 

previously. 

C. Emission Standards 

1. What Are the Emission Standards and 

Compliance Dates? 

a. Off-highway motorcycles. We are 

adopting HC plus NOX and CO 

standards for off-highway motorcycles. 

We expect the largest benefit to come 

from reducing HC emissions from twostroke engines. Two-stroke engines have 

very high HC emission levels. Baseline 

NOX levels are relatively low for engines 

used in these applications and therefore 

including NOX in the standard serves 

only to cap NOX emissions for these 

engines. Comparable CO reductions can 

be expected from both two-stroke and 

four-stroke engines, as CO levels are 

similar for the two engine types. We are 

also adopting averaging, banking and 

trading provisions for off-highway 

motorcycles, as discussed below. 

In the current off-highway motorcycle 

market, consumers can choose between 

two-stroke and four-stroke models in 

most sizes. Each engine type offers 

unique performance characteristics. 

Some manufacturers specialize in twostroke or four-stroke models, while 

others offer a mix of models. The HC 

standard is likely to be a primary 

determining factor for what technology 

manufacturers choose to employ to meet 

emission standards overall. HC 

emissions can be reduced substantially 

by switching from two-stroke to fourstroke engines. Four-stroke engines are 

very common in off-highway motorcycle 

applications. Approximately 55 percent 

of non-competition off-highway 

motorcycles are four-stroke. 

Certification results from California 

ARB’s emission-control program for offhighway motorcycles, combined with 

our own baseline emission testing, 

provides ample data on the emissioncontrol capability of four-stroke engines 

in off-highway motorcycles. Offhighway motorcycles certified to 

California ARB standards for the 2000 

model year have HC certification levels 

ranging from 0.4 to 1.0 g/km. These 

motorcycles have engines ranging in 

size from 48 to 650 cc; none of these use 

catalysts. 

The emission standards for offhighway motorcycles take effect 

beginning in the 2006 model year. We 

will allow a phase-in of 50-percent 

implementation in the 2006 model year 

with full implementation in 2007. These 

standards apply to testing with the 

highway motorcycle Federal Test 

Procedure (FTP) test cycle. For HC+NOX

emissions, the standard is 2.0 g/km (3.2 

g/mi). For CO emissions, the standard is 

25.0 g/km (40.5 g/mi). Both of these 

standards are based on averaging with a 

cap on the Family Emission Limit (FEL) 

of 20 g/km for HC+NOX and 50 g/km for 

CO. Banking and trading provisions are 

also included in the program, as 

described in Section III.C.2. These 

emission standards allow us to set nearterm requirements to introduce the lowemission technologies for substantial 

emission reductions with minimal lead 

time. We expect manufacturers to meet 

these standards using four-stroke 

engines with some low-level 

modifications to fuel-system 

calibrations. These systems are similar 

to those used for many years in highway 

motorcycle applications, but with less 

overall sophistication for off-highway 

applications. 

We received comments from several 

states and environmental groups 

encouraging us to harmonize our offhighway motorcycle standards with 

California. The comments focused on 

the perceived difference in stringency 

between the two programs. For 

California, the standard is an HC-only 

standard of 1.2 g/km. Our standard is a 

HC+NOX standard of 2.0 g/km. We 

believe it is prudent to set a HC+NOX

standard in lieu of a HC-only standard 

since the main emission-control strategy 

is expected to be the use of four-stroke 

engines in lieu of two-stroke engines. 

Two-stroke engines emit extremely low 

levels of NOX. Four-stroke engines, on 

the other hand, have higher NOX

emission levels, in the range of 0.3 g/km 

on average. This is part of the reason 

why we proposed a somewhat higher 

numeric standard compared to 

California.

The California standards, which were 

adopted in 1994, were stringent enough 

that manufacturers were unable to 

certify several models of off-highway 

motorcycles, even some with four-stroke 

engine technology. The result was a 

substantial shortage of products for 

dealers to sell in California. The 

shortage led California to change their 

program to allow manufacturers to sell 

noncompliant off-highway motorcycles 

under some circumstances. As a result, 

approximately a third of the off-highway 

motorcycles sold in California are 

compliant with the standards. The 

uncertified models being sold in 

California include both two-stroke and 

four-stroke machines. 

EPA received comments from dealers 

and consumers concerned that a similar 

shortage could arise nationwide if EPA 

adopted the California standards. EPA 

shared this concern and proposed 

standards that were somewhat less 

stringent than that of California, based 

on test data from high-performance fourstroke machines. We are finalizing this 

approach to ensure the four-stroke 

technology can be implemented broadly 

across the product line in the 2006 timeframe. Although the approach we are 

finalizing contains somewhat less 

stringent standards than the California 

program, we believe it will achieve 

reductions beyond that of the California 

program because more products will be 

certified (even when the competition 

exemption is taken into account). The 

vast majority of the HC reductions 

achieved by the program come from 

shifting away from conventional twostroke engines which have HC 

emissions levels in the range of 35 g/km. 

The 2.0 g/km standard represents about 

a 95-percent reduction in emissions for 

these vehicles. 

If we were to go beyond this level of 

reduction, manufacturers would need to 

employ on a widespread basis 

additional technology that presents 

significant technical issues concerning 

their application to off-highway 

motorcycles given their extreme usage 

patterns and issues such as safety, 

packaging, and weight. For example, 

technologies such as electronic fuel 

injection and secondary air injection 

raise concerns about their durability and 

reliability in the harsh operating 

environments to which off-highway 

motorcycles are sometimes exposed. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68267

The use of catalytic converters poses 

concerns over packaging, durability and 

safety. Off-highway motorcycles are 

very light and narrow. These attributes 

are necessary for operating through tight 

forest trails and other harsh conditions. 

This leaves little room for packaging a 

catalyst so that it won’t be damaged 

from engine vibration, shock resulting 

from jumps and hopping logs, and 

falling over and hitting objects, such as 

trees and rocks. These technologies may 

become compatible for off-highway 

motorcycles in the future, but we do not 

believe that it is appropriate to 

promulgate emission standards based on 

these technologies at this time, given the 

technical problems currently associated 

with their use. Four-stroke engine 

technology has advanced considerably 

since the California regulations went 

into effect. Manufacturers are now 

capable of offering four-stroke engines 

that provide excellent performance. 

This performance can be achieved only 

as long as manufacturers are allowed to 

operate four-stroke engines with a 

slightly rich air and fuel mixture, which 

can result in somewhat higher HC and 

CO emissions. Although the standards 

we are setting are higher than those in 

California, we believe they will require 

four-stroke engines that are well 

calibrated for emissions control without 

significantly sacrificing performance. 

For these reasons, we believe the 

standards we are establishing are 

appropriate. 

As discussed above in Section III.B.5, 

the Clean Air Act requires us to exempt 

from emission standards off-highway 

motorcycles used for competition. We 

expect several competition two-stroke 

off-highway motorcycle models to 

continue to be available. We are 

concerned that setting standards as 

stringent as California’s would result in 

a performance penalty for some fourstroke engines that would be 

unacceptable to the consumers. This 

could encourage consumers who want 

performance-oriented off-highway 

motorcycles to purchase competition 

vehicles (and use them recreationally) 

in lieu of purchasing compliant 

machines that don’t provide the desired 

performance. We believe that our 

emission standards will allow the 

continued advancement of four-stroke 

technology and properly considers 

available emission-control technology 

while taking vehicle performance into 

consideration and avoiding significant 

adverse impacts on performance. 

As proposed, we are also finalizing an 

option allowing off-highway 

motorcycles with an engine 

displacement of 50 cc or less to be 

certified using the Small SI emission 

standards for non-handheld Class I 

engines. These youth-oriented models 

may not be able to operate over the FTP 

due to the higher speeds of the test 

cycle. We did not receive comment on 

this provision. 

Optional Standards 

During the comment period, we 

received several comments expressing 

concern that our proposed standard of 

2.0 g/km HC+NOX for off-highway 

motorcycles would effectively prohibit 

the use of two-stroke engines in noncompetition applications. These engines 

currently have typical HC+NOX levels of 

about 35 g/km. The commenters argued 

that two-stroke engines possess several 

unique attributes, such as high power 

and light weight, that make two-stroke 

powered off-highway motorcycles more 

desirable to some operators, especially 

smaller, lighter riders, than heavier fourstroke powered off-highway 

motorcycles. 

We also received comments from 

several states and environmental 

organizations expressing strong concern 

over the number of competition offhighway motorcycles that would be 

exempt from our regulations as a result 

of our competition exemption. They felt 

that people purchasing exempt 

competition motorcycles would use 

them for recreational purposes instead 

of solely for competition. 

One manufacturer indicated that they 

were planning on building highperformance off-highway motorcycles 

equipped with direct fuel-injection twostroke engines that would potentially be 

capable of meeting a HC+NOX standard 

of 4.0 g/km. To enable use of this 

technology, they suggested that we 

should adopt a standard of 4.0 g/km 

instead of the proposed standard of 2.0 

g/km. The commenter believes that 

direct injection could be used to make 

clean competition machines and also 

argued that the technology is robust and 

not as susceptible to user modifications 

as other technologies such as catalysts. 

The commenter wanted an opportunity 

to develop and certify their product 

because it perceives a benefit to the 

purchaser not only in performance but 

also in the ability for the owner to resell 

the competition vehicle into the 

secondary market without concerns 

about potential misuse. In addition, the 

owner would be able to use the vehicle 

both for competition and recreation. 

It is clear that if manufacturers were 

able to certify and bring to market clean 

competition machines as described by 

the commenter, significant reductions in 

emissions would be gained over 

conventional two-stroke technology. 

Some competition models we tested had 

baseline HC and CO emissions in excess 

of 50 g/km and 40 g/km, respectively. 

We believe it is appropriate to provide 

an avenue for the development and 

voluntary certification of clean 

competition motorcycles. Therefore, we 

are finalizing an optional set of 

standards for off-highway motorcycles 

of 4.0 g/km HC+NOX and 35.0 g/km CO. 

For manufacturers to utilize this option, 

however, they must certify all of their 

models, including their competition 

models, to the optional standards. To 

qualify for this option, a manufacturer 

must show that ten percent or more of 

their sales would otherwise meet the 

competition definition.

The optional standard was derived 

from the fact that non-competition fourstroke engines can meet a 2.0 g/km level 

and competition two-stroke machines 

with advanced direct fuel-injection 

technology could meet a 8.0 g/km level. 

Since approximately one-third of the 

total off-highway motorcycle fleet are 

competition machines and the other 

two-thirds would be non-competition 

four-stroke recreational machines, the 

weighting of the 2.0 g/km level by twothirds and the 8.0 g/km level by onethird results in a weighted standard of 

4.0 g/km. This presumes that emissions 

from four-stroke engines will not 

increase under this option and that noncompetition engines will be almost 

exclusively four-stroke engines. These 

assumptions are discussed below. The 

significant reductions in otherwise 

unregulated competition engines means 

that this option should produce even 

greater overall reductions than the base 

2.0 g/km standard. We recognize that for 

some manufacturers this program will 

increase opportunities to make a limited 

number of non-competition recreational 

two-stroke machines; however, we 

believe that the number of two-stroke 

non-competition engines developed 

under this program will be limited by 

the fact that the required technology 

(direct fuel-injection) would be too 

expensive and complex for the 

recreational motorcycle market. The 

majority of non-competition recreational 

off-highway motorcycles that use twostroke engines are entry-level and youth 

motorcycles, where cost and simplicity 

are important factors. There is also the 

fact that for every two stroke noncompetition engine manufactured under 

this program, a manufacturer must make 

one less competition engine or must 

make more four-stroke engines. Further, 

we believe that any increase in the 

number of non-competition two-stroke 

engines is justified given the fact that 

this program will overall bring levels 

from off-highway engines down 

68268 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

considerably and the fact that the 

technology needed to reduce emissions 

from competition machines will only be 

made available and used if, under this 

optional approach, manufacturers have 

an incentive to use the technologies. 

One major incentive in using this 

approach is the fact that once these 

machines are certified, a consumer will 

be able to use these machines legally for 

non-competition uses, which increases 

the value of the competition machines. 

This approach thus will also reduce the 

incentive for manufacturers to 

manufacturer all of their two-stroke 

machines as competition machines to 

avoid regulation, and thus reduce the 

incentive for users to circumvent the 

regulations. This may mean that any 

increase in two-stroke non-competition 

engines under this approach would not 

lead to an increase in total two-stroke 

sales, because manufacturers will not 

have an incentive to increase the 

number of two-stroke competition 

vehicles to avoid regulation. 

We believe this approach is 

responsive to all of the above comments. 

It directly addresses the concerns of the 

manufacturer developing the new 

competition motorcycle and also helps 

address the concerns of users, states, 

and environmental groups. The 

successful development and 

certification of clean competition 

models increases the choices for 

consumers in the marketplace. Offered 

the option of a certified highperformance two-stroke off-highway 

motorcycle that can be used both for 

competition and recreation, consumers 

may not feel the need to purchase 

exempt competition motorcycles. This 

option has the potential to significantly 

decrease the number of conventional 

two-stroke competition machines sold 

under the competition exemption and is 

likely to decrease the potential for 

misuse of competition machines. 

Conventional competition two-stroke 

motorcycles generate extremely high 

levels of HC emissions, as noted above. 

For every conventional two-stroke 

competition machine replaced by a 

certified competition machine, HC 

emissions would be reduced by 80 

percent, or more. 

While the 4.0 g/km standard is higher 

than the 2.0 g/km standard contained in 

the base program, we do not expect any 

loss in emissions reductions from fourstroke models. We continue to believe 

most off-highway motorcycles will 

continue to be powered by four-stroke 

engines. Most non-competition offhighway motorcycles are already fourstroke motorcycles, and the trend 

towards four-stroke is continuing even 

in the absence of these regulations. We 

are convinced that there will be no 

backsliding of emissions control for 

motorcycles using four-stroke engines, 

because the dirtiest of the four-stroke 

models tend to be competition 

machines, and our emissions testing 

indicates that competition four-stroke 

off-highway motorcycles have HC+NOX

emission levels below 2.0 g/km. Since 

these motorcycles are optimized for 

power and racing conditions, there is no 

incentive for manufacturers to increase 

HC+NOX emissions from their current 

levels. In fact, increasing the emission 

levels would mean increasing the air-tofuel mixture, which would tend to 

reduce the engines performance. 

As with the primary program, these 

optional standards would take effect in 

2006 with 50-percent implementation 

and full implementation in 2007 and 

manufacturers could switch between the 

options from model year to model year. 

The HC+NOX standard can be met 

through averaging with some families 

certified above the standards and some 

below. If averaging is used, the FEL cap 

would be 8.0 g/km. 

We are retaining the averaging 

approach for this option because it may 

be a critical flexibility for manufacturers 

pursuing clean competition products. 

The commenter based its 

recommendation for a 4.0 g/km standard 

on their projections for a single 

prototype model equipped with a 

medium sized engine. This engine is in 

the early stages of development and 

there is some uncertainty as to what 

emissions level the final product can 

achieve. Also, manufacturers may want 

to apply their approach to other engines 

that may not be able to achieve this 

same level of control. Manufacturers 

could find that they can produce 

competition products that are very clean 

relative to the baseline but with higher 

emissions than 4.0 g/km. For example, 

larger engine sizes could have emissions 

levels somewhat higher than the 4.0 g/

km suggested by the commenter. We are 

not satisfied at this time that two-stroke 

off-highway motorcycles, particularly 

those used in competition could meet 

the 4.0 g/km standard, especially 

considering the special performance 

needs of competition motorcycles. 

Therefore, rather than keeping a 2.0 g/

km standard for four-stroke engines and 

having a standard higher than 4.0 g/km 

for two-stroke engines (a standard as 

high as 8.0 g/km might be appropriate), 

we are using a 4.0 g/km standard that 

permits averaging. Averaging provides 

flexibility for manufacturers to bring 

cleaner two-stroke, particularly cleaner 

competition two-stroke, engines to 

market without creating a disincentive 

to building four-stroke engines. One 

way of taking advantage of the averaging 

program in this way would be for a 

manufacturer to maximize its sales of 

four-stroke models as part of its sales 

mix, and average the emissions from 

these engines against the higher 

emissions of the two-stroke competition 

engines which still would need to be 

much cleaner than if they were 

unregulated. This approach therefore 

requires the substantial use of cleaner 

four-stroke technologies while at the 

same time encouraging manufacturers to 

substantially reduce emissions from 

motorcycles that would otherwise be 

unregulated competition motorcycles. 

We have capped the emissions levels at 

8.0 g/km HC+NOX because we want to 

ensure that products certified under this 

option provide large emissions 

reductions compared to baseline levels 

and that the option provides 

environmental benefits in all cases. 

Competition motorcycles certified to the 

8.0 g/km level would continue to 

provide over a 75-percent reduction in 

HC emissions over baseline levels.

One of the challenges facing 

manufacturers selecting this option is 

the potentially high CO emissions from 

competition machines. We tested 

competition models and found CO 

emissions to be in the range 25 to 50 g/

km. Although this option contains a 

somewhat higher CO standard (35 g/km 

compared to 25 g/km) than the base 

program, manufacturers are still 

expected to need to control CO 

emissions through tight engine 

calibrations. We are not including 

averaging for the less stringent CO 

standard. As noted by the manufacturer 

supporting the 4.0 g/km option, direct 

injection technology is likely to reduce 

CO from two-stroke engines. We believe 

that through proper calibration, the 35 

g/km standard will be achievable and 

will not significantly impede 

manufacturers in selecting this option. 

b. ATVs. We are adopting HC plus 

NOX and CO standards for ATVs. We 

expect the largest benefit to come from 

reducing HC emissions from two-stroke 

engines. Two-stroke engines have very 

high HC emission levels. Baseline NOX

levels are relatively low for engines 

used in these applications and therefore 

including NOX in these standards serves 

only to cap NOX emissions for these 

engines. Comparable CO reductions can 

be expected from both two-stroke and 

four-stroke engines, as CO levels are 

similar for the two engine types. We are 

also adopting averaging, banking and 

trading provisions for ATVs, as 

discussed below. 

In the current ATV market, consumers 

can choose between two-stroke and 

four-stroke models, although the 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68269

54We respond to these comments in Section II of 

the Summary and Analysis of Comments.

55Utility-type ATVs, it should be noted, are not 

the same as utility vehicles. Utility vehicles are not 

Continued

majority, approximately eighty-percent 

of sales, are four-stroke. Each engine 

type offers unique performance 

characteristics. Some manufacturers 

specialize in two-stroke or four-stroke 

models, but most manufacturers offer a 

mix of models. The HC standard is 

likely to be a primary determining factor 

for which technology manufacturers 

choose to employ to meet emission 

standards overall. HC emissions can be 

reduced substantially by switching from 

two-stroke to four-stroke engines. 

Certification results from California 

ARB’s emission-control program for 

ATVs, combined with our own baseline 

emission testing, provides ample data 

on the emission-control capability of 

four-stroke engines in ATVs. 

In the proposal we included two 

phases of ATV standards. The first 

phase of standards, 2.0 g/km HC+NOX

and 25 g/km CO, was proposed to be 

phased in at 50 percent of production in 

2006 with the remainder phased-in for 

2007. We proposed a second set of 

standards that included a more stringent 

1.0 g/km HC+NOX standard with no 

change to the CO standards. It was to be 

met in 2009/2010 using the same 50-

percent and 100-percent phase-in 

scheme as Phase 1. We proposed that 

both phases of HC+NOX standards could 

be met through averaging. 

We received comments from several 

environmental groups stating that we 

should harmonize our Phase 1 standards 

with the California FTP-based 

standards. Manufacturers did not 

comment on the level of our proposed 

Phase 1 HC+NOX standards. However, 

in a letter sent to the Agency in August 

6, 2001, just before we published the 

proposal, the Motorcycle Industry 

Council stated that the most costeffective approach to setting standards 

for ATVs would be to adopt the 

California HC standards of 1.2 g/km. 

They did comment on the fact that 

almost all of the CO nonattainment 

areas identified in the Draft Regulatory 

Support Document are now in 

compliance and that ATV activity is 

typically so far removed from congested 

urban areas, that we should delete the 

proposed CO standard.54 Manufacturers 

stated generally that CO standards will 

make it more difficult to meet the 

HC+NOX standards but did not provide 

additional specific comments on the 

feasibility or costs of the CO level 

proposed. In subsequent meetings with 

manufacturers, they suggested that if we 

were not going to delete the CO 

standard, it should be set sufficiently 

high so that it would not be an 

impediment to meeting the HC+NOX

standard. They suggested a level of 50.0 

g/km.

We have decided to finalize only one 

set of HC+NOX emission standards for 

the 2006 model year that are essentially 

equivalent to the California standard. 

The emission standards for ATVs take 

effect beginning in the 2006 model year. 

We will allow a phase-in of 50-percent 

implementation in the 2006 model year 

with full implementation in 2007. These 

standards apply to testing with the 

highway motorcycle Class I FTP test 

cycle. For HC+NOX emissions, the 

standard is 1.5 g/km (2.4 g/mi). The 

California program has a HC-only 

standard of 1.2 g/km. We have made the 

standard 1.5 g/km to account for NOX

emissions. For CO emissions, we agree 

with manufacturers that CO standards 

can make it more difficult to meet the 

HC+NOX standard. Based on our 

emission test data, we feel that a 

standard of 35.0 g/km (56.4 g/mi) is 

more appropriate than the 25.0 g/km 

standard we proposed or the 50.0 g/km 

standard suggested by the 

manufacturers. A standard of 35.0 g/km 

will still result in an overall reduction 

in CO emissions from high emitting 

ATVs, but will also allow manufacturers 

to balance CO control with the need to 

meet stringent NOX levels. The HC+NOX

standard may be met through averaging. 

Banking and trading provisions for 

HC+NOX are also being included in the 

program, as discussed in C.2., below. 

Our decision to finalize a 1.5 g/km 

value rather than the 2.0 g/km value is 

consistent with the manufacturers 

technical capability in the 2006/2007 

time-frame. The 1.5 g/km HC+NOX and 

35 g/km CO standards require the use of 

engine technology changes and add-on 

devices such as secondary air systems, 

which are clearly available for ATV 

application in this time frame. We 

proposed a 1.0 g/km HC+NOX standard 

for a 2009/2010 phase-in which could 

require use of catalytic converter 

technology in many models of ATVs. As 

discussed below, we are not finalizing 

that proposal now, and thus find it 

appropriate to finalize more stringent 

Phase 1 standards which are 

technologically feasible and otherwise 

consistent with statutory criteria related 

to cost, safety, noise, and energy 

considerations. 

Aligning our emission standards with 

those currently in place in California 

allows us to set requirements to 

introduce the low-emission technologies 

for substantial emission reductions with 

reasonable lead time and will for the 

most part allow manufacturers to sell 

one model in all fifty states. This 

‘‘harmonization’’ between federal and 

California requirements is valued by 

industry because it allows the 

development and production of one 

emission-control technology per model/

family. However, in a few cases, we 

expect emissions reductions under the 

EPA program that go beyond that of the 

California program because California 

allows the sale of uncertified ATVs, 

including two-stroke models, under 

their red sticker provisions. With the 

exception of competition exempt ATVs, 

all ATV models subject to the EPA 

program will need to be certified. We 

expect manufacturers to meet these 

standards using four-stroke engines with 

some modifications to fuel-system 

calibrations and some limited use of 

secondary air systems. These systems 

are similar to those used for many years 

in highway applications, but will likely 

require lesser sophistication than used 

in highway motorcycle applications. 

In addition to being consistent with 

the California standards, we feel the 1.5 

g/km HC+NOX standard is more 

appropriate than the proposed 2.0 g/km 

standard because our testing has shown 

that emission levels from four-stroke 

ATVs can vary considerably. We stated 

in the proposed rule that a standard of 

2.0 g/km HC+NOX would be a fourstroke enforcing standard, which would 

most likely result in the elimination of 

any two-stroke engines, but not 

necessarily require any additional 

control from the four-stroke engines. As 

stated above, a standard of 1.5 g/km 

HC+NOX will require the use of engine 

technology changes and add-on devices 

such as secondary air systems, which 

are clearly available for ATV application 

in this time frame.

At this point, we do not believe it is 

appropriate to promulgate Phase 2 

standards. In the proposal, we projected 

significant use of secondary air systems 

and catalysts for meeting the Phase 2 

standards. Since that time, we have 

been conducting testing on ATVs with 

the type of catalysts and secondary air 

systems we envisioned for the Phase 2 

standards to demonstrate feasibility. 

However, the testing we have done to 

date has not been sufficient to reach an 

affirmative conclusion on the feasibility 

of the Phase 2 standards. Testing with 

secondary air systems and catalysts 

have not shown consistent results and 

we have had only partial success in 

demonstrating the feasibility of the 

proposed Phase 2 standards using these 

technologies. In testing on a utility-type 

ATV, these technologies have provided 

only small emissions reductions.55 The 

68270 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

considered ATVs due to fundamental differences in 

the vehicle characteristics. Most utility vehicles are 

currently regulated by the Small SI program, with 

a small subset of utility vehicles required by the 

Final Rule to meet ATV standards. See section 

III.B.3. above, for a complete discussion of utility 

vehicles. When we say utility-type ATV, we are 

referring to ATVs that have features that are work 

related such as cargo racks. These ATVs are often 

somewhat larger and bulkier than sport models and 

may have transmissions geared more for work 

related tasks rather than for high performance. 

However, they have ATV features such as four low 

pressure tires, a seat designed to be straddled by the 

operator, handlebars for steering controls, and are 

intended for use by a single operator. These vehicle 

must meet ATV requirements.

56Comments of the Motorcycle Industry Council, 

Inc., and the Specialty Vehicle Institute of America 

on the Notice of Proposed Rulemaking to Establish 

Mandatory Emission Standards for Nonroad Large 

Spark-Ignition Engines and Recreational Engines 

(Marine and Land-Based), Air Docket A–2000–01, 

IV–D–214.

results of our preliminary testing are 

discussed further in Section III.F and in 

the Final Regulatory Support Document. 

It is unclear if the level of technology 

we projected in the proposal would be 

sufficient to meet the Phase 2 standards. 

We have not done enough research or 

testing on other potential technologies, 

such as electronic or direct fuel 

injection, to finalize a decision based on 

these technologies. We plan to continue 

to evaluate the technologies that would 

be needed to meet the Phase 2 levels 

and determine if those levels can be met 

with the level of technology we 

projected in the proposal or with other 

technology. We also received comments 

that we underestimated costs for Phase 

2 and we will continue to evaluate costs 

as well.

In addition, we received comments 

that the emissions inventories we 

projected for ATVs were too large, and 

that if we adjusted them appropriately, 

we would see that Phase 2 was not 

needed. This is provided in detail in the 

public docket.56 We have studied and 

evaluated in-depth the new and 

additional information provided by the 

commenters after we published the 

proposal. As is shown in our revised 

analysis, the emissions inventory 

projections for ATVs have been reduced 

by more than 75 percent in response to 

the significant new information we 

received after publishing the proposal. 

Our analysis of the appropriate 

standards for 2006/2007 described 

above was made using this new 

information, and future analysis of 

Phase 2 standards would also use these 

revised inventory numbers. However, it 

is important to note that the revised 

inventories still show that these 

vehicles contribute to nonattainment.

Engine-based Standards 

California allows ATVs to be 

optionally tested using the California 

ARB utility engine test cycle (SAE 

J1088) and procedures. In California, 

manufacturers using the J1088 engine 

test cycle option must meet the 

California Small Off-Road Engine 

emission standards. Some 

manufacturers do not have chassis 

testing facilities and at the time 

California finalized its program were 

concerned about the cost of doing FTP 

testing for California-only requirements. 

To use this option, manufacturers were 

required by California to submit some 

emission data from the various modes of 

the J1088 test cycles to show that 

emissions from these modes were 

comparable to FTP emissions. Although 

a good correlation was not found 

between the two test cycles, California 

allowed this option because the goal of 

their program was to encourage fourstroke engine technology in ATVs. 

As described above, we are finalizing 

standards based on vehicle testing over 

the FTP that are essentially harmonized 

with the California FTP standards. We 

did not propose a permanent option of 

engine testing using J1088 due to strong 

concerns that the test cycle misses 

substantial portions of ATV operation 

because it contains test points at only 

one engine speed. We understand that 

vehicle testing would be a significant 

change for manufacturers who currently 

conduct emissions testing on the engine 

rather than the vehicle for California. 

Due to the costs and lead-time 

requirements associated with switching 

to vehicle-based testing, we proposed a 

transitional program to allow the J1088 

option for models years 2006 through 

2008. To facilitate the phase-in of ATV 

standards, we proposed to allow 

manufacturers to optionally certify 

ATVs using the California utility cycle 

and standards, shown in Table III.C–1, 

instead of the FTP standards.

TABLE III.C–1.—CALIFORNIA UTILITY ENGINE EMISSION STANDARDS

Engine displacement HC+NOX CO 

Less than 225 cc ................................................................................. 12.0 g/hp-hr ...................................................................

(16.1 g/kW-hr) ...............................................................

300 g/hp-hr 

(400 g/kW-hr) 

Greater than 225 cc ............................................................................ 10.0 g/hp-hr ...................................................................

(13.4 g/kW-hr) ...............................................................

300 g/hp-hr 

(400 g/kW-hr) 

We are finalizing this approach, but 

will eliminate the J1088 option 

(including both the test cycle and the 

utility engine emission standards) for 

certification in model year 2009. The 

last model year to use the J1088 cycle 

and emission standards is 2008. We 

received comments that the FTP is also 

not representative of ATV operation and 

that the J1088 option should remain 

available until a new test cycle and 

accompanying standards can be 

developed and made available to 

manufacturers. Although it may not be 

completely representative of ATV 

operation, we believe the FTP to be 

greatly superior to the J1088 test cycle 

because the cycle is transient, emissions 

are measured at a variety of speeds and 

it is more likely to result in robust 

emission-control designs that reduce 

emissions in-use. We continue to be 

very concerned that the vast majority of 

ATV operation is missed with the J1088 

test because the engine is tested at only 

one engine speed. ATV operation is 

inherently transient in nature because 

the user controls the throttle position to 

vary vehicle speed. We believe the 

J1088 test is not sufficient to ensure 

robust emissions control development 

and use for ATVs. Given the choice of 

available test procedures for the longterm, we could not justify retaining the 

J1088 option. 

For small displacement ATVs of 70 cc 

or less, we proposed that they would 

have the permanent option to certify to 

the proposed FTP-based ATV standards 

discussed above or meet the Phase 1 

Small SI emission standards for nonhandheld Class 1 engines. These 

standards are 16.1 g/kW-hr HC+NOX

and 610 g/kW-hr CO. Manufacturers 

argued that ATVs with engine 

displacements between 70 cc and 99 cc 

also should be allowed to certify to the 

Small SI standards, since the differences 

between a 70 cc and 99 cc engine is very 

small and the ATVs equipped with 99 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68271

57See item IV–G–114, docket A–2000–01.

cc engines face the same obstacles with 

the FTP test cycle as the 70 cc and 

below ATVs. They also argued that the 

Phase 1 Small SI standards are too 

stringent for these engines and 

recommended that EPA adopt the Phase 

2 standards for Class 1B engines of 40 

g/kW-hr for HC+NOX and 610 g/kW-hr 

for CO. 

We recognize that the vast majority of 

engine families, including 4-stroke 

engines, below 100 cc are not certified 

to the California standards, which is an 

indication to us that the standards 

proposed may not be feasible for most 

engines in this size range given the lead 

time provided. However, manufacturers 

did not provide supporting data and we 

do not have data to confirm that the 

level recommended by the 

manufacturers would result in an 

appropriate level of control. We 

examined the 2002 model year 

certification data for non-handheld 

Small SI engines certified to the Phase 

2 Class I–A and I–B engine standards 

(engines below 100 cc). We found that 

the five engine families certified to these 

standards had average emissions for 

HC+NOX of about 25 g/kW-hr. All of 

these engine families had CO emissions 

below 500 g/kW-hr and well below the 

610 g/kW-hr level recommended by 

manufacturers. We believe these levels 

are more representative of the levels that 

can be achieved with the lead time 

provided through the use of 4-stroke 

engines than the standards 

recommended by the manufacturers. 

Therefore, we are finalizing a 25.0 g/

kW-hr HC+NOX standard and a 500 g/

kW-hr CO standard for ATVs with 

engine displacements of 99 cc or less. 

These standards will be optional to the 

FTP-based standards and, unlike the J–

1088 standards option for larger 

displacement engines, the option will 

not expire. We are retaining averaging 

for the HC+NOX standard but do not 

believe averaging would be appropriate 

for the CO standard. This is consistent 

with the approach outlined above for J–

1088 standards for engines above 100 

cc. 

The ATV standards are phased in at 

50% of a manufacturer’s production in 

2006 and 100% in 2007. This phase-in 

applies to a manufacturer’s overall ATV 

production regardless engine size or 

which option a manufacturer chooses 

for standards for particular models. 

New Test Procedure for ATVs 

We are comfortable with retaining the 

FTP as the basis of the long-term ATV 

program. However, EPA understands 

the manufacturers’ concerns regarding 

the additional facility costs associated 

with FTP testing for ATVs. We also 

recognize that this approach is a 

significant deviation from their current 

practice in the California program. 

Throughout the development of the 

final rule, we have met with 

manufacturers and the State of 

California and have discussed the 

possibility of developing a new test 

cycle for ATVs. We intend to work 

further with all interested parties to 

determine whether a new test cycle and 

accompanying standards is appropriate. 

The standards, if developed for the new 

test cycle, would be of equivalent 

stringency to the FTP standards 

discussed above. If we do propose a new 

test cycle and accompanying standards 

for ATVs, it is likely that we would do 

so in concert with a decision on 

whether a second phase of standards is 

appropriate for ATVs. We are now 

developing a Memorandum of 

Understanding with manufacturers 

which describes in detail the steps that 

will be taken in furtherance of this 

task.57 Other interested parties 

including the state of California will 

also be invited to participate in this 

process.

By finalizing the temporary 

availability of J1088, we are providing 

time to develop, and if appropriate, 

finalize and implement an alternative to 

the FTP that meets both the needs of the 

Agency, manufacturers and other 

parties. This allows for our program to 

remain harmonized with California 

during the transition to the new test 

procedure. However, we do not support 

allowing the use of J1088 for a period 

any longer than necessary to make this 

transition. We expect that developing a 

new test cycle will be relatively 

straightforward and that the MOU 

process cited above will provide a road 

map of how we will proceed. We expect 

to initiate this effort next year and 

conclude the work on the new test cycle 

in enough time to promulgate it through 

rulemaking and to provide industry 

adequate lead time to implement it in an 

orderly manner (nominally three years 

lead time). If we encounter unforeseen 

and unavoidable delays or 

complications in this process, we will 

consider extending the J1088 

temporarily as part of our process of 

adopting changes to the ATV test cycle 

through rulemaking. We would expect 

such an extension to be at most for one 

model year. 

c. Snowmobiles. We are adopting CO 

and HC emission standards for 

snowmobiles, effective in three phases, 

as discussed below. As discussed below, 

we are also adopting an emissions 

averaging banking and trading program 

for snowmobiles which includes 

provisions for the early generation of 

credits prior to the effective date of the 

standards. We are not adopting PM 

standards for snowmobiles at this time, 

because limits on HC emissions will 

serve to simultaneously reduce PM and 

because there are significant 

complications in accurately measuring 

PM that make requiring PM standards 

difficult in this time frame. Finally, we 

are not adopting limits for NOX for the 

first two phases of standards, but 

manufacturers are required to measure 

NOX emissions and report them in the 

application for certification. However, 

we have included NOX in the Phase 3 

standards to effectively cap NOX

emissions from snowmobiles. 

The three phases of standards we are 

adopting will require progressively 

broader application of advanced 

technologies such as direct injection 

two-stroke technology, and four stroke 

engines. Only about two percent of 

current snowmobile production utilizes 

these advanced technologies. We expect 

that about seven percent of new 

snowmobiles will have them by 2005. 

With the Phase 1 standards we expect 

that ten percent of snowmobiles will 

require advanced technologies (in 

addition to less advanced emissions 

controls on most other snowmobiles). 

We project that the Phase 2 and Phase 

3 standards will require the application 

of advanced technology on 50 and 70 

percent of new snowmobiles, 

respectively. 

Phase 1 Standards 

We are adopting Phase 1 standards 

largely as proposed for snowmobiles to 

take effect for all models starting in the 

2006 model year. However, given that 

the manufacturers will effectively have 

only three years to design and certify 

snowmobiles prior to the 2006 model 

year, as well as the fact that 

snowmobiles are currently unregulated, 

we believe that requiring 100 percent of 

models to certify in 2006 is not 

reasonable. Thus, we are including a 

phase in of the Phase 1 standards with 

50 percent of sales required to comply 

with the 30 percent reduction standards 

in 2006 and 100 percent compliance 

required in 2007. The standards of 275 

g/kW-hr (205 g/hp-hr) for CO and 100 g/

kW-hr (75 g/hp-hr) for HC are to be met 

on average by each manufacturer. As 

described in the proposal, these 

standards represent a 30-percent 

reduction from the baseline CO and HC 

emission rates for uncontrolled 

snowmobiles. We expect manufacturers 

to meet these standards using a variety 

of technologies and strategies across 

their product lines. For the reasons 

68272 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

58http://www.arcticcat.com, http://

www.polarisindustries.com, http://

www.skidoo.com, and http://www.yamahamotor.com.

59See the snowmobile feasibility discussion in 

the Final Regulatory Support Document.

described below, we believe these are 

the most stringent standards feasible 

beginning in the 2006 model year. 

Snowmobiles pose some unique 

challenges for implementing emissioncontrol technologies and strategies. 

Snowmobiles are very sensitive to 

weight, power, and packaging 

constraints. Current snowmobile 

designs have very high power-to-weight 

ratios, to address performance 

considerations. The desire for low 

weight has been stated to be a concern, 

since weight (and weight distribution) 

affects handling and operators 

occasionally have to drag their sleds out 

of deep snow. This has especially been 

mentioned as a concern in the context 

of four-stroke engines given that they 

are heavier than their two-stroke 

counterparts of similar power. However, 

four-stroke engines have significantly 

better fuel economy than two-stroke 

engines, and for identical fuel tank 

sizes, would have significantly greater 

range. This of course would be a 

positive attribute. The size of a fuel tank 

on a four-stroke powered snowmobile 

could be reduced to provide similar 

range to that of a similarly powered twostroke snowmobile, resulting in 

offsetting weight savings from both the 

smaller fuel tank and less fuel on board. 

However, this could still represent a 

change in the distribution of weight 

compared to current sleds. 

The approach used to control 

emissions in compliance with the Phase 

1 standards will vary according to a 

given manufacturers product line, 

technological capability, long term 

plans, and other factors. However, we 

expect all manufacturers to pursue a 

mix of technologies. Some 

manufacturers may focus more on clean 

carburetion and associated engine 

modifications and apply those widely 

across their entire product line with 

more limited implementation of 

advanced technology such as four-stroke 

and semi direct injection engines. 

Others may choose to be more 

aggressive in applying advanced 

technologies in their more expensive, 

high-performance sleds and be less 

aggressive in pursuing emission 

reductions from their lower-priced 

offerings to optimize the fit of different 

technologies (and their associated costs) 

to the various product offerings in the 

near term. As can be seen on their 

websites58, all large manufacturers now 

have limited product offerings of 

advanced emissions technology 

snowmobiles. Snowmobiles must, on 

average and according to the phase in 

schedule, meet the first phase of 

emission standards beginning with the 

2006 model year. Given the relative 

inexperience this industry has with 

designing effective snowmobile engines 

with advanced emissions controls and 

in certifying to EPA requirements, it is 

unlikely that any manufacturer could 

market enough of these advanced 

snowmobiles for model year 2006 to 

enable it to meet significantly more 

stringent standards. Due to the unique 

performance requirements for 

snowmobiles and the relatively short 

lead time to modify current engines or 

design new products, we believe our 

2006/2007 standards will be 

technologically challenging for 

manufacturers and will result in cleaner 

snowmobiles.

Phase 2 and Phase 3 Standards 

We believe the two most viable 

advanced technologies for use in 

snowmobiles are two-stroke direct (or 

semi-direct) injection technology and 

four-stroke engines. All four major 

snowmobile manufacturers either 

currently offer or are planning to offer 

in the next year or two one or more of 

these technologies on a limited number 

of snowmobile models. With sufficient 

resources and lead time for 

manufacturers, we believe it would be 

technologically possible to eventually 

apply such advanced technology 

broadly across most or all of the 

snowmobile fleet. 

Manufacturers have indicated that 

with enough investment and sufficient 

time to design and implement direct 

injection technology for snowmobile 

use, two-stroke engines equipped with 

direct fuel injection systems can reduce 

HC emissions by 70 to 75 percent and 

reduce CO emissions by 50 to 70 

percent. These projections are based 

largely on laboratory prototypes and 

generally do not account for in-use 

deterioration or the need for production 

compliance margins in the ultimate 

certification levels. Certification results 

for 2002 model year outboard engines 

and personal water craft support these 

projections.59

In addition to the direct injection twostroke, a few four-stroke models are 

currently available, and more are 

expected to be introduced in the next 

few years. Based on testing of 

prototypes and other low-hour engines 

it appears that advanced four-stroke 

snowmobiles are capable of HC 

reductions ranging from 70 to 95 

percent relative to current technology 

two-stroke snowmobile engines. 

However, CO reductions from four 

stroke engines vary quite a bit. For fourstroke engines used in low-power 

applications, CO reductions of 50 to 80 

percent from baseline levels have been 

reported. However, the majority of the 

snowmobile market is for higherpowered performance machines, and 

CO reductions from higher powered 

four stroke engines are lower than those 

from low powered four strokes, with 

expected reductions of 20 to 50 percent 

from baseline levels. As discussed 

further in the RSD and Summary and 

Analysis of Comments document, we 

expect that many of the four-stroke 

snowmobile models offered in the 

future will not be current two-stroke 

models which have been modified to 

utilize a four-stroke engine, but rather 

new models designed specifically to 

take advantage of the unique 

characteristics of four-stroke engines. 

Thus, we expect that the lead time 

associated with the conversion to fourstroke engines and optimized sleds is 

even longer than that needed for 

conversion to direct injection two-stroke 

technology. 

It is not obvious to us that either of 

these advanced technologies is better 

than the other or more suited to broad 

application in the snowmobile market. 

Each has its strong points regarding 

emissions performance, power, noise, 

cost, etc. For example, two-stroke 

engines equipped with direct fuel 

injection have the potential to have 

greater CO emission reductions than a 

comparably powered four-stroke engine, 

although they would have less HC 

reductions. For those applications 

where a light, powerful, compact engine 

is desired, a direct injection two-stroke 

engine may be preferred. However, for 

applications where pure power and 

speed is desired, a high-performance 

four-stroke engine may be preferred. 

Given the broad range of snowmobile 

model designs and applications it is 

apparent that one of these technologies 

could be preferable to the other in some 

situations. Further, given the broad 

range of snowmobile types offered, a 

mix of advanced technologies would 

provide the best opportunity for 

substantial average emission reductions 

while still maintaining customer 

satisfaction across the entire range of 

snowmobile types. Thus, we believe it 

is most appropriate to set emission 

standards for snowmobiles that are not 

based entirely on the use of either direct 

injection two-stroke technology or fourstroke engines, but rather a mix of the 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68273

two, along with some other technologies 

in certain applications.

It is our belief that with sufficient 

resources and lead time, manufacturers 

can successfully implement 

technologies such as two-stroke direct 

injection and four-stroke engines in 

many models in their respective 

snowmobile fleets. The question at hand 

is how broadly this technology can be 

practically applied across the 

snowmobile fleet in the near term, 

taking into account factors such as the 

number of engine and snowmobile 

models currently available, and the 

capacity of the industry to perform the 

research and development efforts 

required to optimally apply advanced 

technology to each of these models. 

Currently there are only four major 

snowmobile manufacturers, and each 

has different technological capabilities. 

Of these four, only two currently 

manufacturer all of their own engines, 

one has limited in-house engine 

manufacturing operations, the other has 

none. Beyond this, there are only two 

advanced technologies (direct injection 

two-stroke, and four stroke) that at this 

time appear to be feasible to provide 

significant reductions in snowmobile 

emissions. Further, given the small 

volume of snowmobile sales compared 

to other vehicles and equipment which 

use similar sized engines, these 

manufacturers may have difficulty in 

working with their engine suppliers to 

develop and optimize four-stroke or 

direct injection two-stroke technology 

quickly. Clearly, the nature of the 

relationship between these snowmobile 

manufacturers and their suppliers 

would result in a less efficient use of 

available lead time as compared to the 

manufacturers that have both 

technology and engine manufacturing 

available in-house. Thus, there is 

varying capability within the 

snowmobile industry to develop and 

implement advanced technology in the 

next five to ten years. 

The amount of engine redesign or 

development work is another factor. 

While one snowmobile manufacturer 

currently offers four different engine 

models, the other three, including the 

two that do not manufacture their own 

engines, currently offer eight to twelve 

engine models each. Additionally, each 

of these engine models typically goes 

into more than one type of snowmobile. 

There are a variety of basic snowmobile 

types specifically designed for a variety 

of riding styles and terrains including 

high-performance trail riding, highperformance off-trail riding (including 

designs specifically for deep snow), 

mountain riding, touring (two person 

snowmobiles designed for use on 

groomed trails), and entry level 

snowmobiles (lower-powered and lower 

priced snowmobiles which utilize 

simpler technology and are specifically 

designed to appeal to first time buyers). 

Some snowmobile manufacturers also 

offer snowmobile models specifically 

for youth, and utility models for work 

in cold climates or to facilitate winter 

sports such as hauling winter camping 

gear, or hunting and fishing equipment. 

It is not surprising that some of these 

snowmobile models are much more 

popular than others. Thus, there can be 

quite a difference in the production 

volumes of the different snowmobile 

types, with performance models 

typically having large sales volumes, 

and more unique models such as utility 

and youth models selling far fewer 

units. 

Considering the number of 

snowmobile types, and the fact that 

each engine model is typically used in 

several different snowmobile models, 

each manufacturer has potentially 

dozens of different engine/snowmobile 

combinations that it offers. An analysis 

of the manufacturers current product 

offerings shows that while one 

manufacturer has only about twelve 

unique engine/snowmobile model 

combinations, the other three offer 

significantly more—from around 30 to 

over 50. Each of these different 

snowmobile models is designed with 

specific power needs in mind, with the 

engine and clutching specifically suited 

for the application style for which the 

snowmobile was intended. This means 

that a given engine model may require 

slightly different calibrations for each 

different snowmobile model in which it 

is used. While the advanced 

technologies are known, they are not 

‘‘one size fits all’’ technologies. These 

technologies need to be optimized not 

only for the specific engine model, but 

in some cases for the snowmobile the 

engine will be used in as well, as just 

described. 

For all of the reasons just discussed, 

we believe that it is necessary to allow 

two additional years of lead time for 

compliance with the proposed Phase 2 

standards, and are therefore adopting 

the ultimate phase of snowmobile 

standards effective for the 2012 model 

year rather than the 2010 model year as 

proposed. However, we expect that 

between the 2006 and 2012 model years 

there can and will be substantial 

development and application of 

advanced technologies on snowmobiles 

beyond that required in compliance 

with the Phase 1 standards. We believe 

that it is important to capture the 

emission benefits that these advances 

present, and are therefore adopting a 

new set of Phase 2 standards, effective 

with the 2010 model year, which will 

require 50 percent HC reductions and 30 

percent CO reductions from average 

baseline levels. The Phase 2 standards 

are 275 g/kW-hr (205 g/hp-hr) for CO 

and 75 g/kW-hr (56 g/hp-hr) for HC. 

These Phase 2 standards will be 

followed by Phase 3 standards in 2012 

which will effectively require the 

equivalent of 50 percent reductions in 

both HC and CO as compared to average 

baseline levels. 

We believe that the 2010 and 2012 

model years are appropriate for the 

second and third phases of snowmobile 

standards because they allow an 

additional four to six years beyond the 

Phase 1 standards for the further 

development and application of 

advanced emissions control technology. 

We expect that the manufacturers will 

utilize some level of advanced 

technology in compliance with the 

Phase 1 standards, and this will give the 

manufacturers some time to evaluate 

how the advanced technology they have 

already applied works in the field as 

well as give them several years to work 

with the certification and compliance 

programs before more stringent Phase 2 

standards take effect in 2010. We 

believe that by the 2010/2012 time 

frame manufacturers could, at least in 

theory, apply advanced technology 

across essentially their entire product 

lines. However, the manufacturers are 

resource constrained, and they will 

need to focus their efforts on 

compliance with the Phase 1 and Phase 

2 standards prior to the 2010 model 

year. There is a need for significant 

technology development and 

manufacturing learning to occur, and 

there is concern that in this time frame 

such technology could not be 

performance, emissions, and safety 

optimized for each application given the 

number of engine and snowmobile 

model combinations that would require 

optimization. This would be especially 

challenging for those manufacturers 

who rely on outside suppliers for their 

engines. Rather, we expect that by the 

2012 model year the manufacturers 

could both apply and optimize 

advanced technology to their larger 

volume families while applying clean 

carburetion and electronic fuel injection 

technology to the rest of their 

production. Under this scenario we 

expect that the manufacturers could 

apply optimized advanced technology 

on around 50 percent of their 

production by the 2010 model year, and 

an additional 20 percent of their 

production by the 2012 model year. We 

do not believe that having only two 

68274 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

years lead time between the Phase 2 and 

Phase 3 standards presents any 

problems because compliance with the 

Phase 3 standards will be achieved 

through the broader application of 

technologies which will already be 

applied in compliance with the Phase 2 

standards, rather than through the 

introduction of new technologies 

altogether. 

As was previously discussed, fourstroke technology has the potential to 

significantly reduce HC emissions, even 

below levels expected from direct 

injection two-stroke technology. 

However, higher powered four-stroke 

engines are not currently capable of CO 

reductions on the order of those 

expected from direct injection twostroke technology. This is significant 

given that a very large segment of the 

snowmobile market is in higher 

powered performance sleds. We are 

concerned that a straight 50 percent 

reduction in CO in the Phase 3 

standards may deter technology 

development and constrain the use of 

four-stroke technology in this key 

portion of the snowmobile market. As 

the emissions standards become more 

stringent we believe that it is important 

to provide additional flexibility to 

assure compliance in a manner which 

minimizes costs and is consistent with 

the availability of technology and the 

realities of the snowmobile marketplace. 

Thus, to allow snowmobile 

manufacturers the flexibility to base 

their future product lines on higher 

percentages of four-stroke models, we 

are adopting a flexible Phase 3 

standards scheme that will allow 

manufacturers to certify their 

production to levels which nominally 

represent 50 percent reductions in HC 

and CO. This overall reduction could be 

met by other combinations summing to 

100 percent such as 70 percent 

reductions in HC and 30 percent 

reductions in CO, or any level between 

these two points (for example, 60 

percent reductions in HC and 40 percent 

reductions in CO). However, in no case 

may a manufacturer’s corporate average 

for the individual pollutants for Phase 3 

be less than 50 percent on HC and 30 

percent on CO (the Phase 2 standards).

Some manufacturers have raised 

safety concerns regarding the use of 

advanced technologies on snowmobiles, 

particularly four-stroke engines used in 

high-performance and mountain sleds. 

In particular, they raised issues 

regarding weight and the ability to start 

the snowmobile in cold weather. 

However, we believe these issues can be 

overcome with sufficient time and 

technology. For example, as noted 

above, smaller fuel tanks can 

significantly reduce the weight of fourstroke snowmobiles. The use of new 

light-weight materials can also reduce 

weight for four-stroke designs. 

Manufacturers have raised concerns 

over cold starting for four-stroke engines 

because the typical four-stroke design 

uses an oil distribution system where 

the pump and oil are located in the 

crankcase (referred to as a ‘‘wet’’ sump). 

During extremely cold temperatures, the 

oil becomes thick and provides an 

additional load the engine must 

overcome when starting. However, by 

using a ‘‘dry’’ sump, where the oil and 

pump are located in a separate tank (not 

in the crankcase), the concern over cold 

temperature starting loads due to 

thickened oil in the crankcase are gone. 

The new Yamaha RX–1 four-stroke 

snowmobile uses a smaller fuel tank and 

lighter materials to reduce weight and a 

dry sump to help cold starting, so 

clearly these issues can be addressed. 

We believe that, given enough 

resources and lead time, it is ultimately 

feasible at some point beyond the 2012 

model year to apply advanced 

technology successfully to all 

snowmobiles and perhaps to even 

resolve current design and operating 

issues with regard to the use of 

aftertreatment devices such as catalytic 

converters. However, it is difficult to 

predict at this point when this would be 

feasible, especially given the number of 

smaller volume snowmobile models that 

would need development effort once the 

larger volume models were optimized in 

compliance with the Phase 3 standards 

in 2012. We did consider standards 

based on the full application of 

optimized advanced technology to all 

snowmobiles, for example by setting the 

Phase 3 standards at a level that would 

require the full application of advanced 

technology to all snowmobiles. 

However, we believe that such 

standards are not feasible by 2012 and, 

we are not confident that we could 

choose the appropriate model year 

beyond 2012 for such standards given 

how far in the future such a requirement 

would be. Such an approach would also 

serve to eliminate the benefits 

associated with the Phase 3 standards in 

2012. There are diverse capabilities and 

limiting factors within the industry, and 

time is needed for an orderly 

development and prove out of this 

advanced technology across the various 

models and applications before 

standards are set which require its use 

in all models. Additionally, as these 

engines have never previously been 

regulated or used advanced emission 

control technologies in large numbers, 

we believe it is appropriate to monitor 

the development and use of such 

technologies on snowmobiles before 

requiring these technologies for the 

entire fleet. Thus, we chose not to set 

standards at this time based on the 

optimized application of advanced 

technology to all snowmobiles. 

Nevertheless, we will monitor the 

development and application of the 

advanced technology as manufacturers 

work to comply with the Phase 3 

standards in 2012 and will consider a 

fourth phase of snowmobile standards 

to take effect sometime after the 2012 

model year. 

We have not included a NOX standard 

for the first two phases of the 

snowmobile regulations because NOX

emissions from snowmobiles, 

particularly two-stroke engines, are very 

small compared to levels of HC, CO and 

PM and we believe that stringent NOX

standards may require the use of 

technologies that will lead to increases 

in HC, PM and CO levels. Technologies 

that reduce NOX are likely to increase 

levels of HC, PM and CO and vice versa, 

because technologies to reduce HC, PM 

and CO emissions would result in 

leaner operation. A lean air and fuel 

mixture causes NOX emissions to 

increase. These increases are minor, 

however, compared to the reductions of 

HC, CO and PM that result from these 

techniques. On the other hand, any 

attempt to control the NOX emissions 

may have the counter-effect of 

increasing HC, CO, and PM emissions, 

as well as causing the greater secondary 

PM concentrations associated with 

increased HC emissions. This is 

especially critical for HC and PM, 

because NOX would be regulated 

primarily for its effect on secondary PM 

levels. 

We are promulgating a NOX standard 

(actually an HC plus NOX standard) as 

part of the third phase of the 

snowmobile standards. This standard 

will essentially cap NOX emissions from 

these engines. The reason we are 

including such standards in the final 

phase of the rule as that the third phase 

of the rule will result in increases in the 

use of four-stroke engines. While fourstroke engines greatly reduce HC and 

direct PM levels, they increase levels of 

NOX. While NOX levels remain 

substantially lower than HC and CO 

levels, they are higher than levels for 

two-stroke engines. 

Thus, it is appropriate to place a cap 

on such levels to ensure that levels do 

not become so high as to become a 

substantial concern.

While we are promulgating an 

effective cap on such emissions, the 

standard will not mandate substantial 

reductions in NOX. This is because the 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68275

emissions effect on reducing NOX from 

four-stroke engines is the same as for 

two-stroke engines; that is, technologies 

that substantially reduce NOX will 

increase levels of other pollutants of 

concern. The only way to reduce NOX

emissions from four-stroke engines (at 

the same time as reducing HC and CO 

levels) would be to use a three-way 

catalytic converter. We don’t have 

enough information at this time on the 

durability or safety implications of 

using a three-way catalyst with a fourstroke engine in snowmobile 

applications. Three-way catalyst 

technology is well beyond the 

technology reviewed for this rule and 

would need substantial additional 

review before being contemplated for 

snowmobiles. Thus, given the 

overwhelming level of HC and CO 

compared to NOX, and the secondary 

PM expected to result from these levels, 

it would be premature and possibly 

counterproductive to require substantial 

NOX reductions from snowmobiles at 

this time. 

2. Are There Opportunities for 

Averaging, Emission Credits, or Other 

Flexibilities? 

a. Averaging, banking and trading.

Historically, voluntary emission-credit 

programs have allowed a manufacturer 

to certify one or more engine families at 

emission levels above the applicable 

emission standards, provided that the 

increased emissions are offset by one or 

more engine families certified below the 

applicable standards. With averaging 

alone, the average of all engine families 

for a particular manufacturer’s 

production must be at or below that 

level of the applicable emission 

standards. We are adopting separate 

emission-credit programs for 

snowmobiles, off-highway motorcycles, 

and ATVs. We are adopting an 

emission-credit program for the optional 

ATV engine-based standards as well as 

the chassis-based standards. 

In addition to the averaging program 

just described, the emission-credit 

program contains banking and trading 

provisions, which allow manufacturers 

to generate emission credits and bank 

them for future use in their own 

averaging program or sell them to 

another entity. We are not adopting a 

credit life limit or credit discounting for 

these credits. Unlimited credit life and 

no discounting increases the incentive 

to introduce the clean technologies 

needed to gain credits. To generate 

credits, the engine family’s emissions 

level must be below the standard, so any 

credits will result from reducing 

emissions more than necessary to meet 

the standards. 

ATVs and Off-highway Motorcycles 

Emission credits from off-highway 

motorcycle and ATVs will be averaged 

separately because there are differing 

degrees of stringency in the standards 

for ATVs and off-highway motorcycles 

long-term and we do not want offhighway motorcycle credits to dilute the 

effectiveness of the ATV standards. This 

also avoids providing an advantage in 

the market to companies that offer both 

types of products over those that 

produce only one type. Also, ATVs 

certified to the chassis-based standards 

or engine-based standards are 

considered separate averaging groups 

with no credit exchanges between the 

two. We are not allowing credit 

exchanges between engine and chassisbased testing because there is little, if 

any, correlation between the two test 

cycles. Without a strong correlation, it is 

not possible to establish an exchange 

rate between the two programs. For the 

engine-based (J–1088) ATV standards, 

the standards vary by engine size (less 

than 100 cc, 100 cc up to 225 cc, and 

225 cc and greater). We are allowing 

averaging, banking, and trading for each 

of the separate engine-based HC+NOX

standards with no credit exchanges or 

averaging between the engine size 

categories. 

We did not propose an averaging, 

banking, and trading program for CO for 

ATVs and off-highway motorcycles 

because it was not clear if such 

provisions would be needed to 

implement the expected technologies or 

if the need would warrant the additional 

complexity of an averaging program. We 

received comments that the 25 g/km CO 

standard could be technologically 

limiting in some instances. 

Manufacturers recommended that EPA 

drop CO the standard from the program 

and provided no comments regarding 

CO averaging. In addition, our recent 

testing indicates that the level of the 

standards may represent a significant 

technological challenge to the 

manufacturers in some cases. 

We are retaining CO standards in the 

final program, and are establishing 

different CO standards for off-highway 

motorcycles and ATVs, as discussed in 

Section III.C.1. For ATVs, we are 

addressing the feasibility issues by 

finalizing a standard of 35 g/km. We are 

not including averaging or a credits 

program at this level. We are also 

adopting the 35 g/km CO standard for 

the optional off-highway motorcycle 

program with no averaging or credits 

program. At the 35 g/km level, we 

believe averaging is unnecessary and 

would greatly reduce the need to control 

CO, especially for larger manufacturers 

who have several engine families with 

which to average. The engine-based (J–

1088) standards for CO also do not 

represent levels of stringency where we 

believe averaging would be appropriate 

or necessary. California certification test 

data shows that the engine-based (J–

1088) CO standards can be achieved 

with reasonable compliance margins. 

For the primary off-highway 

motorcycle program, we are retaining 

the proposed 25 g/km CO standard. We 

are providing the option of averaging for 

the 25 g/km CO standard, to help 

manufacturers balance the need to 

control CO while meeting stringent NOX

requirements. We believe that the final 

program with averaging for CO will 

enable manufacturers to develop a 

unified emission-control strategy to 

control HC, NOX, and CO, rather than 

requiring them to develop unique 

control strategies driven by the need to 

meet the CO standards. 

We are adopting FEL caps where we 

are allowing averaging standards. For 

ATVs certified to the 1.5 g/km FTP 

standard, there will be an FEL cap of 20 

g/km HC+NOX. This cap will also apply 

to off-highway motorcycles certified to 

the 2.0 g/km NOX+HC standard. For offhighway motorcycles certified to the 25 

g/km CO standard, the CO cap will be 

50 g/km. For off-highway motorcycles, 

we are also finalizing an option that 

allows manufacturers to certify to an 

average HC+NOX standard of 4.0 g/km, 

if the manufacturer certifies all offhighway motorcycles including 

competition machines. Under this 

option, we are limiting FELs to 8.0 g/

km. The goal of the option is to 

encourage the development and 

certification of clean competition 

products. Without a reasonable FEL 

limit, manufacturers could certify twostroke machines at, or close to, baseline 

levels. This is a concern because the 

majority of manufacturers’ product 

offerings are likely to be certified below 

the 4.0 g/km level and significant 

credits could be available. We believe 

the 8.0 g/km limit ensures significantly 

cleaner products compared to baseline 

levels for competition machines, while 

providing manufacturers with the 

incentive and flexibility to pursue 

innovative technologies for their 

competition products.

As noted above, we have also 

included engine-based J–1088 standards 

for ATVs. The HC+NOX portion of the 

J–1088 standards can be met through 

averaging and we have included 

reasonable emissions caps for these 

standards as well. For engines certified 

to the permanent optional J–1088 

standards for ATV engines below 100 

cc, the emissions cap is 40.0 g/kW-hr. 

68276 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

The NOX+HC emissions cap is 32.2 g/

kW-hr for engine certified to the 

temporary J–1088 standards which are 

available for all engine sizes. 

Snowmobiles 

For snowmobiles, we are adopting an 

emissions averaging and credit program 

for all three phases of standards. 

Averaging is available for each phase of 

standards. Once the program begins in 

2006, manufacturers will make a 

demonstration of compliance with the 

applicable corporate average standards 

at the end of the model year. If a 

manufacturer has achieved a corporate 

average level below the corporate 

average standards, then the 

manufacturer may bank credits. 

Manufacturers may bank credits for use 

in a current phase of standards based on 

the difference between their corporate 

average and the standards. In order to 

bank credits for future use under a 

subsequent phase of standards, 

manufacturers may pull engines from 

their corporate average for the current 

phase of standards and certify them 

early to a future phase of standards. The 

credits must be generated based on the 

difference between the FEL for those 

engines and the phase of standards for 

which they are intended to be used. The 

credits may not be carried forward for 

use to meet a subsequent phase of 

standards. 

For example, manufacturers may bank 

Phase 2 credits in 2007 by removing 

engines from their 2007 corporate 

average for one or both pollutants and 

certifying the engines to the Phase 2 

standards early. These Phase 2 credits 

may then be saved for Phase 2, but may 

not be used for Phase 3. Manufacturers 

may also remove only part of an engine 

family for purposes of banking credits. 

Manufacturers may bank credits after 

the end of the model year when they 

have completed their demonstration of 

compliance for that year. The Final Rule 

includes provisions for banking credits 

for a single pollutant, with the other 

pollutant remaining in the averaging 

program for the current model year. For 

Phase 3, if a manufacturer chooses to 

bank credits for only one pollutant, the 

manufacturer must use an assigned 

value for the other pollutant in the 

Phase 3 standards formula. We are 

specifying a value of 90 g/kW-hr for 

HC+NOX and 275 g/kW-hr for CO. 

These levels ensure no windfall credits 

using the Phase 3 formula for the creditgenerating engines. 

Starting with Phase 3, Family 

Emission Limits may be set up to the 

current average baseline emission levels 

of 400 g/kW-hr (300 g/hp-hr) CO and 

150 g/kW-hr (110 g/hp-hr) HC. These 

caps ensure a minimum level of control 

for each snowmobile certified under the 

long-term program. We believe this is 

appropriate due to the potential for 

personal exposure to very high levels of 

emissions as well as the potential for 

high levels of emissions in areas where 

several snowmobiles are operated in a 

group. We proposed that these limits 

would be effective beginning in 2006. 

We received comments from 

manufacturers recommending that we 

drop the FEL limits because they would 

create a tremendous near term workload 

burden. They commented that 

manufacturers would need to modify all 

product lines for 2006 just to meet the 

FEL limit. EPA recognizes that this 

could be a significant issue in the early 

years of the program and could detract 

from manufacturers’ efforts to develop 

much cleaner technologies. Thus, we 

are finalizing the FEL limits only for 

Phase 3 and later, beginning in 2012. 

We believe this helps resolve the leadtime and workload issues while 

maintaining the integrity of the longterm program. 

b. Early credits. We believe that 

allowing manufacturers to generate 

credits prior to 2006 has some merit in 

that it encourages them to produce 

cleaner snowmobiles earlier than they 

otherwise might and provides early 

environmental benefits. It would also 

allow for a smoother transition to new 

emission standards in a previously 

unregulated industry. However, in the 

proposal we expressed concern that an 

early-credit program could result in the 

generation of windfall credits, 

especially if the credits were generated 

relative to the average baseline 

emissions rates. A manufacturer could 

choose those engine families that 

already emit below the average baseline 

levels and certify those families for 

credit generation purposes without 

doing anything to actually reduce their 

emissions. Clearly this would 

undermine any environmental 

advantages of an early-credit program. 

However, we believe that it is possible 

to design an early-credit program which 

provides incentive for the early 

introduction of cleaner snowmobiles 

and also helps ease the transition into 

the first ever phase of snowmobile 

standards while preventing the 

generation of windfall credits. The 

early-credit program described in the 

following paragraphs will be available 

beginning with the 2003 model year. As 

with the standard snowmobile 

emissions averaging, banking and 

trading program, credits generated 

under the early-credit program will be 

calculated on a power-weighted basis. 

A manufacturer can choose to certify 

one or more engine families early for 

purposes of credit generation. An engine 

family must at least meet the Phase 1 

standards for both HC and CO to qualify 

for early credits, and the credits will be 

calculated based on the difference 

between the certification FEL and the 

Phase 1 standards. Credits generated 

under this option can be used only in 

compliance with the Phase 1 standards. 

Thus, such early credits will expire at 

the end of the 2009 model year. 

The above discussion of early credits 

primarily addresses those snowmobiles 

that will meet the Phase 1 standards 

early. However, we also expect that 

there will be some engine families 

introduced prior to the 2006 model year 

which could meet Phase 2 standards. 

For such engines, a manufacturer may 

elect to split credits between Phase 1 

and Phase 2. A manufacturer may save 

credits generated between the 

certification FELs and the actual Phase 

2 standards for use in Phase 2. Credits 

generated between the Phase 1 and 

Phase 2 standards could be used for 

Phase 1 only. Credits generated prior to 

the start of the program in 2006 may not 

be used for Phase 3. 

EPA did not receive comments on 

such programs for off-highway 

motorcycle or ATVs and we are not 

finalizing any additional provisions. 

The majority of products currently 

offered for sale are equipped with fourstroke engines which raises concerns 

over the potential for windfall credits. 

Due to this issue and the lack of 

suggestions or input on the part of 

commenters, we are not finalizing early 

credits or other types of flexibilities for 

these programs. 

c. Nonconformance penalties for 

recreational vehicles. Section 206(g) of 

the Act, 42 U.S.C. 7525(g), authorizes 

EPA to establish nonconformance 

penalties (NCPs) for motorcycles and 

heavy-duty engines which exceed the 

applicable emission standard, provided 

that their emissions do not exceed an 

appropriate upper limit. NCPs allow 

manufacturers that are technological 

laggards to temporarily sell their 

vehicles by payment of a penalty, rather 

than being forced out of the 

marketplace. One manufacturer 

suggested that we consider establishing 

NCPs for recreational vehicles. Section 

213(d) of the Act makes nonroad 

standards subject to the provisions of 

section 206, and directs EPA to enforce 

nonroad standards in the same manner 

as highway vehicles. We therefore 

believe that the Act authorizes us to 

establish NCPs in appropriate 

circumstances for nonroad engines and 

vehicles. Recreational vehicles are 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68277

60The snowmobile industry (see docket item II–

G–221) and a group of public health and 

environmental organizations (see docket item II–G–

139) have both expressed their general support for 

labeling programs that can provide information on 

the environmental performance of various products 

to consumers.

similar technologically to highway 

motorcycles, and NCPs might be 

appropriate for recreational vehicles 

under certain circumstances. 

We will consider the need for NCPs 

two or three years before compliance 

with these standards is required. 

Manufacturers that determine in that 

time frame that they are likely to be 

unable to comply with the standards 

should notify us. If we determine that 

NCPs are appropriate for recreational 

vehicles, we would establish regulations 

that would specify how to calculate the 

penalties. While we have not 

determined the content of such 

regulations, it is likely that they would 

be similar to our existing NCP 

regulations for heavy-duty engines, 

which are set forth in 40 CFR part 86, 

subpart L. 

3. Are There Voluntary Low-Emission 

Standards for These Engines? 

In the proposal we included a 

Voluntary Low-Emission Standards 

program for recreational vehicles. We 

did this for two reasons: to encourage 

new emission-control technology and to 

aid the consumer in choosing clean 

technologies. We received numerous 

comments on this proposed program. 

The environmental community was 

supportive of voluntary standards and 

encouraged us to adopt permanent 

labels which identify the emission 

performance of the vehicle in a 

simplistic manner that would be easily 

understood by the initial purchaser and 

any purchases of used recreational 

vehicles. Manufacturers of recreational 

vehicles ATVs, off-highway 

motorcycles, and snowmobiles), on the 

other hand, did not support voluntary 

standards. They were supportive of 

providing initial purchasers with 

emission performance information via 

temporary consumer labeling, but were 

opposed to voluntary standards. Their 

concern was that voluntary standards or 

permanent labels could be used by 

federal, state, local or any other 

jurisdictions to limit the use of 

recreational vehicles from public lands 

by allowing access only to recreational 

vehicles that meet certain emission 

criteria. Manufacturers further argued 

that our proposed mandatory emission 

standards were stringent enough that 

they would encourage and result in the 

use of advanced emission-control 

technology and that the voluntary 

standards would provide no additional 

incentives.

As stated above, the general purpose 

of the Voluntary Low-Emission 

Standards program is to provide 

incentives to manufacturers to produce 

clean products and thus create market 

choices for consumers to purchase these 

products.60 For all three recreational 

vehicle categories, but especially for 

snowmobiles, we are expecting a variety 

of emission-control technologies to be 

used to meet the standards. In all three 

categories we expect consumers to have 

a choice of which technologies to 

purchase and that they will base that 

purchase on an understanding of key 

attributes such as cost, performance, 

noise levels, safety, and emissions. 

Thus, an important factor for informing 

consumer decision is to provide them 

information on the relative emissions 

attributes of a given model. We believe 

this can be achieved through a 

temporary consumer labeling program 

without voluntary standards. Therefore, 

we are not finalizing a voluntary 

standard program for recreational 

vehicles at this time. We will consider 

this issue again in the future, once 

experience is gained under this 

program. In addition, given the 

manufacturer’s opposition, it is not clear 

that voluntary standards by themselves 

would be an effective incentive for 

manufacturers.

Instead, we will be adopting a 

consumer labeling program. A label 

must be fixed securely to the product 

prior to arriving at the dealership but 

does not have to be permanent and may 

be removed by the consumer when 

placed into use. The label can be in the 

form of a removable sticker or decal, or 

a hang tag affixed to the handlebars or 

fuel cap. If a hang tag is used, it must 

be attached by a cable tie that cannot be 

easily removed, except by the ultimate 

retail consumer. The label, at a 

minimum, must include the following 

information: U.S. EPA; Clean Air Index 

(appropriate pollutant, e.g., HC+NOX, 

etc.); manufacturer name; vehicle model 

with engine description (e.g., 500 cc 

two-stroke with direct fuel injection); 

emission performance rating scale; 

explanation of scale; and notice stating 

that label must be on vehicle prior to 

sale and can be removed only by the 

ultimate retail consumer. In section 

1051.135(g) of the regulations, titled 

‘‘How must I label and identify the 

vehicles I produce?,’’ we have 

developed several equations that 

determine what the emission 

performance rating scale will be for each 

category. The scale is based on a rating 

system of 1.0 through 10.0. A value of 

1.0 would be assigned for the cleanest 

vehicle, while the dirtiest vehicle would 

get a rating of 10.0. 

4. What Durability Provisions Apply? 

We are adopting several additional 

provisions to ensure that emission 

controls will be effective throughout the 

life of the vehicle. This section 

discusses these provisions for 

recreational vehicles. More general 

certification and compliance provisions, 

which apply across different vehicle 

categories, are discussed in Sections II 

and VII, respectively. 

a. How long do my engines have to 

comply. Manufacturers must produce 

off-highway motorcycle and ATV 

engines that comply over a useful life of 

5 years or until the vehicle accumulates 

10,000 kilometers, or for ATVs 1,000 

hours, whichever occurs first. We 

consider the 10,000-kilometer and 1,000 

hour values to be minimum values for 

useful life, with the requirement that 

manufacturers must comply for a longer 

period if the average life of their 

vehicles is longer than this minimum 

value. 

The values being finalized will 

harmonize EPA’s useful life intervals 

with those contained in the California 

program. We proposed a significantly 

longer useful life intervals of 30,000 

kilometers based on our understanding 

of usage rates for the vehicles at the time 

of the proposal. We received comments 

from manufacturers that we 

overestimated vehicle usage and 

commenters recommended that we 

harmonize the useful life intervals with 

California’s. We have lowered our 

estimate of usage rates based on 

available data, including new data 

provided during the comment period. 

Based on our current estimates of 

usage, we concur with manufacturers 

that harmonization with California is 

the best approach for establishing 

minimum useful life intervals. 

Generally, this will allow the same 

emission test data to be used for 

certification under both programs. 

However, this remains the minimum 

useful life and longer useful life 

intervals could be required in cases 

where the basic mechanical warranty of 

the engine or the advertised operating 

life is longer than the minimum 

interval. Average service life 

information will help in making such a 

determination. The manufacturer can 

alternatively base the longer useful life 

on the average service life of the 

vehicles where necessary data are 

available. 

For snowmobiles, the minimum 

useful life is 5 years, 8,000 km, or 400 

hours of operation, whichever occurs 

first. We based these values on 

68278 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

61EPA memorandum, ‘‘Emission Modeling for 

Recreational Vehicles,’’ from Linc Wehrly to Docket 

A–2000–01, November 13, 2000 (document II–B–

19).

62While it is possible that the user could make 

modifications to their competition off-highway 

motorcycle that alter the emissions characteristics 

of the vehicle, we do not expect tampering to be a 

problem for those competition vehicles certifying to 

our voluntary standard of 4.0 g/km HC+NOX

because the technologies required to meet this 

standard, four-stroke engines and direct fuel 

injection two-stroke engines, are inherent to the 

engine and will be optimized for maximum engine 

performance as well as emissions performance. 

Thus, any modifications would actually reduce 

rather than improve engine performance.

63 ‘‘Closed Crankcase Exhaust Emissions from 

Four-Stoke Competition Off-highway Motorcycle,’’

EPA memo from L. Wehrly to Docket A–2000–01, 

September 10, 2001 (document II-B–25).

discussions with manufacturers 

regarding typical snowmobile life, and 

on emission-modeling data regarding 

typical snowmobile usage rates.61 As 

with ATVs and off-highway 

motorcycles, longer useful life intervals 

are required where the basic mechanical 

warranty of the engine or the advertised 

operating life is longer than the 

minimum interval and the manufacturer 

may alternatively base the longer useful 

life on the average service life of the 

vehicles where necessary data are 

available.

b. What are the minimum warranty 

periods for emission controls. For offhighway motorcycle, ATVs, and 

snowmobiles, manufacturers must 

provide an emission-related warranty 

for at least half of the minimum useful 

life period. These periods could be 

longer if the manufacturer offers a 

longer mechanical warranty for the 

engine or any of its components; this 

includes extended warranties that are 

available for an extra price. See 

§ 1051.120 for a description of which 

components are emission-related. 

We have included in our final rule an 

optional set of standards for off-highway 

motorcycles that would require the 

certification of competition motorcycles. 

However, for those individual vehicles 

actually used in organized competition 

events, it may be appropriate to exclude 

competition motorcycles from warranty 

coverage. Machines used in 

competition, even part of the time, may 

be subject to usage that can cause 

premature degradation of the engine and 

related components. Competition riders 

may place a premium on winning at the 

expense of engine durability or could 

otherwise damage the vehicle during the 

competition events. In fact, most 

manufacturers do not offer any 

mechanical warranty on vehicles used 

in competition. In addition, motorcycles 

used only for competition may be 

modified by the user in ways that alter 

the emissions characteristics of the 

vehicle.62 We do not believe it is 

reasonable to hold manufacturers 

responsible for the emission warranty 

for such vehicles.

c. How do I demonstrate emission 

durability during certification.

Durability demonstration for offhighway motorcycles, ATVs, and 

snowmobiles includes a requirement to 

run the engines long enough to develop 

and justify the full life deterioration 

factor. This allows manufacturers to 

generate a deterioration factor that helps 

ensure that the engines will continue to 

control emissions over a lifetime of 

operation. Snowmobiles also must run 

out to the end of the useful life for 

purposes of durability demonstration 

and generating deterioration factors. 

d. What maintenance is allowed 

during service accumulation. For 

vehicles certified to the minimum 

useful life, emission-related 

maintenance is generally not allowed 

during service accumulation. The only 

maintenance that may be done must be 

(1) regularly scheduled, (2) unrelated to 

emissions, and (3) technologically 

necessary. This typically includes 

changing engine oil, oil filter, fuel filter, 

and air filter. 

5. Do These Standards Apply to 

Alternative-Fueled Engines? 

These standards apply to all sparkignited recreational vehicles, without 

regard to the type of fuel used. However, 

because we are not aware of any 

alternative-fueled recreational vehicles 

sold into the U.S. market, we are not 

adopting extensive special provisions to 

address them at this time.

6. Is EPA Controlling Crankcase 

Emissions? 

We are requiring that new offhighway motorcycles and ATVs not 

emit crankcase vapors directly to the 

atmosphere. This requirement will 

phase in beginning in 2006 and be fully 

phased in by 2007. California’s 

regulations for off-highway motorcycles 

and ATVs, which has been in effect 

since 1997, also prohibits the venting of 

crankcase vapors into the atmosphere. 

The major ATV manufacturers sell 

many of their California certified ATV 

models federally as 50-state 

applications. Thus, many ATVs sold 

federally already control crankcase 

emissions. The only exceptions could be 

some of the small youth ATV models 

that are imported from Asia. 

The typical control strategy used to 

control crankcase emissions is to route 

the crankcase vapors back to the engine 

intake. This is consistent with our 

previous regulation of crankcase 

emissions from such diverse sources as 

highway motorcycles, outboard and 

personal water craft marine engines, 

locomotives, and passenger cars. We 

have data from California ARB showing 

that a performance-based four-stroke offhighway motorcycle experienced 

considerably higher tailpipe emission 

results when crankcase emissions were 

routed back into the intake of the 

engine, illustrating the potentially high 

levels of crankcase emissions that 

exist.63

New snowmobiles must also have 

closed crankcases, beginning in 2006. 

This requirement is relevant only for 

four-stroke snowmobiles, however, 

since two-stroke engines, by virtue of 

their operation, have closed crankcases. 

Information on the costs and benefits of 

this action can be found in the Final 

Regulatory Support Document. 

D. Testing Requirements 

1. What Duty Cycles Are Used To 

Measure Emissions? 

Testing a vehicle or engine for 

emissions typically consists of 

exercising it over a prescribed duty 

cycle of speeds and loads, typically 

using a chassis or engine dynamometer. 

The nature of the duty cycle used for 

determining compliance with emission 

standards during the certification 

process is critical in evaluating the 

likely emission performance of engines 

designed to those standards. Duty cycles 

must be relatively comparable to the 

way equipment is actually used because 

if they are not, then compliance with 

emission standards would not assure 

that emissions from the equipment are 

actually being reduced in use as 

intended. 

a. Off-highway Motorcycles and 

ATVs. For testing off-highway 

motorcycles and ATVs, we specify the 

current highway motorcycle test 

procedure be used for measuring 

emissions. The highway motorcycle test 

procedure is very similar to the test 

procedure as used for light-duty 

vehicles (i.e., passenger cars and trucks) 

and is referred to as the Federal Test 

Procedure (FTP). The FTP for a 

particular class of engine or equipment 

is actually the aggregate of all of the 

emission tests that the engine or 

equipment must meet to be certified. 

However, the term FTP has also been 

used traditionally to refer to the exhaust 

emission test based on the Urban 

Dynamometer Driving Schedule 

(UDDS), also referred to as the LA–4 

(Los Angeles Driving Cycle #4). The 

UDDS is a chassis dynamometer driving 

cycle that consists of numerous ‘‘hills’’

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68279

64 ‘‘Development and Validation of a Snowmobile 

Engine Emission Test Procedure,’’ Jeff J. White, 

Southwest Research Institute and Christopher W. 

Wright, Arctic Cat, Inc., Society of Automotive 

Engineers paper 982017, September, 1998. (Docket 

A–2000–1; document II–D–05).

which represent a driving event. Each 

hill includes accelerations, steady-state 

operation, and decelerations. There is 

an idle between each hill. The FTP 

consists of a cold start UDDS, a 10-

minute soak, and a hot start. The 

emissions from these three separate 

events are collected into three unique 

bags. Each bag represents one of the 

events. Bag 1 represents cold transient 

operation, Bag 2 represents cold 

stabilized operation, and Bag 3 

represents hot transient operation. 

For highway motorcycles, we have 

three classes based on engine 

displacement, with Class I (50 to 169 cc) 

being the smallest and Class III (280 cc 

and over) being the largest. The highway 

motorcycle regulations allow Class I 

motorcycles to be tested on a less severe 

UDDS cycle than the Class II and III 

motorcycles. This is accomplished by 

reducing the acceleration and 

deceleration rates on some the more 

aggressive ‘‘hills.’’ We proposed to use 

this same class/cycle distinction for offhighway motorcycles and ATVs. In 

other words, we proposed that offhighway motorcycles and ATVs with an 

engine displacement at or below 169 cc 

would be tested over the FTP test cycle 

for Class I highway motorcycles. We 

proposed that off-highway motorcycles 

and ATVs with engine displacements 

greater than 169 cc would be tested over 

the FTP test cycle for Class II and Class 

III highway motorcycles. We requested 

comment on the appropriateness of 

allowing the use of the Class I test cycle 

for all ATVs. 

Manufacturers have expressed 

concerns over the appropriateness of 

testing ATVs using the FTP and the 

ability of some ATVs to be run on the 

test cycle. Manufacturers recommended 

for FTP testing, that all ATVs be tested 

over the Class I cycle. Manufacturers 

stated that the Class I cycle top speed of 

36 mph would be ‘‘much more 

representative’’ of ATV operation than 

the 57 mph top speed of the Class III 

cycle. Manufacturers also noted that 

California FTP testing is based on the 

use of the Class I cycle for all ATVs and 

that the EPA program would need to be 

changed allow for harmonization. 

Manufacturers did not raise these same 

concern for off-highway motorcycles 

which are tested in accordance with the 

highway motorcycle classifications for 

California. 

After considering this issue further, 

we concur with the manufacturer’s 

comments and are finalizing the Class I 

cycle for all ATVs. One of the objectives 

of the final program is to allow 

harmonization with California and this 

change is fundamental in the 

manufacturers’ ability to use the same 

FTP test data for both programs. Also, 

the average speeds of in-use ATVs 

appear to be significantly lower than we 

estimated in the analysis for the 

proposal (8–13 mph compared to 20 

mph). The new data on ATV usage 

alleviates concerns that the lower 

speeds of the Class I test cycle might 

miss significant high-speed ATV 

operation. The change in the test 

procedure is directionally consistent 

with this new data. In addition, the 

change in test procedure will enable 

ATVs in general to be tested over the 

FTP with fewer issues concerning the 

ability of the vehicles to operate over 

the driving cycle. We are finalizing the 

test procedure requirements as proposed 

for off-highway motorcycles. We believe 

that the manufacturer’s concerns 

regarding the FTP are also addressed by 

the option to test the smallest ATVs (up 

to 100 cc) to J–1088 standards 

permanently. These vehicles are 

typically governed to top speeds below 

the 36 mph contained in the Class I FTP 

cycle. Also, the small displacement 

ATVs may be most strenuously tested 

(i.e., more operation at high loads) on 

the FTP due to their lower horsepower 

output. 

We acknowledge that chassis 

dynamometers for ATVs could be costly 

to purchase and difficult to put in place 

in the near term, especially for smaller 

manufacturers. As discussed in Section 

III.C.1.b, we are allowing the use of the 

J1088 engine test cycle as a transitional 

option through model year 2008. The 

J1088 option expires after 2008 and the 

FTP becomes the required test cycle in 

2009. As noted above, EPA is currently 

in discussions with ATV manufacturers 

to determine whether a new test cycle 

is appropriate. The J1088 may be 

discontinued earlier than 2009 if 

another test procedure is implemented. 

b. Snowmobiles. We are adopting the 

snowmobile duty cycle developed by 

Southwest Research Institute (SwRI) in 

cooperation with the International 

Snowmobile Manufacturers Association 

(ISMA) for all snowmobile emission 

testing.64 The test procedure consists of 

two main parts; the duty cycle that the 

snowmobile engine operates over during 

testing and other testing protocols 

surrounding the measurement of 

emissions (sampling and analytical 

equipment, specification of test fuel, 

atmospheric conditions for testing, etc.). 

While the duty cycle was developed 

specifically to roughly approximate 

snowmobile operation, many of the 

testing protocols are well established in 

other EPA emission-control programs 

and have been simply adapted where 

appropriate for snowmobiles.

The snowmobile duty cycle was 

developed by instrumenting several 

snowmobiles and operating them in the 

field in a variety of typical riding styles, 

including aggressive (trail), moderate 

(trail), double (trail with operator and 

one passenger), freestyle (off-trail), and 

lake driving. A statistical analysis of the 

collected data produced the five mode 

steady-state test cycle is shown in Table 

III.D–1. This duty cycle is the one that 

was used to generate the baseline 

emissions levels for snowmobiles, and 

we believe it is the most appropriate for 

demonstrating compliance with the 

snowmobile emission standards at this 

time.

TABLE III.D–1.—SNOWMOBILE ENGINE TEST CYCLE

Engine parameter 

Mode 

1 2 3 4 5 

Normalized Speed ......................................................................... 1.00 0.85 0.75 0.65 Idle 

Normalized Torque ........................................................................ 1.00 0.51 0.33 0.19 0.00

Relative Weighting (in percent) ..................................................... 12 27 25 31 5 

The rest of the testing protocol is 

largely derived from our regulations for 

marine outboard and personal water 

craft engines, as recommended in the 

SwRI/ISMA test cycle development 

work (61 FR 52088, October 4, 1996). 

68280 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

65For example, importers may have access to 

large supplies of vehicles from major overseas 

manufacturers and potentially could substantially 

increase their market share by selling less expensive 

noncomplying products.

The testing equipment and procedures 

from that regulation are generally 

appropriate for snowmobiles, including 

the provisions for raw exhaust gas 

sampling which are being adopted here 

for snowmobiles. 

Unlike marine engines, however, 

snowmobiles tend to operate in cold 

ambient temperatures. Thus, some 

provision needs to be made in the 

snowmobile test procedure to account 

for the colder ambient temperatures 

typical of snowmobile operation. Since 

snowmobile carburetors are jetted for 

specific ambient temperatures and 

pressures, appropriate accounting for 

typical operating temperatures is 

important to assure that anticipated 

emissions reductions actually occur in 

use. We proposed that snowmobile 

engine inlet air temperature be between 

¥15° C and ¥5° C (5° F and 23° F), but 

that the ambient temperature in the test 

cell not be required to be refrigerated. 

We received comments stating that this 

approach would be expensive due to the 

need for refrigeration equipment, 

pointing out that the snowmobile 

manufacturers do not currently have the 

capacity for cold testing. Further, we 

received comments that accurate 

emissions results can be obtained using 

appropriate jetting determined by 

extrapolating from the manufacturer’s 

jet chart (if necessary). 

We agree that emissions can be 

accurately measured at higher ambient 

temperatures provided that the proper 

compensation be made in the fueling 

system. For carbureted engines this 

means jetting the engine appropriately 

for the test temperature. For 

electronically controlled engines this 

doesn’t tend to be an issue because such 

technology generally includes 

temperature compensation in its control 

algorithms. However, one manufacturer 

stated that for snowmobiles that have 

electronically controlled engines, it 

would be preferable and 

environmentally appropriate to test with 

colder inlet temperatures. Thus, we are 

adopting the option to allow 

snowmobile testing using either cold 

engine inlet air temperatures between 

¥15° C and ¥5° C (5° F and 23° F) or 

warm engine inlet air temperatures 

between 20° C and 30° C (68° F and 86°

F). However, depending on the location 

of the air box where inlet air enters the 

engine intake system, the inlet 

temperature could be considerably 

warmer than ambient conditions. For a 

snowmobile that does not have 

temperature compensating capabilities, 

it could be possible to get a moderate 

emission reduction due to the increase 

in air density that results at colder 

temperatures from the artificially 

induced test inlet air. These emission 

reductions would not occur in real 

operation since actual inlet air would be 

warmer. Therefore, to use the colder 

inlet temperature option, a 

manufacturer must demonstrate that for 

the given engine family, the temperature 

of the inlet air within the air box is 

consistent with the inlet-air temperature 

test conditions. 

2. What Fuels Will Be Used During 

Exhaust Emission Testing? 

We are adopting fuel specifications as 

proposed for all recreational vehicles 

that we have specified for 2004 and later 

light-duty vehicles. 

3. Are There Production-Line Testing 

Provisions for These Engines? 

Recreational vehicle or engine 

manufacturers must perform emission 

tests on a small percentage of their 

production as it leaves the assembly line 

to ensure that production vehicles 

operate at certified emission levels. The 

broad outline of this program is 

discussed in Section II.C.4 above. 

Production-line testing must be 

performed using the same test 

procedures as for certification testing. 

E. Special Compliance Provisions 

As described in Section XI.B, the 

report of the inter-agency Small 

Business Advocacy Review Panel 

addresses the concerns of small-volume 

manufacturers of recreational vehicles. 

We proposed to adopt the provisions 

recommended by the panel and received 

comments on the proposals. We are 

finalizing the provisions below as 

proposed, with the modifications as 

noted. 

Off-Highway Motorcycles and ATVs 

To identify representatives of small 

businesses for this process, we used the 

definitions provided by the Small 

Business Administration for 

motorcycles, ATVs, and snowmobiles 

(fewer than 500 employees). Eleven 

small businesses agreed to serve as 

small-entity representatives. These 

companies represented a cross-section 

of off-highway motorcycle, ATV, and 

snowmobile manufacturers, as well as 

importers of off-highway motorcycles 

and ATVs. 

As discussed above, our emission 

standards for off-highway motorcycles 

and ATVs will likely necessitate the 

widespread use of four-stroke engines. 

Most small-volume off-highway 

motorcycle and ATV importers—and to 

a lesser degree, small-volume 

manufacturers—currently use twostroke engines. While four-stroke 

engines are common in motorcycles and 

ATVs in general, their adoption by any 

manufacturer is still a significant 

business challenge. Small 

manufacturers of these engines may face 

additional challenges in certifying 

engines to emission standards, because 

the cost of certification would be spread 

over the relatively few engines they 

produce. These higher per-unit costs 

may place small manufacturers at a 

competitive disadvantage without 

specific provisions to address this 

burden. 

We are applying the flexibilities 

described below to engines produced or 

imported by small entities with 

combined off-highway motorcycle and 

ATV annual sales of fewer than 5,000 

units. The inter-agency panel 

recommended these provisions to 

address the potentially significant 

adverse effects on small entities of an 

emission standard that may require 

conversion to four-stroke engines. The 

5,000-unit threshold is intended to 

focus these flexibilities on those 

segments of the market where the need 

is likely to be greatest and to ensure that 

the flexibilities do not result in 

significant adverse environmental 

effects during the period of additional 

lead-time recommended below.65 In 

addition, we are limiting some or all of 

these flexibilities to companies that are 

in existence or have product sales at the 

time we proposed emission standards to 

avoid creating arbitrary opportunities in 

the import sector, and to guard against 

the possibility of corporate 

reorganization, entry into the market, or 

other action for the sole purpose of 

circumventing emission standards.

Snowmobiles 

There are only a few small 

snowmobile manufacturers and they sell 

only a few hundred sleds a year, which 

represents less than 0.5 percent of total 

annual production. Therefore, the perunit cost of regulation may be 

significantly higher for these small 

entities because they produce very low 

volumes. Additionally, these companies 

do not have the design and engineering 

resources to tackle compliance with 

emission standard requirements at the 

same time as large manufacturers and 

tend to have limited ability to invest the 

capital necessary to conduct emission 

testing related to research, development, 

and certification. Finally, the 

requirements of the snowmobile 

program may be infeasible or highly 

impractical because some small-volume 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68281

manufacturers may have typically 

produced engines with unique designs 

or calibrations to serve niche markets 

(such as mountain riding). The new 

snowmobile emission standards may 

impose significant economic hardship 

on these few manufacturers whose 

market presence is small. We therefore 

believe significant flexibility is 

necessary and appropriate for this 

category of small entities, as described 

below. 

Flexibilities 

1. Additional lead time. We are 

adopting a delay of two years beyond 

the date larger businesses must comply 

to ease the burden for small businesses. 

This will provide extra time to develop 

technology and, in the case of importers, 

extra time to resolve supplier issues that 

may arise. The two-year delay also 

applies to the timing of the Phase 2 

standards for snowmobiles.

In addition, for small snowmobile 

manufacturers, the emission standards 

phase in over an additional two years at 

a rate of 50 percent, then 100 percent. 

Phase 1 phases in at 50/50/100 percent 

in 2008/2009/2010 and Phase 2 phases 

in at 50/50/100 percent in 2012/2013/

2014. 

2. Design-based certification. The 

process of certification is a business cost 

and lead time issue that may place a 

disproportionate burden on small 

entities, particularly importers. 

Certification is a fixed cost of doing 

business, which is potentially more 

burdensome on a unit-cost basis for 

small entities. It is potentially an even 

greater challenge, since some small 

entities will either contract emission 

testing to other parties or, in the case of 

importers, perhaps rely on off-shore 

manufacturers to develop and certify 

imported engines. 

Small-volume manufacturers may use 

design-based certification, which allows 

us to issue a certificate to a small 

business for the emission-performance 

standard based on a demonstration that 

engines or vehicles of a similar design 

criteria meet the standards of the 

individual engine family. The small 

vehicle manufacturer must demonstrate 

that their engine uses a design similar 

to or superior to one that is being used 

by other manufacturers that has been 

shown through prior emission testing to 

meet the standards. The demonstration 

must be based in part on emission test 

data from engines of a similar design. 

Under a design-based certification 

program, a manufacturer provides 

evidence in the application for 

certification that an engine or vehicle 

meets the applicable standards for its 

useful life based on comparing its 

design (for example, the use a fourstroke engine, advanced fuel injection, 

or any other particular technology or 

calibration) to that of a previously tested 

engine. The design criteria might 

include specifications for engine type, 

calibrations (spark timing, air /fuel ratio, 

etc.), and other emission-critical 

features, including, if appropriate, 

catalysts (size, efficiency, precious 

metal loading). Manufacturers submit 

adequate engineering and other 

information about their individual 

designs showing that they will meet 

emission standards for the useful life. 

3. Broaden engine families. Small 

businesses may define their engine 

families more broadly, putting all their 

models into one engine family (or more) 

for certification purposes. 

Manufacturers may then certify their 

engines using the ‘‘worst-case’’

configuration within the family. 

A small manufacturer might need to 

conduct certification emission testing 

rather than pursuing design-based 

certification. Such a manufacturer 

would likely find broadened engine 

families useful. 

4. Production-line testing waiver. As 

discussed above, manufacturers must 

test a small sampling of production 

engines to ensure that production 

engines meet emission standards. We 

are waiving production-line testing 

requirements for small manufacturers. 

This will eliminate or substantially 

reduce production-line testing 

requirements for small businesses. 

5. Use of assigned deterioration 

factors for certification. Small 

manufacturers may use deterioration 

factors assigned by EPA. Rather than 

performing a durability demonstration 

for each family for certification, 

manufacturers may elect to use 

deterioration factors determined by us 

to demonstrate emission levels at the 

end of the useful life, thus reducing the 

development and testing burden. This 

might be a very useful and costbeneficial option for a small 

manufacturer opting to perform 

certification emission testing instead of 

design-based certification. 

6. Using emission standards and 

certification from other EPA programs. 

A wide array of engines certified to 

other EPA programs may be used in 

recreational vehicles. For example, there 

is a large variety of engines certified to 

EPA lawn and garden standards (Small 

SI). Manufacturers of recreational 

vehicles may use engines certified to 

any other EPA standards for five years. 

Under this approach, engines certified 

to the Small SI standards may be used 

in recreational vehicles. These engines 

would then meet the Small SI standards 

and related provisions rather than those 

adopted in this document for 

recreational vehicles. Small businesses 

using these engines will not have to 

recertify them, as long as they do not 

alter the engines in a way that might 

cause it to exceed the emission 

standards it was originally certified to 

meet. Also, the recreational vehicle 

application may not be the primary 

intended application for the engine. 

Additionally, a certified snowmobile 

engine produced by a large snowmobile 

manufacturer may be used by a small 

snowmobile manufacturer, as long as 

the small manufacturer did not change 

the engine in a way that might cause it 

to exceed the snowmobile emission 

standards. This provides a reasonable 

degree of emission control. For example, 

if a manufacturer changed a certified 

engine only by replacing the stock 

exhaust pipes with pipes of similar 

configuration or the stock muffler and 

air intake box with a muffler and air box 

of similar air flow, the engine would 

still be eligible for this flexibility option, 

subject to our review. The manufacturer 

may also change the carburetor to have 

a leaner air-fuel ratio without losing 

eligibility. The manufacturer in such 

cases could establish a reasonable basis 

for knowing that emissions performance 

is not negatively affected by the 

changes. However, if the manufacturer 

changed the bore or stroke of the engine, 

it would no longer qualify, as emissions 

might increase beyond the level of the 

standard. 

7. Averaging, banking, and trading. 

For the overall program, we are 

adopting corporate-average emission 

standards with opportunities for 

banking and trading of emission credits. 

We expect the averaging provisions to 

be most helpful to manufacturers with 

broad product lines. Small 

manufacturers and small importers with 

only a few models might not have as 

much opportunity to take advantage of 

these flexibilities. However, we received 

comment from one small manufacturer 

supporting these types of provisions as 

a critical component of the program. 

Therefore, we are adopting corporateaverage emission standards with 

opportunities for banking and trading of 

emission credits for small 

manufacturers. 

8. Hardship provisions. We are 

adopting provisions to address hardship 

circumstances, as described in Section 

VII.C.

9. Unique snowmobile engines. Even 

with the broad flexibilities described 

above, there may be a situation where a 

small snowmobile manufacturer cannot 

comply. Therefore, we are adopting an 

additional provision to allow a small 

68282 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

66The engines are small relative to automotive 

engines. For example, automotive engines typically 

range from one liter to well over five liters in 

displacement, whereas off-highway motorcycles 

range from 0.05 liters to 0.65 liters.

snowmobile manufacturer to petition us 

for relaxed standards for one or more 

engine families. The manufacturer must 

justify that the engine has unique 

design, calibration, or operating 

characteristics that make it atypical and 

infeasible or highly impractical to meet 

the emission-reduction requirements, 

considering technology, cost, and other 

factors. At our discretion, we may then 

set an alternative standard at a level 

between the prescribed standard and the 

baseline level, which would likely 

apply until the engine family is retired 

or modified in a way that might alter 

emissions. These engines will be 

excluded from averaging calculations. 

We proposed that this provision be 

limited to 300 snowmobiles per year. 

However, we received comment that 

this limit is too restrictive to be of much 

assistance to small businesses. Based on 

this comment we are adopting a limit 

for this provision of 600 snowmobiles 

per year. 

F. Technological Feasibility of the 

Standards 

1. Off-highway Motorcycles and ATVs 

We believe the new emission 

standards are technologically feasible 

given the availability of emissioncontrol technologies, as described 

below. 

a. What are the baseline technologies 

and emission levels? As discussed 

earlier, off-highway motorcycles and 

ATVs are equipped with relatively small 

(48 to 650 cc) high-performance two-or 

four-stroke single cylinder engines that 

are either air-or liquid-cooled.66 Since 

these vehicles are unregulated outside 

of the state of California, the main 

emphasis of engine design is on 

performance, durability, and cost and 

thus they generally have no emission 

controls. The fuel systems used on these 

engines are almost exclusively 

carburetted. Two-stroke engines 

lubricate the piston and crankshaft by 

mixing oil with the air and fuel mixture. 

This is accomplished by most 

contemporary two-stroke engines with a 

pump that sends two-cycle oil from a 

separate oil reserve to the carburetor 

where it is mixed with the air and fuel 

mixture. Some less expensive twostroke engines require that the oil be 

mixed with the gasoline in the fuel tank. 

Four-stroke engines inject oil via a 

pump throughout the engine as the 

means of lubrication. With the 

exception of those vehicles certified in 

California, most of these engines are 

unregulated and thus have no emission 

controls. For ATVs, approximately 80-

percent use four-stroke engines while 

only 55 percent of off-highway 

motorcycles use four-stroke engines. 

The average HC emissions for twostroke engines are about 35 g/km, while 

the average for four-stroke engines are 

1.5 g/km. CO emissions levels are very 

similar between the types of engines 

with two-stroke levels of approximately 

34 g/km and four-stroke levels of 30 g/

km. For performance and durability 

reasons, off-highway motorcycle and 

ATV engines all tend to operate with a 

‘‘rich’’ air and fuel mixture. That is, they 

operate with excess fuel, which 

enhances performance and allows 

engine cooling to promote longer engine 

life. However, rich operation results in 

high levels of HC, CO, and PM 

emissions. Also, two-stroke engines 

tend to have high scavenging losses, 

where up to a third of the unburned air 

and fuel mixture goes out of the exhaust 

resulting in high levels of HC emissions.

b. What technology approaches are 

available to control emissions? Several 

approaches are available to control 

emissions from off-highway motorcycles 

and ATVs. The simplest approach 

consists of modifications to the base 

engine, fuel system, cooling system, and 

recalibration of the air and fuel mixture. 

These changes may include adjusting 

valve timing for four-stroke engines, 

changing from air-to liquid-cooling, and 

using advanced carburetion techniques 

or electronic fuel injection instead of 

traditional carburetion systems. Other 

approaches may include secondary air 

injected into the exhaust, an oxidation 

or three-way catalyst, or a combination 

of secondary air and a catalyst. The 

engine technology that may have the 

most potential for maximizing emission 

reductions from two-stroke engines is 

direct fuel injection. Direct fuel 

injection is able to reduce or even 

eliminate scavenging losses by pumping 

only air through the engine and then 

injecting fuel into the combustion 

chamber after the intake and exhaust 

ports have closed. Using oxidation 

catalysts with direct injection may 

reduce emissions even further. Finally, 

converting from two-stroke to fourstroke engine technology will 

significantly reduce HC emissions. All 

of these technologies have the capability 

to reduce HC and CO emissions. 

We expect none of these technologies 

to negatively affect noise, safety, or 

energy factors. Fuel injection can 

improve the combustion process which 

can result in lower engine noise. The 

vast majority of four-stroke engines used 

in off-highway motorcycles and ATVs 

are considerably quieter than their twostroke counterparts. Fuel injection has 

no impact on safety and four-stroke 

engines often have a more ‘‘forgiving’’

power band which means the typical 

operator may find the performance of 

the machine to be more reasonable and 

safe. Fuel injection, the enleanment of 

the air and fuel mixture and four-stroke 

technology all can result in significant 

reductions in fuel consumption. 

c. What technologies are most likely 

to be used to meet emission standards?

Four-Stroke Engines 

Most manufacturers have experience 

with four-stroke engine technology and 

currently have several models powered 

by four-stroke engines. This is 

especially true in the ATV market where 

four-stroke engines account for 80 

percent of sales. Because four-stroke 

engines have been so prevalent over the 

last 10 years in the off-highway 

motorcycle and ATV industry, 

manufacturers have developed a high 

level of confidence in four-stroke 

technology and its application. 

Manufacturers of off-highway 

motorcycles and ATVs utilizing fourstroke engines will need to make some 

minor calibration changes and 

improvements to the carburetor to meet 

emission standards for the 2006 model 

year. Some of these modifications may 

have already been incorporated in 

response to California requirements. 

The calibration changes will most likely 

consist of reducing the amount of fuel 

in the air-fuel mixture. This is 

commonly referred to as leaning out the 

air-fuel ratio. Although four-stroke 

engines produce considerably lower 

levels of HC than two-stroke engines, 

the four-stroke engines used in offhighway motorcycles and ATVs all tend 

to be calibrated to operate with a rich 

air-fuel ratio for performance and 

durability benefits. This rich operation 

results in high levels of CO, since CO is 

formed in the engine when there is a 

lack of oxygen to complete combustion. 

We believe that many of these engines 

are calibrated to operate richer than 

needed, because they have either never 

had to consider emissions when 

optimizing air-fuel ratio or those that are 

certified to the California standards can 

operate richer because the California 

ATV CO standards are fairly lenient. 

Carburetors with tighter tolerances 

ensure more precise flow of fuel and air, 

resulting in better fuel atomization (i.e., 

smaller fuel droplets), better 

combustion, and lower emissions. 

In addition to converting to fourstroke technology and making some 

minor calibration and carburetion 

improvements to meet the 2006 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68283

emission standards, manufacturers may 

need to use secondary air injection on 

some models. Secondary air has been 

used by passenger cars and highway 

motorcycles for many years as a means 

to help control HC and CO. The hot 

exhaust gases coming from the 

combustion chamber contain significant 

levels of unburned HC and CO. If 

sufficient oxygen is present, these gases 

will continue to react in the exhaust 

system, reducing the amount of 

pollution emitted into the atmosphere. 

To assure that sufficient oxygen is 

present in the exhaust, air is injected 

into the exhaust system. For offhighway motorcycles and ATVs, the 

additional air can be injected into the 

exhaust manifold using a series of check 

valves which use the normal pressure 

pulsations in the exhaust manifold to 

draw air from outside, commonly 

referred to as pulse air injection. We 

have tested several four-stroke ATVs 

with secondary air injected into the 

exhaust manifold and found that the HC 

and CO emission levels were below the 

standards (further details of our 

secondary air testing are described in 

the Final Regulatory Support 

Document). 

A small number of models in 

California have been equipped with 

secondary air technology. It is likely 

that some manufacturers will opt to use 

secondary air systems to reduce 

emissions in addition to enleanment 

strategies to meet EPA standards. We 

believe this may be especially true for 

ATVs meeting the 1.5 g/km HC+NOX

standard. Using these systems would 

also provide manufacturers with more 

flexibility within the averaging scheme 

and would allow them to avoid any 

negative affects on performance that 

could accompany excessive enleanment. 

Also, several models are not certified to 

California standards, including some 

four-stroke models. Manufacturers may 

use secondary air on a more widespread 

basis to bring all models into 

compliance.

Since the emission standards address 

HC + NOX, as well as CO, manufacturers 

will have to use an emission-control 

strategy or technology that doesn’t cause 

NOX emissions to increase 

disproportionately. However, since all 

of these vehicles operate with rich airfuel ratios, as discussed above, NOX

levels from these engines are generally 

low and strategies designed to focus on 

HC reduction allow manufacturers to 

meet emission standards with no 

significant increase in NOX levels. 

Two-Stroke Engines 

Off-highway motorcycles and ATVs 

using two-stroke engines will present a 

greater challenge for compliance with 

emission standards. Since baseline HC 

and CO emission levels are so high for 

two-stroke engines, it would be very 

difficult for any two-stroke engine to 

meet our standards with current 

production technologies. Although 

catalysts have been used for two-stroke 

powered mopeds, scooters, and small 

displacement highway motorcycles in 

Europe and Asia, the standards and test 

cycles are significantly different from 

ours and there is no way to make 

reasonable comparisons. We have not 

performed any testing, nor are we aware 

of any emission test data on the use of 

catalysts on ATV and off-highway 

motorcycle two-stroke engines. 

Therefore, we do not believe that 

catalysts would be available for twostroke engines that would meet our 

standards in the time frame necessary to 

comply with our program. Direct fuel 

injection has been successfully applied 

to two-stroke engines used in marine 

personal water craft, outboard engines, 

and small mopeds and scooters and is 

just now being looked at for off-highway 

motorcycle applications. However, as 

discussed below, even this advanced 

technology cannot meet our standards 

alone. 

As described in Section III.C.1.a, we 

are including an optional standard for 

off-highway motorcycles of 4.0 g/km HC 

+ NOX, for manufacturers willing to 

certify competition motorcycles that 

would otherwise be exempt from 

emission standards. We received 

comment from REV! Motorcycles in 

support of this level. Rev! plans to 

manufacture two-stroke off-highway 

motorcycles equipped with direct 

injection. Based on an early analysis of 

the technology, REV! requested that 

EPA consider establishing a 4.0 g/km 

standard to allow them to pursue the 

technology and have a realistic 

opportunity to meet emission standards. 

According to their comments, they 

believe that their engines will be 

capable of meeting the 4.0 g/km 

standard without the use of a catalyst. 

Perhaps most importantly, REV! 

believes that this is a viable technology 

approach for competition models, 

which have very high baseline 

emissions. 

REV! shared their plans and 

emissions projections for a single 

prototype model of competition 

motorcycle. Production units, additional 

models, or motorcycles produced by 

other manufacturers using similar 

technologies may not be able to achieve 

the 4.0 g/km level. The 4.0 g/km level 

represents an HC reduction of 90 

percent or more from baseline levels for 

some competition motorcycles, which is 

likely to be very challenging. This is one 

reason EPA is also allowing averaging, 

banking, and trading for this option. 

Averaging will provide flexibility to 

manufacturers who have some models 

that, while very clean relative to 

baseline levels, are above the 4.0 g/km 

standard. Manufacturers will be able to 

use credits, for example, from the sale 

of four-stroke machines with emissions 

below 4.0 g/km to achieve the 4.0 g/km 

standard on average. 

2. Snowmobiles 

a. What are the baseline technologies 

and emission levels? As discussed 

earlier, snowmobiles are equipped with 

relatively small high-performance twostroke two and three cylinder engines 

that are either air-or liquid-cooled. 

Since these vehicles are currently 

unregulated, the main emphasis of 

engine design is on performance, 

durability, and cost and thus they have 

no emission controls. The fuel system 

used on these engines are almost 

exclusively carburetors, although some 

have electronic fuel injection. Twostroke engines lubricate the piston and 

crankshaft by mixing oil with the air 

and fuel mixture. This is accomplished 

by most contemporary two-stroke 

engines with a pump that sends twocycle oil from a separate oil reserve to 

the carburetor where it is mixed with 

the air and fuel mixture. Some less 

expensive two-stroke engines require 

that the oil be mixed with the gasoline 

in the fuel tank. Snowmobiles currently 

operate with a ‘‘rich’’ air and fuel 

mixture. That is, they operate with 

excess fuel, which enhances 

performance and allows engine cooling 

which promotes longer lasting engine 

life. However, rich operation results in 

high levels of HC, CO, and PM 

emissions. Also, two-stroke engines 

tend to have high scavenging losses, 

where up to a third of the unburned air 

and fuel mixture goes out of the exhaust 

resulting in high levels of raw HC. 

Current average snowmobile emission 

rates are 400 g/kW-hr (296 g/hp-hr) CO 

and 150 g/kW-hr (111 g/hp-hr) HC. 

There are however, at least two 

snowmobile models that use four-stroke 

engines. Two companies currently have 

a moderate-powered four-stroke touring 

model that has very low emissions. One 

sled uses a small advanced automotive 

engine, while the other uses a modified 

ATV engine. Both engines are very 

sophisticated, using electronic fuel 

injection and computer-based closedloop control. The other snowmobile 

manufacturers are planning to release 

four-stroke models for the 2003 model 

year, but are focusing on higher 

performing models that, according to 

68284 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

the manufacturers, may not have as 

good of emissions control as the 

production four-stroke touring models. 

b. What technology approaches are 

available to control emissions? We 

believe the new emission standards are 

technologically feasible. A variety of 

technologies are currently available or 

in stages of development to be available 

for use on two-stroke snowmobiles. 

These include improvements to 

carburetion (improved fuel control and 

atomization, as well as improved 

production tolerances), enleanment 

strategies for both carbureted and fuel 

injected engines, and semi-direct and 

direct fuel injection. In addition to these 

two-stroke technologies, converting to 

four-stroke engines is also feasible. Each 

of these is discussed in the following 

paragraphs. 

There are several ways to improve 

carburetion in snowmobile engines. 

First, strategies to improve fuel 

atomization promote more complete 

combustion of the fuel/air mixture. 

Additionally, improved production 

tolerances enable more consistent fuel 

metering. Both of these changes allow 

more accurate control of air-fuel ratios. 

Snowmobile engines are currently 

calibrated with rich air-fuel ratios for 

durability reasons. Leaner calibrations 

to CO and HC emissions pose a 

challenge for maintaining engine 

durability, but many engine 

improvements are available to prevent 

problems. These include changes to the 

cylinder head, pistons, ports and pipes 

to reduce knock. In addition critical 

engine components can be made more 

robust to improve durability. 

The same calibration changes to the 

air-fuel ratio just discussed for 

carbureted engines can also be 

employed, possibly with more accuracy, 

by using fuel injection. At least one 

major snowmobile manufacturer 

currently employs electronic fuel 

injection on several of its snowmobile 

models.

In addition to rich air-fuel ratios, one 

of the main reasons that two-stroke 

engines have such high HC emission 

levels is that they release a substantial 

amount of unburned fuel into the 

atmosphere as a result from scavenging 

losses, as described above. One way to 

reduce or eliminate such losses is to 

inject the fuel into the cylinder after the 

exhaust port has closed. This can be 

done by injecting the fuel into the 

cylinder through the transfer port (semidirect injection) or directly into the 

cylinder (direct injection). Both of these 

approaches are currently being used 

successfully in two-stroke personal 

water craft engines. We believe these 

technologies hold promise for 

application to snowmobiles. In fact, one 

company is offering a snowmobile with 

a semi-direct injection two-stroke 

engine for the 2003 model year. 

Manufacturers must address a variety of 

technical design issues for adapting the 

technology to snowmobile operation, 

such as operating in colder ambient 

temperatures and at variable altitude. 

The averaging approach and the several 

years of lead time give manufacturers 

time to incorporate these development 

efforts into their overall research plan as 

they apply these technologies to 

snowmobiles. 

In addition to the two-stroke 

technologies just discussed, using fourstroke engines in snowmobiles is 

another feasible approach to reduce 

emissions. Since they do not scavenge 

the exhaust gases with the incoming airfuel mixture, four-stroke engines have 

inherently lower HC emissions 

compared to two-stroke engines. Fourstroke engines have a lower power-todisplacement ratio than two-stroke 

engines and are heavier. Thus, initially 

they may be more appropriate for 

snowmobile models where extreme 

power and acceleration are not the 

primary selling points. Such models 

include touring and sport trail sleds. 

However, one company has developed a 

four-stroke engine based off one of their 

sport highway motorcycle engines that 

produces 150 horsepower and will be 

used in their high-performance 

snowmobiles in the 2003 model year. 

c. What technologies are most likely 

to be used to meet emission standards?

2006 Standards 

We expect that, in the context of an 

emissions averaging program, 

manufacturers might choose to take 

different paths to meet the 2006 

emission standards. We expect 

manufacturers to use a mix of 

technologies that will include improved 

carburetion and enleanment strategies, 

combined with engine modifications, 

the use of direct injection, and the use 

of four-stroke engine technology. For 

example, depending on their emission 

rates, one scenario for meeting our 

standards could be a mixture of 60 

percent using improved carburetion, 

enleanment strategies, and engine 

modifications, 15 percent using direct 

injection, and another 15 percent using 

four-stroke engines. Manufacturers can 

expect moderate emission reductions 

from engine modifications and 

enleanment strategies. Most two-stroke 

snowmobile engines are designed to 

operate with a rich air and fuel mixture, 

which result in high levels of HC, CO, 

and PM. By reducing the amount of fuel 

in the air and fuel mixture (i.e., 

enleanment), these emissions can be 

reduced. Because manufacturers use the 

extra fuel in the air and fuel mixture to 

help cool the engine, some 

modifications such as the use of more 

robust materials, may be necessary. 

Manufacturers have indicated to us that 

direct injection strategies can result in 

emission reductions of 70 to 75 percent 

for HC and 50 to 70 percent for CO. 

Certification results from 2000 model 

year outboard engines and personal 

water craft (PWC) support such 

reductions. We believe that as 

manufacturers learn to apply direct 

injection strategies they may choose to 

implement those technologies on some 

of their more expensive sleds and use 

less aggressive technologies, such as 

improved carburetion and enleanment 

on their lower performance models. 

It appears that the use of four-stroke 

engines in snowmobiles will be more 

prevalent than we initially anticipated. 

For the 2003 model year, all four of the 

major snowmobile manufacturers will 

offer a four-stroke engine. Two 

manufacturers have already sold limited 

quantities of their four-stroke 

snowmobiles in 2002. All of these 

engines will be appearing in at least two 

different models and in some cases up 

to three or four models. The size and 

design of these engines is quite varied. 

All of the engines range in size from 650 

cc to 1000 cc. There are two cylinder 

and four cylinder engines, fuel injected 

and carbureted, moderate horsepower 

and high horsepower. Manufacturers 

have indicated that depending on their 

success, four-stroke engines will play a 

large role in meeting our standards. 

2010 Standards 

As with the 2006 standards, we 

expect that manufacturers will use a 

mix of technologies to meet our 2010 

standards. To meet the 2010 standards, 

manufacturers will need to employ the 

use of advanced technologies such as 

direct fuel-injection and four-stroke 

engines on a larger portion of their 

production. As noted above, 

manufacturers are beginning to 

introduce these technologies and will be 

gaining experience with them over the 

next several years. Because we are 

offering manufacturers the option to 

choose between two sets of standards in 

2010, the mixture of technologies will 

be very manufacturer and engine family 

specific. For example, direct injection 

typically reduces CO significantly but 

does not reduce HC to the same extent 

as four-stroke engines. Engine families 

that manufacturers believe will be most 

compatible with direct injection 

technology would likely meet the 75 g/

kW-hr HC and 200 g/kW-hr CO 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68285

67Estimated reductions in permeation are 95 

percent when not considering competition vehicles, 

which are exempt from the standard.

standards. A potential scenario for 

meeting these standards could be a 

mixture of 50 percent direct injection, 

20 percent four-stroke engines, and 30 

percent with engine modifications. 

Engine families that manufacturers 

believe will be more compatible with 

four-stroke technology, which typically 

has superior HC emissions levels but do 

not necessarily have exceptionally good 

CO performance, will likely meet the 45 

g/kW-hr HC and 275 g/kw-hr CO 

standards. Under either option, it is 

possible that manufacturers will 

continue to sell two-stroke models with 

lesser levels of technology. 

Manufacturers are likely to reduce 

emissions where possible from at least 

a portion of the remaining two-stroke 

engines through the use of engine 

modifications, calibration optimization, 

and secondary air systems. In some 

cases this will be necessary just to meet 

the FEL cap. A potential scenario for 

meeting these standards could be a 

mixture of 70 percent four-stroke 

engines, 10 percent direct fuel injection, 

and 20 percent with engine 

modifications. 

IV. Permeation Emission Control 

A. Overview 

In the proposal we specified only 

exhaust emission controls for 

recreational vehicles. However, several 

commenters raised the issue of control 

of evaporative emissions related to 

permeation from fuel tanks and fuel 

hoses. The commenters stated that work 

done by California ARB on permeation 

emissions from plastic fuel tanks and 

rubber fuel line hoses for various types 

of nonroad equipment as well as 

portable plastic fuel containers raised a 

new emissions concern. Our own 

investigation into the hydrocarbon 

emissions related to permeation of fuel 

tanks and fuel hoses from recreational 

land-based and marine applications 

supports the concerns raised by the 

commenters. Therefore, on May 1, 2002, 

we reopened the comment period and 

requested comment on possible 

approaches to regulating permeation 

emissions from recreational vehicles. As 

a result of our investigations and the 

comments received, we have 

determined that it is appropriate to 

promulgate standards regulating 

permeation emissions from these 

vehicles. 

This section describes the provisions 

for 40 CFR part 1051, which would 

apply only to recreational vehicle 

manufacturers. This section also 

discusses test equipment and 

procedures (for anyone who tests fuel 

tanks and hoses to show they meet 

emission standards) and general 

compliance provisions. 

We are adopting performance 

standards intended to reduce 

permeation emissions from recreational 

vehicles. The standards, which apply to 

new vehicles starting in 2008, are 

nominally based on manufacturers 

reducing these permeation emissions 

from new vehicles by about 90 percent 

overall.67 We also recognize that there 

are many small businesses that 

manufacture recreational vehicles. We 

are therefore adopting several special 

compliance provisions to reduce the 

burden of permeation emission 

regulations on small businesses. These 

special provisions are the same as for 

the exhaust emission standards, as 

applicable, and are discussed in Section 

III.E.

B. Vehicles Covered by This Provision 

We are adopting new permeation 

emission standards for new off-highway 

motorcycles, all-terrain vehicles, and 

snowmobiles. These provisions apply 

even if the recreational vehicle 

manufacturer exercises the option to use 

an engine certified under another 

program such as the small spark ignition 

requirements in 40 CFR part 90. These 

standards would require these vehicle 

manufacturers to use low permeability 

fuel tanks and hoses. We include 

vehicles and fuel systems that are used 

in the United States, whether they are 

made domestically or imported. 

Even though snowmobiles do not 

usually experience year around use, as 

is the case with ATVs and off-highway 

motorcycles, we are including 

snowmobiles in this standard because it 

is common practice among snowmobile 

owners to store their snowmobiles in 

the off-season with fuel in the tank 

(typically half full to full tank). A fuel 

stabilizer is typically added to the fuel 

to prevent gum, varnish, and rust from 

occurring in the engine as a result of the 

fuel sitting in the fuel tank and fuel 

system for an extended period of time; 

however, this does not reduce 

permeation. Thus, snowmobiles 

experience fuel permeation losses just 

like off-highway motorcycles and ATVs. 

We are extending our basic nonroad 

exemptions to the engines and vehicles 

covered by this rule. These include the 

testing exemption, the manufacturerowned exemption, the display 

exemption, and the national security 

exemption. These exemptions are 

described in more detail under Section 

VII.C. In addition, vehicles used solely 

for competition are not considered to be 

nonroad vehicles, so they are exempt 

from meeting the emission standards 

(but see discussion in Section III.C.1.a 

regarding the voluntary program for 

certification of all off-highway 

motorcycles). 

C. Permeation Emission Standards 

1. What Are the Emission Standards and 

Compliance Dates? 

We are finalizing new standards that 

will require an 85-percent reduction in 

plastic fuel tank permeation and a 95-

percent reduction in fuel system hose 

permeation from new recreational 

vehicles beginning in 2008. These 

standards and their implementation 

dates are presented in Table IV.C–1. 

Section IV.D presents the test 

procedures associated with these 

standards. Test temperatures are 

presented in Table IV.C–1 because they 

represent an important parameter in 

defining the emission levels. 

We will base the permeation 

standards on the inside surface areas of 

the hoses and fuel tanks. We sought 

comment on whether the potential 

permeation standards for fuel tanks 

should be expressed as grams per gallon 

of fuel tank capacity per day or as grams 

per square meter of inside surface area 

per day. Although volume is generally 

used to characterize fuel tank emission 

rates, we base the standard on inside 

surface area because permeation is a 

function of surface area. In addition, the 

surface to volume ratio of a fuel tank 

changes with capacity and geometry of 

the tank. Two similar shaped tanks of 

different volumes or two different 

shaped tanks of the same volume could 

have different g/gallon/day permeation 

rates even if they were made of the same 

material and used the same emissioncontrol technology. Therefore, we 

believe that using a g/m2/day form of 

the standard more accurately represents 

the emissions characteristics of a fuel 

tank and minimizes complexity. This 

approach was supported by the 

commenters.

68286 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

TABLE IV.C–1.—PERMEATION STANDARDS FOR RECREATIONAL VEHICLES

Emission component Implementation date Standard Test temperature 

Fuel Tank Permeation ............................................................................... 2008 1.5 g/m2/day .................................... 28 °C (82 °F) 

Hose Permeation ....................................................................................... 2008 15 g/m2/day ..................................... 23 °C (73 °F) 

These standards are revised compared 

to the values we sought comment on in 

the notice. In the reopening of the 

comment period, we identified the need 

to accommodate variability and 

deterioration in setting the fuel tank 

permeation standard. Since the notice, 

we have received test information that 

suggests that a tank permeation standard 

representing an 85 rather than a 95-

percent reduction would fully 

accommodate these factors. 

Nonetheless, we continue to believe that 

manufacturers will target control 

technologies and strategies focused on 

achieving reductions of 95 percent in 

production tanks. With regard to the 

permeation standard for hoses, we have 

adjusted the standard slightly to give the 

manufacturers more freedom in 

selecting their hose material and to 

accommodate the fact that we selected 

a certification test fuel based on a 10-

percent ethanol blend, which would be 

prone to greater permeation than 

straight gasoline. 

Cost-effective technologies exist to 

significantly reduce permeation 

emissions. Because essentially all of 

these vehicles use high density 

polyethylene (HDPE) fuel tanks, 

manufacturers would be able to choose 

from several technologies for providing 

a permeation barrier in HDPE tanks. The 

use of metal fuel tanks would also meet 

the standards, because metal tanks do 

not experience any permeation losses. 

The hose permeation standard can be 

met using barrier hose technology or 

through using low permeation 

automotive-type tubing. These 

technologies are discussed in Section 

IV.F. The implementation dates give 

manufacturers three to four years to 

comply. This will allow manufacturers 

time to implement controls in their 

tanks and hoses in an orderly business 

manner. 

2. Will I Be Able to Average, Bank, or 

Trade Emissions Credits? 

Averaging, banking, and trading 

(ABT) refers to the generation and use 

of emission credits based on certified 

emission levels relative to the standard. 

The general ABT concept is discussed 

in detail in Section II.C.3. In many 

cases, an ABT program can improve 

technological feasibility, provide 

manufacturers with additional product 

planning flexibility, and reduce costs 

which allows us to consider emission 

standards with the most appropriate 

level of stringency and lead time, as 

well as providing an incentive for the 

early introduction of new technology. 

We are finalizing ABT for fuel tanks 

to facilitate the implementation of the 

standard across a variety of tank designs 

which include differences in wall 

thickness, tank geometry, material 

quality, and pigment in plastic fuel 

tanks. To meet the standard on average, 

manufacturers would be able to divide 

their fuel tanks into different emission 

families and certify each of their 

emission families to a different Family 

Emissions Level (FEL). The emission 

families would include fuel tanks with 

similar characteristics, including wall 

thickness, material used (including 

additives such as pigments, plasticizers, 

and UV inhibitors), and the emissioncontrol strategy applied. The FELs 

would then be weighted by sales 

volume and fuel tank inside surface area 

to determine the average level across a 

manufacturer’s total production. An 

additional benefit of a corporate-average 

approach is that it provides an incentive 

for developing new technology that can 

be used to achieve even larger emission 

reductions or perhaps to achieve the 

same reduction at lower costs or to 

achieve some reductions early. 

Any manufacturer could choose to 

certify each of its evaporative emission 

control families at levels which would 

meet the standard. Some manufacturers 

may choose this approach as the could 

see it as less complicated to implement. 

We are also finalizing a voluntary 

program intended to give an 

opportunity for manufacturers to prove 

out technologies earlier than 2008. 

Manufacturers will be able to use 

permeation control strategies early, and 

even if they do not meet the standard, 

they can earn credit through partial 

emission reduction that will give them 

more lead time to meet the standard. 

This program will allow a manufacturer 

to certify fuel tanks early to a less 

stringent standard and thereby delay the 

fuel tank permeation standard. 

Therefore, a manufacturer can earn 

more time to meet the 1.5 g/m2/day 

standard if they have an alternative 

approach that will reduce permeation 

by a lesser amount earlier than 2008. 

Specifically, if a manufacturer certifies 

fuel tanks early to a standard of 3.0 g/

m2/day, they can delay the 1.5 g/m2/day 

standard for these fuel tanks by 1 tankyear for every tank-year of early 

certification. As an alternative, this 

delay could be applied to other fuel 

tanks provided that these tanks have an 

equal or smaller inside surface area and 

meet a level of 3.0 g/m2/day. As an 

example, suppose a manufacturer were 

to sell 50 vehicles in 2006 and 75 

vehicles in 2007 with fuel tanks that 

meet a level of 3.0 g/m2/day. This 

manufacturer would then be able to sell 

125 vehicles with fuel tanks that meet 

a level of 3.0 g/m2/day in 2008 and later 

years. No uncontrolled tanks could be 

sold after 2007. In addition to providing 

implementation flexibility to 

manufacturers, this option, if used, 

would result in additional and earlier 

emission reductions. 

For hoses, we do not believe that ABT 

provisions would result in a significant 

technological benefit to manufacturers. 

We believe that all fuel hoses can meet 

the permeation standards using straight 

forward technology as discussed in 

Section IV.F. From EPA’s perspective, 

including an ABT program in the rule 

creates a long-term administrative 

burden that is not worth taking on since 

it does not provide the industry with 

useful flexibility. 

3. How Do I Certify My Products? 

We are finalizing a certification 

process similar to our existing program 

for other mobile sources. Manufacturers 

test representative prototype designs 

and submit the emission data along with 

other information to EPA in an 

application for a Certificate of 

Conformity. As discussed in Section 

IV.D.3, we will allow manufacturers to 

certify based on either design (for which 

there is already data) or by conducting 

its own emissions testing. If we approve 

the application, then the manufacturer’s 

Certificate of Conformity allows the 

manufacturer to produce and sell the 

vehicles described in the application in 

the U.S. 

Manufacturers certify their fuel 

systems by grouping them into emission 

families that have similar emission 

characteristics. The emission family 

definition is fundamental to the 

certification process and to a large 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68287

68 Draft SAE Information Report J1769, ‘‘Test 

Protocol for Evaluation of Long Term Permeation 

Barrier Durability on Non-Metallic Fuel Tanks,’’

(Docket A–2000–01, document IV–A–24).

degree determines the amount of testing 

required for certification. The 

regulations include specific 

characteristics for grouping emission 

families for each category of tanks and 

hoses. For fuel tanks, key parameters 

include wall thickness, material used 

(including additives such as pigments, 

plasticizers, and UV inhibitors), and the 

emission-control strategy applied. For 

hoses, key parameters include material, 

wall thickness, and emission-control 

strategy applied. To address a 

manufacturer’s unique product mix, we 

may approve using broader or narrower 

engine families. The certification 

process for vehicle permeation is similar 

as for the process for certifying engines 

(see Section II.C.1). 

4. What Durability Provisions Apply? 

We are adopting several additional 

provisions to ensure that emission 

controls will be effective throughout the 

life of the vehicle. This section 

discusses these provisions for 

permeation from recreational vehicles. 

More general certification and 

compliance provisions, which apply 

across different vehicle categories, are 

discussed in Sections II and VII, 

respectively.

a. How long do my vehicles have to 

comply? Manufacturers would be 

required to build fuel systems that meet 

the emission standards over each 

vehicle’s useful life. For the permeation 

standards, we use the same useful life 

as discussed in Section III.C.4.a for 

exhaust emissions from recreational 

vehicle engines based on the belief that 

fuel system components and engines are 

intended to have the same design life. 

Further, we are applying the same 

warranty period for permeation 

emission related components of the fuel 

system as for exhaust emission-related 

components of the vehicle (See Section 

III.C.4.b). 

b. How do I demonstrate emission 

durability? We are adopting several 

additional provisions to ensure that 

emission controls will be effective 

throughout the life of the vehicle. 

Vehicle manufacturers must 

demonstrate that the permeation 

emission-control strategies will last for 

the useful life of the vehicle. Any 

deterioration in performance would 

have to be included in the family 

emissions limit. This section discusses 

durability provisions for fuel tanks and 

hoses. 

For plastic fuel tanks, we are 

specifying a preconditioning and four 

durability steps that must be performed 

in conjunction with the permeation 

testing for certification to the standard. 

These steps, which include fuel soaking, 

slosh, pressure-vacuum cycling, 

temperature cycling, and ultra-violet 

light exposure, are described in more 

detail in Section IV.D.1. The purpose of 

these preconditioning steps is to help 

demonstrate the durability of the fuel 

tank permeation control under 

conditions that may occur in use. For 

fuel hoses, the only preconditioning 

step that we are requiring is a fuel soak 

to ensure that the permeation rate is 

stabilized prior to testing. Data from 

before and after the durability tests 

would be used to determine 

deterioration factors for the certified 

fuel tanks. The durability factors would 

be applied to permeation test results to 

determine the certification emission 

level of the fuel tank at full useful life. 

The manufacturer would still be 

responsible for ensuring that the fuel 

tank and hose meet the permeation 

standards throughout the useful life of 

the vehicle. 

We recognize that vehicle 

manufacturers will likely depend on 

suppliers/vendors for treated tanks and 

fuel hoses. We believe that, in addition 

to normal business practices, our testing 

requirements will help assure that 

suppliers/vendors consistently meet the 

performance specifications laid out in 

the certificate. 

D. Testing Requirements 

To obtain a certificate allowing sale of 

products meeting EPA emission 

standards, manufacturers generally must 

show compliance with such standards 

through emission testing. The test 

procedures for determining permeation 

emissions from fuel tanks and hoses on 

recreational vehicles are described 

below. This section also discusses 

design-based certification as an 

alternative to performing specific 

testing. 

1. What Are the Test Procedures for 

Measuring Permeation Emissions From 

Fuel Tanks? 

Prior to testing the fuel tanks for 

permeation emissions, the fuel tank 

must be preconditioned by allowing the 

tank to sit with fuel in it until the 

hydrocarbon permeation rate has 

stabilized. Under this step, the fuel tank 

must be filled with a 10-percent ethanol 

blend in gasoline (E10), sealed, and 

soaked for 20 weeks at a temperature of 

28 ± 5°C. Once the soak period has 

ended, the fuel tank is drained, refilled 

with fresh fuel, and sealed. The 

permeation rate from fuel tanks is 

measured at a temperature of 28 ± 2°C 

over a period of at least 2 weeks. 

Consistent with good engineering 

judgment, a longer period may be 

necessary for an accurate measurement 

for fuel tanks with low permeation rates. 

Permeation loss is determined by 

measuring the weight of the fuel tank 

before and after testing and taking the 

difference. Once the mass change is 

determined it is divided by the 

manufacturer provided tank surface area 

and the number of days of soak to get 

the emission rate. As an option, 

permeation may be measured using 

alternative methods that will provide 

equivalent or better accuracy. Such 

methods include enclosure testing as 

described in 40 CFR part 86. The fuel 

used for this testing will be a blend of 

90-percent gasoline and 10-percent 

ethanol. This fuel is consistent with the 

test fuel used for highway evaporative 

emission testing. 

To determine permeation emission 

deterioration factor, we are specifying 

three durability tests: slosh testing, 

pressure-vacuum cycling, and ultraviolet exposure. The purpose of these 

deterioration tests is to help ensure that 

the technology is durable and the 

measured emissions are representative 

of in-use permeation rates. For slosh 

testing, the fuel tank is filled to 40-

percent capacity with E10 fuel and 

rocked for 1 million cycles. The 

pressure-vacuum testing contains 

10,000 cycles from ¥0.5 to 2.0 psi. 

These two durability tests are based on 

draft recommended SAE practice.68 The 

third durability test is intended to assess 

potential impacts of UV sunlight (0.2 

μm—0.4 μm) on the durability of the 

surface treatment. In this test, the tank 

must be exposed to a UV light of at least 

0.40 W-hr/m2 /min on the tank surface 

for 15 hours per day for 30 days. 

Alternatively, it can be exposed to direct 

natural sunlight for an equivalent period 

of time.

We originally sought comment on 

applying the procedures in 49 CFR part 

173, appendix B, but upon further 

evaluation and receipt of additional 

information found these inadequate for 

our purposes. The 49 CFR part 173 test 

procedure is designed for testing plastic 

receptacles for transporting hazardous 

chemicals. This test focus on 

temperatures and durability procedures 

that do not represent recreational 

vehicle use. 

2. What Are the Test Procedures for 

Measuring Permeation Emissions From 

Fuel System Hoses? 

The permeation rate of fuel from 

hoses would be measured at a 

temperature of 23 ± 2°C using SAE 

68288 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

69SAE Recommended Practice J30, ‘‘Fuel and Oil 

Hoses,’’ June 1998, (Docket A–2000–01, document 

IV–A–92). 70SAE Recommended Practice J1737, ‘‘Test 

Procedure to Determine the Hydrocarbon Losses 

from Fuel Tubes, Hoses, Fittings, and Fuel Line 

Assemblies by Recirculation,’’1997, (Docket A–

2000–01, document, IV–A–34).

71SAE Recommended Practice J1527, ‘‘Marine 

Fuel Hoses,’’1993, (Docket A–2000–01, document 

IV–A–19).

72ASTM Standard Test Method D 814–95 

(Reapproved 2000), ‘‘Rubber Property—Vapor 

Transmission of Volatile Liquids,’’ (Docket A–

2000–01, document IV–A–95).

73SAE Recommended Practice J2260, 

‘‘Nonmetallic Fuel System Tubing with One or 

More Layers,’’1996, (Docket A–2000–01, document 

IV–A–18).

method J3069 with E10. The hose must 

be preconditioned with a fuel soak to 

ensure that the permeation rate has 

stabilized. The fuel to be used for this 

testing would be a blend of 90-percent 

gasoline and 10-percent ethanol. This 

fuel is consistent with the test fuel used 

for highway evaporative emission 

testing. Alternatively, for purposes of 

submission of data at certification, 

permeation could be measured using 

alternative equipment and procedures 

that provide equivalent results. To use 

these alternative methods, 

manufacturers would have to apply to 

us and demonstrate equivalence. 

Examples of alternative approaches that 

we anticipate manufacturers may use 

are the recirculation technique 

described in SAE J1737,70 enclosuretype testing such as in 40 CFR part 86, 

or weight loss testing such as described 

in SAE J1527.71

3. Can I Certify Based on Engineering 

Design Rather Than Through Testing? 

In general, test data would be required 

to certify fuel tanks and hoses to the 

permeation standards. Test data could 

be carried over from year to year for a 

given emission-control design. We do 

not believe the cost of testing tanks and 

hose designs for permeation would be 

burdensome especially given that the 

data could be carried over from year to 

year, and that there is a good possibility 

that the broad emission family concepts 

would lead to minimum testing. 

However, there are some specific cases 

where we would allow certification 

based on design. These special cases are 

discussed below. 

We would consider a metal fuel tank 

to meet the design criteria for a low 

permeation fuel tank because fuel does 

not permeate through metal. However, 

we would not consider this design to be 

any more effective than any other low 

permeation fuel tank for the purposes of 

any sort of credit program. Although 

metal is impermeable, seals and gaskets 

used on the fuel tank may not be. The 

design criteria for the seals and gaskets 

would be that either they would not 

have a total exposed surface area 

exceeding 1000 mm2, or the seals and 

gaskets would have to be made of a 

material with a permeation rate of 10 g/

m2/day or less at 23°C as measured 

under ASTM D814.72 A metal fuel tank 

with seals that meet this design criteria 

would readily pass the standard.

Fuel hoses can be certified by design 

as being manufactured in compliance 

with certain accepted SAE 

specifications. Specifically, a fuel hose 

meeting the SAE J30 R11–A or R12 

requirements could be design-certified 

to the standard. In addition, fuel line 

meeting the SAE J226073 Category 1 

requirements could be design-certified 

to the standard. These fuel hoses and 

fuel line specifications are based on 15-

percent methanol fuel and higher 

temperatures. We believe that fuel hoses 

and lines that are tested and meet these 

requirements would also meet our hose 

permeation standards because both are 

generally acknowledged as representing 

more stringent test parameters. In the 

future, if new SAE specifications are 

developed which are consistent with 

our hose permeation standards, we 

would consider including hoses meeting 

the new SAE requirements as being able 

to certify by design.

At certification, manufacturers will 

have to submit an engineering analysis 

showing that the tank or hose designs 

will meet the standards throughout their 

full useful life. The tanks and hoses will 

remain subject to the emission 

standards throughout their useful lives. 

The design criteria relate only to the 

issuance of a certificate. 

E. Special Compliance Provisions 

We believe that the permeation 

control requirements will be relatively 

easy for small businesses to meet, given 

the relatively low cost of the 

requirements and the availability of 

materials and treatment support by 

outside vendors. Low permeation fuel 

hoses are available from vendors today, 

and we would expect that surface 

treatment would be applied through an 

outside company. However, to minimize 

any additional burden these 

requirements may impose on small 

manufacturers, we are implementing, 

where they are applicable to 

permeation, the same options we 

proposed for the exhaust emission 

standards. These options for small 

recreational vehicle manufacturers are 

described in detail in Section III.E. 

F. Technological Feasibility 

We believe there are several strategies 

that manufacturers can use to meet our 

permeation emission standards. This 

section gives an overview of this 

technology. See Chapters 3 and 4 of the 

Final Regulatory Support Document for 

more detail on the technology discussed 

here.

1. Implementation Schedule 

The permeation emission standards 

for fuel tanks become effective in the 

2008 model year. Several technologies 

are available that could be used to meet 

this standard. Surface treatments to 

reduce tank permeation are widely used 

today in other container applications, 

and the technology and production 

facilities needed to conduct this process 

exist. Selar is used by at least one 

portable fuel tank manufacturer and has 

also been used in automotive 

applications. Plastic tanks with 

coextruded barriers have been used in 

automotive applications for years. 

However, fuel tanks used in recreational 

vehicles are primarily (but not 

exclusively) high-density polyethylene 

tanks with no permeation control. We 

received comments from manufacturers 

that they would not be able to comply 

with permeation standards until 2008 or 

2009. They stated that, especially for 

fuel tanks, they would need this extra 

lead time to ensure that the useful life 

requirement can be met on their 

products. At the same time, others 

commented that the technology is 

already available and that the 

permeation standards should apply in 

2004. We believe it is appropriate to 

give manufacturers until the 2008 model 

year for the fuel tank permeation 

standards. Manufacturers will need lead 

time to allow for durability testing and 

other development work associated with 

applying this technology to recreational 

vehicles. This is especially true for 

manufacturers or vendors who choose to 

set up their own sulfonation or 

fluorination facilities in-house. 

We believe that the low permeation 

hose technology can also be applied in 

the 2008 time frame. A lower 

permeation fuel hose exists today 

known as the SAE R9 hose that is as 

flexible as the SAE R7 hose used in 

most recreational applications today. 

These SAE hose specifications are 

contained in SAE J30 cited above. This 

hose would meet our permeation 

standard on gasoline, but probably not 

on a 10-percent ethanol blend. As noted 

in Chapter 4 of the Final Regulatory 

Support Document, barrier materials 

typically used in R9 hose today may 

have permeation rates 3 to 5 times 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68289

higher on a 10-percent ethanol blend 

than on straight gasoline. However, 

there are several lower permeability 

barrier materials that can be used in 

rubber hose that will comply with the 

hose permeation requirement on a 10-

percent ethanol blend and still be 

flexible enough for use in recreational 

vehicles. This hose is available for 

automotive applications at this time, but 

some lead time may be required to 

apply these hoses to recreational 

vehicles if hose connection fitting 

changes were required. For these 

reasons, we are implementing the hose 

permeation standard on the same 

schedule as the tank permeation 

standards. 

2. Standard Levels 

We have identified several strategies 

for reducing permeation emissions from 

fuel tanks and hoses. We recognize that 

some of these technologies may be more 

desirable than others for some 

manufacturers, and we recognize that 

different strategies for equal emission 

reductions may be better for different 

applications. A specific example of 

technology that could be used to meet 

the fuel tank permeations would be 

surface barrier treatments such as 

sulfonation or fluorination. With these 

surface treatments, more than a 95-

percent reduction in permeation 

emissions from new fuel tanks is 

feasible. However, variation in material 

tolerances and in-use deterioration can 

reduce this effectiveness. Given the lead 

time for the standards, manufacturers 

will be able to provide fuel tanks with 

consistent material quality, and the 

surface treatment processes can be 

optimized for a wide range of material 

qualities and additives such as 

pigments, plasticizers, and UV 

inhibitors. We do not expect a large 

deterioration in use; however, data on 

slosh testing suggest that some 

deterioration may occur. To 

accommodate variability and 

deterioration, we are finalizing a 

standard that represents about an 85-

percent reduction in permeation 

emissions from plastic fuel tanks. It is 

our expectation that manufacturers will 

aim for a surface treatment effectiveness 

rate as near to 100 percent a practical for 

new tanks. Therefore, even with 

variability and deterioration in use, 

control rates are likely to exceed 85 

percent. Several materials are available 

today that could be used as a low 

permeation barrier in rubber hoses. We 

present more detail on these and other 

technological approaches below. 

3. Technological Approaches 

a. Fuel tanks. Blow molding is widely 

used for the manufacture of small fuel 

tanks of recreational vehicles. Typically, 

blow molding is performed by creating 

a hollow tube, known as a parison, by 

pushing high-density polyethylene 

(HDPE) through an extruder with a 

screw. The parison is then pinched in 

a mold and inflated with an inert gas. 

In highway applications, non-permeable 

plastic fuel tanks are produced by blow 

molding a layer of ethylene vinyl 

alcohol (EVOH) or nylon between two 

layers of polyethylene. This process is 

called coextrusion and requires at least 

five layers: the barrier layer, adhesive 

layers on either side of the barrier layer, 

and HDPE as the outside layers which 

make up most of the thickness of the 

fuel tank walls. However, multi-layer 

construction requires two additional 

extruder screws which significantly 

increases the cost of the blow molding 

process. Multi-layer fuel tanks can also 

be formed using injection molding. In 

this method, a low viscosity polymer is 

forced into a thin mold to create each 

side of the fuel tank. The two sides are 

then welded together. To add a barrier 

layer, a thin sheet of the barrier material 

is placed inside the mold prior to 

injection of the poleythylene. The 

polyethylene, which generally has a 

much lower melting point than the 

barrier material, bonds with the barrier 

material to create a shell with an inner 

liner. 

A less expensive alternative to 

coextrusion is to blend a low permeable 

resin in with the HDPE and extrude it 

with a single screw. The trade name 

typically used for this permeation 

control strategy is Selar. The low 

permeability resin, typically EVOH or 

nylon, creates non-continuous platelets 

in the HDPE fuel tank which reduce 

permeation by creating long, tortuous 

pathways that the hydrocarbon 

molecules must navigate to pass through 

the fuel tank walls. Although the barrier 

is not continuous, this strategy can still 

achieve greater than a 90-percent 

reduction in permeation of gasoline. 

EVOH has much higher permeation 

resistance to alcohol than nylon; 

therefore, it would be the preferred 

material to use for meeting our standard 

which is based on testing with a 10-

percent ethanol fuel. 

Another type of low permeation 

technology for fuel tanks would be to 

treat the surfaces of a plastic fuel tanks 

with a barrier layer. Two ways of 

achieving this are known as fluorination 

and sulfonation. The fluorination 

process causes a chemical reaction 

where exposed hydrogen atoms are 

replaced by larger fluorine atoms which 

creates a barrier on the surface of the 

fuel tank. In this process, a batch of fuel 

tanks are generally processed post 

production by stacking them in a steel 

container. The container is then voided 

of air and flooded with fluorine gas. By 

pulling a vacuum in the container, the 

fluorine gas is forced into every crevice 

in the fuel tanks. As a result of this 

process, both the inside and outside 

surfaces of the fuel tank would be 

treated. As an alternative, fuel tanks can 

be fluorinated on-line by exposing the 

inside surface of the fuel tank to 

fluorine during the blow molding 

process. However, this method may not 

prove as effective as off-line fluorination 

which treats the inside and outside 

surfaces. 

Sulfonation is another surface 

treatment technology where sulfur 

trioxide is used to create the barrier by 

reacting with the exposed polyethylene 

to form sulfonic acid groups on the 

surface. Current practices for 

sulfonation are to place fuel tanks on a 

small assembly line and expose the 

inner surfaces to sulfur trioxide, then 

rinse with a neutralizing agent. 

However, sulfonation can also be 

performed using a batch method. Either 

of these processes can be used to reduce 

gasoline permeation by more than 95 

percent. 

Over the first month or so of use, 

polyethylene fuel tanks can expand by 

as much as three percent due to 

saturation of the plastic with fuel. 

Manufacturers have raised the concern 

that this hydrocarbon expansion could 

affect the effectiveness of surface 

treatments like fluorination or 

sulfonation. We believe this will not 

have a significant effect on the 

effectiveness of these surface treatments. 

California ARB has performed extensive 

permeation testing on portable fuel 

containers with and without these 

surface treatments. Prior to the 

permeation testing, the tanks were 

prepared by first performing a durability 

procedure where the fuel container is 

cycled a minimum of 1000 times 

between ¥1 psi and 5 psi. In addition, 

the fuel containers are soaked with fuel 

for a minimum of four weeks prior to 

testing. Their test data, presented in 

Chapter 4 of the Final Regulatory 

Support Document show that 

fluorination and sulfonation are still 

effective after this durability testing. 

Manufacturers have also commented 

that fuel sloshing in the fuel tank, under 

normal in-use operation, could wear off 

the surface treatments. However, we do 

not believe that this is likely. These 

surface treatments actually result in an 

atomic change in the structure of the 

68290 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

74 ethylene-tetrafluoro-ethylene (ETFE), tetrafluoro-ethylene, hexa-fluoro-propylene, and 

vinyledene fluoride (THV).

75 Gas turbines are non-reciprocating internal 

combustion engines.

outside surface of the fuel tank. To wear 

off the treatment, the plastic would need 

to be worn away on the outside surface. 

In addition, testing by California ARB 

shows that the fuel tank permeation 

standard can be met by fuel tanks that 

have been sloshed for 1.2 million cycles. 

Test data on an sulfonated automotive 

HDPE fuel tank after five years of use 

showed no deterioration in the 

permeation barrier. This data are 

presented in Chapter 4 of the Final 

Regulatory Support Document. 

Permeation can also be reduced from 

fuel tanks by constructing them out of 

a lower permeation material than HDPE. 

For instance, metal fuel tanks would not 

permeate. In addition, there are grades 

of plastics other than HDPE that could 

be molded into fuel tanks. One 

commenter suggested nylon; however, 

although nylon has excellent 

permeation resistance on gasoline, it has 

poor chemical resistance to alcoholblended fuels. Other materials, which 

have excellent permeation even with 

alcohol-blended fuels are acetal 

copolymers and thermoplastic 

polyesters. At this time, these materials 

are generally much more expensive than 

HDPE. 

b. Hoses. Fuel hoses produced for use 

in recreational vehicles are generally 

extruded nitrile rubber with a cover for 

abrasion resistance. Lower permeability 

fuel hoses produced today for other 

applications are generally constructed 

in one of two ways: either with a low 

permeability layer or by using a low 

permeability rubber blend. By using 

hose with a low permeation 

thermoplastic layer, permeation 

emissions can be reduced by more than 

95 percent. Because the thermoplastic 

layer is very thin, on the order of 0.1 to 

0.2 mm, the rubber hose retains its 

flexibility. Two thermoplastics which 

have excellent permeation resistance, 

even with an alcohol-blend fuel, are 

ETFE and THV.74

In automotive applications, multilayer 

plastic tubing, made of fluoropolymers 

is generally used. An added benefit of 

these low permeability lines is that 

some fluoropolymers can be made to 

conduct electricity and therefore can 

prevent the buildup of static charges. 

Although this technology can achieve 

more than an order of magnitude lower 

permeation than barrier hoses, it is 

relatively inflexible and may need to be 

molded in specific shapes for each 

recreational vehicle design. 

Manufacturers have commented that 

they would need flexible hose to fit 

their many designs, resist vibration, and 

to simplify the hose connections and 

fittings.

An alternative approach to reducing 

the permeability of fuel hoses would be 

to apply a surface treatment such as 

fluorination or sulfonation. This process 

would be performed in a manner similar 

to discussed above for fuel tanks. 

4. Conclusions 

The standards for permeation 

emissions from recreational vehicles 

reasonably reflect what manufacturers 

can achieve through the application of 

available technology. Manufacturers 

will have several years of lead time to 

select, design, and produce permeation 

emission-control strategies that will 

work best for their product lines. We 

expect that meeting these requirements 

will pose a challenge, but one that is 

feasible taking into consideration the 

availability and cost of technology, lead 

time, noise, energy, and safety. The role 

of these factors is presented in detail in 

Chapters 3 and 4 of the Final Regulatory 

Support Document. 

The permeation standards are based 

on the effective application of low 

permeable materials or surface 

treatments. This is a step change in 

technology; therefore, we believe that 

even if we set a less stringent 

permeation standard, these technology 

options would likely still be used. In 

addition, this technology is relatively 

inexpensive and can achieve 

meaningful emission reductions. The 

standards are expected to achieve more 

than an 85-percent reduction in 

permeation emissions from fuel tanks 

and more than 95 percent from hoses. 

We believe that more stringent 

standards could result in significantly 

more expensive materials without 

corresponding additional emission 

reduction. In addition, the control 

technology would generally pay for 

itself over time by conserving fuel that 

would otherwise evaporate. The 

projected costs and fuel savings are 

discussed in Chapter 5 of the Final 

Regulatory Support Document. 

V. Large Spark-Ignition (SI) Engines 

A. Overview 

This section applies to most nonroad 

spark-ignition engines rated over 19 kW 

(‘‘Large SI engines’’). The emission 

standards will lead to emission 

reductions of about 90 percent for CO, 

NOX, and HC. Since the emission 

standards are based on engine testing 

with broadly representative duty cycles, 

these estimated reductions apply to all 

types of equipment using these engines. 

Reducing Large SI engine emissions will 

help reduce ozone and CO 

concentrations and will also be valuable 

to individuals operating these engines 

in areas with limited fresh air 

circulation. The cost of applying the 

anticipated emission-control technology 

to these engines is offset by much 

greater cost savings from reduced fuel 

consumption over the engines’

operating lifetime, as described in the 

Final Regulatory Support Document. 

This section describes the 

requirements that apply to engine 

manufacturers. See Section II for a 

description of our general approach to 

regulating nonroad engines and how 

manufacturers show that they meet 

emission standards. See Section VII for 

additional requirements for engine 

manufacturers, equipment 

manufacturers, and others. See Section 

VIII for general provisions related to 

testing equipment and procedures. 

B. Large SI Engines Covered by This 

Rule 

Large SI engines covered in this 

section power nonroad equipment such 

as forklifts, sweepers, pumps, and 

generators. This includes marine 

auxiliary engines, but does not include 

marine propulsion engines or engines 

used in recreational vehicles 

(snowmobiles, off-highway motorcycles, 

and all-terrain vehicles). These other 

nonroad applications are addressed 

elsewhere in this document. 

This final rule applies only to sparkignition engines. Our most recent 

rulemaking for nonroad diesel engines 

adopted a definition of ‘‘compressionignition’’ that addressed the status of 

alternative-fuel engines (63 FR 56968, 

October 23, 1998). We are adopting 

updated definitions consistent with 

those already established in previous 

rulemakings to clarify that all 

reciprocating internal combustion 

engines are either spark-ignition or 

compression-ignition.75 These new 

definitions apply to 40 CFR parts 89 and 

1048. Spark-ignitions include gasolinefueled engines and any others that 

control power with a throttle and follow 

the theoretical Otto cycle. Compressionignition engines are any reciprocating 

internal-combustion engines that are not 

spark-ignition engines. Under these 

definitions, it is possible for a dieselderived engine to fall under the sparkignition program. We believe the 

requirements adopted in this rule are 

feasible and appropriate for these 

engines. However, we will allow such 

engines over 250 kW to instead meet the 

requirements that apply to nonroad 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68291

diesel engines. We believe this is 

appropriate for several reasons. First, 

the technology requirements are 

comparable between programs. The 

nonroad diesel emission standards, 

which apply over the longer useful life 

characteristic of diesel engines, are 

slightly more stringent for CO and 

slightly less stringent for HC+NOX. The 

calibration changes needed to adjust 

these emission levels are not 

fundamental to the overall design of the 

emission-control system. Second, the 

diesel engine manufacturers producing 

these engines are already set up to do 

testing based on test procedures that 

apply to diesel engines. To the extent 

that they would incur costs to be able 

to run test procedures specified for 

Large SI engines, these costs would 

likely not correspond with improving 

emission-controls. Third, these engines 

share important technical characteristics 

with diesel engines and are likely to 

experience in-use operation that is more 

like that of nonroad diesel engines. In 

addition, they are installed in 

applications that also use diesel 

engines, not Large SI engines.

Several types of engines are excluded 

or exempted from these new 

regulations. The following sections 

describe the types of special provisions 

that apply uniquely to nonrecreational 

spark-ignition engines rated over 19 kW. 

Section VII.C covers several additional 

exemptions that apply generally across 

programs. 

1. Stationary Engine Exclusion 

Consistent with the Clean Air Act, 

stationary-source engines are not 

nonroad engines, so the emission 

standards don’t apply to engines used in 

stationary applications. In general, an 

engine that would otherwise be 

considered a Large SI engine is not 

considered a nonroad engine if it will be 

either installed in a fixed position or if 

it will be a portable (or transportable) 

engine operating for at least one-year 

periods without moving throughout its 

lifetime. We are adopting the same 

definitions for these engines that have 

already been established for other 

programs. These stationary engines (that 

would otherwise qualify as Large SI 

engines) must have an engine label 

identifying their excluded status. This is 

especially valuable for importing 

excluded engines without complication 

from U.S. Customs officials. It also helps 

us ensure that such engines are 

legitimately excluded from emission 

standards. 

2. Exclusion for Engines Used Solely for 

Competition 

For Large SI engines we proposed the 

existing regulatory definition for 

nonroad engines, with excludes engines 

used solely for competition. As 

described in the proposed rule, we are 

not aware of any manufacturers 

producing new engines that are 

intended only for competition. As a 

result, we are not adopting any specific 

provisions addressing a competition 

exclusion for manufacturers. Part 1068 

of the regulations includes provisions 

addressing the practice of modifying 

certified engines for competition (see 

Section VII.C). 

3. Motor Vehicle Engine Exemption 

In some cases an engine manufacturer 

may want to modify a certified 

automotive engine for nonroad use to 

sell the engine without recertifying it as 

a Large SI engine. We are therefore 

adopting an exemption from the Large 

SI standards in 40 CFR part 1048 for 

engines that are already certified to the 

emission standards in 40 CFR part 86 

for highway applications. To qualify for 

this exemption from separately 

certifying to nonroad standards, the 

manufacturer must makes no changes to 

the engine that might affect its exhaust 

or evaporative emissions. Companies 

using this exemption must report 

annually to us, including a list of its 

exempted engine models. For engines 

included under this provision, 

manufacturers of the vehicle or engine 

must generally meet all the 

requirements from 40 CFR part 86 that 

would apply if the engine were used in 

a motor vehicle. Section 1048.605 of the 

regulations describes the qualifying 

criteria and responsibilities in greater 

detail. 

We generally prohibit equipment or 

vehicle manufacturers from producing 

new nonroad equipment that does not 

have engines certified to nonroad 

emission standards. However, in some 

cases a manufacturer may want to 

produce vehicles certified to highway 

emission standards for nonroad use. We 

are providing an exemption for these 

manufacturers, as long as there is no 

change in the vehicle’s exhaust or 

evaporative emission-control systems. 

For example, a mining company may 

want to use a pickup truck for dedicated 

work at a mine site, but special-order 

the trucks from the manufacturer with 

modifications that cause the truck to no 

longer qualify as a motor vehicle. 

Manufacturers may produce such a 

modified version of a truck that has 

been certified to the motor-vehicle 

standards, as long as the modifications 

don’t affect its emissions.

4. Lawn and Garden Engine Exemption 

Most Large SI engines, rated over 19 

kW, have a total displacement greater 

than one liter. The design and 

application of the few Large SI engines 

currently being produced with 

displacement less than one liter are very 

similar to those of engines rated below 

19 kW, which are typically used for 

lawn and garden applications. As 

described in the most recent rulemaking 

for these smaller engines, manufacturers 

may certify engines between 19 and 30 

kW with total displacement of one liter 

or less to the requirements we have 

already adopted in 40 CFR part 90 for 

engines below 19 kW (see 65 FR 24268, 

April 25, 2000). We are not changing 

this provision, and engines so certified 

would not be subject to the 

requirements that apply to Large SI 

engines. This approach allows 

manufacturers of small air-cooled 

engines to certify their engines rated 

between 19 and 30 kW with the program 

adopted for the comparable engines 

with slightly lower power ratings. This 

is also consistent with the provisions 

adopted by California ARB, except for 

the addition of the 30-kW cap to prevent 

treating high-power engines under the 

program that applies to lawn and garden 

engines. 

Technological, economic, and 

environmental issues associated with 

the few engine models with rated power 

over 19 kW, but with displacement at or 

below 1 liter, were previously analyzed 

in the rulemaking for nonroad sparkignition engines below 19 kW. This rule 

therefore does not specifically address 

the provisions applying to them or 

repeat the estimated impacts of adopting 

emission standards. 

Conversely, we are aware that some 

engines rated below 19 kW may be part 

of a larger family of engine models that 

includes engines rated above 19 kW. 

This may include, for example, threeand four-cylinder engine models that 

are otherwise identical. To avoid the 

need to separate these engines into 

separate engine families (certified under 

completely different control programs), 

manufacturers may certify any engine 

rated under 19 kW to the more stringent 

Large SI emission standards. Such an 

engine is then exempt from the 

requirements of 40 CFR part 90. 

C. Emission Standards 

In October 1998, California ARB 

adopted emission standards for Large SI 

engines. We are extending these 

requirements to the rest of the U.S. in 

the near term. We are also revising the 

68292 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

76See Section V.D for a discussion of duty cycles.

emission standards and adding various 

provisions in the long term, as described 

below. The near-term and the long-term 

emission standards are based on threeway catalytic converters with electronic 

fueling systems to control emissions, 

and differ primarily in terms of how 

well the controls are optimized. In 

addition to the anticipated emission 

reductions, we project that these 

technologies will provide large savings 

to operators as a result of reduced fuel 

consumption and other performance 

improvements. 

An important element of the control 

program is the attempted harmonization 

with the requirements adopted by 

California ARB. We are aware that 

inconsistent or conflicting requirements 

may lead to additional costs. 

Cooperation between agencies has 

allowed a great degree of harmonization. 

In addition to the common structure of 

the programs, the specific provisions 

that make up the certification 

requirements and compliance programs 

are consistent with very few exceptions. 

In most of the cases where individual 

provisions differ, the EPA language is 

more general than that adopted by 

California, rather than being 

incompatible. The following sections 

describe the requirements in greater 

detail. 

1. What Are the Emission Standards and 

Compliance Dates? 

a. Exhaust emissions. We are adopting 

standards starting in the 2004 model 

year consistent with those adopted by 

California ARB. These standards, which 

apply to testing only with the applicable 

steady-state duty cycles, are 4.0 g/kW-hr 

(3.0 g/hp-hr) for HC+NOX emissions and 

50 g/kW-hr (37 g/hp-hr) for CO 

emissions. See Section V.D for further 

discussion of the steady-state duty 

cycles. We expect manufacturers to 

meet these standards using three-way 

catalytic converters and electronically 

controlled fuel systems. These systems 

are similar to those used for many years 

in highway applications, but not 

necessarily with the same degree of 

sophistication. 

Adopting emission standards for these 

engines starting in 2004 allows a 

relatively short lead time. However, 

manufacturers will be able to achieve 

this by expanding their production of 

the same engines they will be selling in 

California at that time. We have 

designed our 2004 standards to require 

no additional development, design, or 

testing beyond what California ARB 

already requires. Adopting these nearterm emission standards allows us to set 

early requirements to introduce the lowemission technologies for substantial 

emission reductions with minimal lead 

time. The final requirements includes 

two principal adjustments to align with 

the California ARB standards. First, we 

specify that manufacturers’

deterioration factors for 2004 through 

2006 model years should be based on 

emission measurements over 3500 hours 

of engine operation, rather than the full 

useful life of 5000 hours. Second, for 

those same model years, we are 

applying an emission standard of 5.4 g/

kW-hr (4.0 g/hp-hr) HC+NOX for any inuse testing to account for the potential 

for additional deterioration beyond 3500 

hours. This allowance for higher in-use 

emissions is a temporary provision to 

ensure the feasibility of compliance in 

the early years of the program. Testing 

has shown that with additional design 

time, manufacturers can incorporate 

emission-control technologies with 

sufficient durability that the long-term 

standards do not require a separate inuse standard. This is separate from the 

field-testing standards described below. 

Testing has shown that additional 

time to optimize designs to better 

control emissions will allow 

manufacturers to meet significantly 

more stringent emission standards that 

are based on more robust measurement 

procedures. We are therefore adopting a 

second tier of standards to require 

additional emission reductions. These 

later standards require manufacturers to 

control emissions under both steadystate and transient engine operation, as 

described in Section V.D below). Setting 

the emission standards to require 

additional control involves separate 

consideration of the achievable level of 

control for HC+NOX and CO emissions. 

While HC+NOX emissions contribute to 

nonattainment of ozone air quality 

standards, CO emissions contribute to 

nonattainment of CO air quality 

standards and potentially harmful 

exposures of individuals where engines 

are operating in areas where fresh 

airflow may be restricted. Emissioncontrol technology is able to 

simultaneously control these three 

pollutants, but a tradeoff between NOX

and CO emissions persists for any given 

system. This relationship is determined 

by an engine’s precise control of air-fuel 

ratios—shifting to air-fuel ratios slightly 

lean of stoichiometric increases NOX

emissions but decreases CO emissions 

and vice versa. Engines using different 

fuels face this same situation, though 

gasoline engines operating under heavy 

load generally need to shift to richer airfuel ratios to prevent accelerated 

engines wear from very high 

combustion temperatures. 

Our primary focus in setting the level 

of the emission standards is reductions 

in emissions that contribute to ambient 

air-pollution problems. At the same 

time, we recognize that these engines 

are used in many applications where 

there are concerns about personal 

exposure to the engine exhaust, 

including workplace exposure, focusing 

primarily on CO exposure. It is 

appropriate to take such concerns into 

consideration in setting the level of the 

standards. In this case, where the 

equipment using these engines can vary 

substantially and where the emissioncontrol technology means there is a 

trade-off between HC+NOX control and 

CO control, it is difficult to set a single, 

optimal standard for all three pollutants. 

In such a situation it is reasonable to 

have more than one set of standards to 

allow an engine to use technologies 

focused on controlling the pollutants of 

most concern for a specific application. 

We are not in a position, however, to 

readily identity the specific levels of 

alternative standards that are 

appropriate for each application or to 

pick specific applications that should go 

with different standards. We also want 

to ensure that engines significantly 

reduce emissions of all three pollutants. 

To address this, we are setting a 

combination of standards requiring 

more effective emission controls starting 

with the 2007 model year. First, we are 

setting benchmark emission standards 

of 2.7 g/kW-hr (2.0 g/hp-hr) for HC+NOX

emissions and 4.4 g/kW-hr (3.3 g/hp-hr) 

for CO emissions. The emission 

standards apply to measurements 

during duty-cycle testing under both 

steady-state and transient operation, 

including certification, production-line 

testing, and in-use testing.76 These 

emission levels provide for substantial 

control of HC+NOX emissions (in fact, 

these standards are more stringent than 

those proposed), but also contain 

substantial control of CO emissions to 

protect against individual exposure as 

well as CO nonattainment.

We are also including an option for 

manufacturers to certify their engines to 

different emission levels to allow 

manufacturers to build engines whose 

emission controls are more weighted 

toward controlling NOX emissions to 

reflect the inherent tradeoff of NOX and 

CO emissions. Generally this involves 

meeting a less stringent CO standard if 

a manufacturer certifies an engine with 

lower HC+NOX emissions. Table V.C–1 

shows several examples of possible 

combinations of HC+NOX and CO 

emission standards. The highest 

allowable CO standard is 20.6 g/kW-hr 

(15.4 g/hp-hr), which corresponds with 

HC+NOX emissions below 0.8 g/kW-hr 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68293

77While the emission standards in this final rule 

require substantial emission reductions of CO and 

other harmful pollutants from nonroad engines, this 

does not replace the need for ongoing regulation of 

air quality to protect occupational safety and health. 

More specifically, in accordance with the 

limitations provided in Section 310(a) of the Clean 

Air Act (42 U.S.C. section 7610(a)), nothing in this 

rule affects the Occupational Safety and Health 

Administration’s authority to enforce standards and 

other requirements under the Occupational Safety 

and Health Act of 1970 (29 U.S.C. sections 651 et 

seq.).

(0.6 g/hp-hr). Manufacturers certify to 

any HC+NOX level between and 

including 0.8 and 2.7 g/kW-hr, rounding 

to the nearest 0.1 g/kW-hr. They will 

certify also to the corresponding CO 

level, as calculated using the formula 

below, again rounding to the nearest 0.1 

g/kW-hr.

TABLE V.C–1.—SAMPLES OF POSSIBLE ALTERNATIVE DUTY-CYCLE

EMISSION STANDARDS FOR LARGE

SI ENGINES(G/KW-HR)*

HC+NOX CO 

2.7 ................................................. 4.4 

2.2 ................................................. 5.6 

1.7 ................................................. 7.9 

1.3 ................................................. 11.1 

1.0 ................................................. 15.5 

0.8 ................................................. 20.6 

*As described in the Final Regulatory Support Document and the regulations, the values 

in the table are related by the following formula: (HC+NOX) x CO0.784 = 8.57. These values follow directly from the logarithmic relationship presented with the proposal in the 

Draft Regulatory Support Document. 

We believe this flexible approach to 

setting standards is the most appropriate 

and efficient way to allocate the 

different design strategies to achieve 

effective reductions of HC+NOX

emissions while providing for the best 

control of CO emissions where it is most 

needed. Testing has shown that 

emission controls are more likely to 

experience degradation with respect to 

controlling CO emissions than HC or 

NOX emissions. Manufacturers therefore 

have a natural incentive to certify 

engine families with an HC+NOX

emission level as low as possible to 

increase the compliance margin for 

meeting the CO standard. In addition, 

many of these engines will be used in 

applications where ozone is of more 

concern. As a result, we expect 

manufacturers to design most of their 

engines to operate substantially below 

the 2.7 g/kW-hr standard for HC+NOX

emissions. This approach also 

encourages manufacturers to 

continually improve their control of 

HC+NOX emissions over time. At the 

same time, to the extent that purchasers 

want engines with low CO emission 

levels, particularly for exposure-related 

concerns, manufacturers will be able to 

produce compliant engines that will 

provide appropriate protection. Note 

that engines operating at the highest 

allowable CO emission levels under the 

2007 standards will still be substantially 

reducing CO emissions compared with 

baseline levels. The emission standards 

in this final rule will achieve substantial 

reductions, but are not designed to 

guarantee workplace safety or to set a 

safety standard. Rather, we intend to 

facilitate the use of engine-based control 

technologies so that owners and 

operators can purchase equipment to 

help them address these concerns. 

We are not adopting any controls or 

limits to restrict the sale of engines 

meeting certain requirements into 

certain applications. We believe that the 

manufacturers and customers for these 

products will together make educated 

choices regarding the appropriate mix of 

emission controls for each application 

and that market forces will properly 

balance emission controls for the 

different pollutants in specific 

applications. We believe that customers 

for these applications, some of whom 

are subject to occupational air-quality 

standards for related pollutant 

concentrations, will be well placed to 

make informed choices regarding airpollution control, especially given their 

ability to make choices based on the 

specific environmental circumstances of 

each particular customer.77

We are adopting field-testing 

standards of 3.8 g/kW-hr (2.8 g/hp-hr) 

for HC+NOX and 6.5 g/kW-hr (4.9 g/hphr) for CO. As described above for dutycycle testing, field-testing allows for the 

same pattern of optional emission 

standards to reflect the tradeoff of CO 

and NOX emissions. See Section V.D.5 

for more information about field testing. 

As described in Chapter 4 of the Final 

Regulatory Support Document, we 

believe manufacturers can achieve these 

emission standards by optimizing 

currently available three-way catalysts 

and electronically controlled fuel 

systems. 

Two additional provisions apply to 

specific situations. First, some engines 

need to operate with rich air-fuel ratios 

at high loads to protect the engine from 

overheating. This is especially true for 

gasoline-fueled engines, which typically 

experience higher combustion 

temperatures. When operating at such 

air-fuel ratios, the engines may be 

unable to meet the CO emission 

standard during steady-state testing 

because the steady-state duty cycle 

involves sustained operation under 

high-load conditions, unlike the 

transient duty cycle. If a manufacturer 

shows us that this type of engine 

operation keeps it from meeting the CO 

emission standard shown above for 

specific models, we will approve a 

separate CO emission standard of 31.0 

g/kW-hr that would apply only to 

steady-state testing. This standard 

reflects the adjustment needed at highload operation and would apply to any 

steady-state tests for certification, 

production-line testing, or in-use 

testing. To prevent high in-use emission 

levels, we are adopting several 

additional provisions related to this 

separate CO standard. Manufacturers 

must show that enrichment is necessary 

to protect the engine from damage and 

that enrichment will be limited to 

operating modes that require additional 

cooling to protect the engine from 

damage. In addition, manufacturers 

must show in their application for 

certification that enrichment will rarely 

occur in the equipment in which your 

engines are installed (for example, an 

engine that is expected to operate 5 

percent of the time in use with 

enrichment would clearly not qualify). 

Finally, manufacturers must include in 

the emission-related installation 

instructions any steps necessary for 

someone installing the engines to 

prevent enrichment during normal 

operation. This option does not apply to 

transient or field testing, so these 

engines would need to meet the same 

formula for HC+NOX and CO standards 

that apply to other engines for transient 

testing and for field testing. By tying the 

CO standard for these engines to the 

highest allowable CO emission level for 

field testing, we are effectively requiring 

that manufacturers ensure that in-use 

engines employ engine-protection 

strategies no more frequently than is 

reflected in the steady-state duty cycles 

for certification. 

Second, equipment manufacturers 

have made it clear that some nonroad 

applications involve operation in severe 

environments that require the use of aircooled engines. These engines rely on 

air movement instead of an automotivestyle water-cooled radiator to maintain 

acceptable engine temperatures. Since 

air cooling is less effective, these 

engines rely substantially on 

enrichment to provide additional 

cooling relative to water-cooled engines. 

At these richer air-fuel ratios, catalysts 

are able to reduce NOX emissions but 

oxidation of CO emissions is much less 

effective. As a result, we are adopting 

emission standards for these ‘‘severeduty’’ engines of 2.7 g/kW-hr for 

HC+NOX and 130 g/kW-hr for CO. 

These standards apply to duty-cycle 

68294 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

emission testing for both steady-state 

and transient measurements (for 

certification, production-line, and inuse testing). The corresponding fieldtesting standards are 3.8 g/kW-hr for 

HC+NOX and 200 g/kW-hr for CO. 

Severe-duty applications include 

concrete saws and concrete pumps. 

These types of equipment are exposed 

to high levels of concrete dust, which 

tends to form a thick insulating coat 

around any heat-exchanger surfaces and 

exposes engines to highly abrasive dust 

particles. Manufacturers may request 

approval in identifying additional 

severe-duty applications subject to these 

less stringent standards if they can 

provide clear evidence that the majority 

of installations need air-cooled engines 

as a result of operation in a severe-duty 

environment. This arrangement 

generally prevents these higher-emitting 

engines from gaining a competitive 

advantage in markets that don’t already 

use air-cooled engines. 

We believe three years between 

phases of emission standards allows 

manufacturers enough lead time to meet 

the more stringent emission standards. 

The projected emission-control 

technologies for the 2004 emission 

standards should be capable of meeting 

the 2007 emission levels with additional 

optimization and testing. In fact, 

manufacturers may be able to apply 

their optimization efforts before 2004, 

leaving only the additional testing 

demonstration for complying with the 

2007 standards. The biggest part of the 

optimization effort may be related to 

gaining assurance that engines will meet 

field-testing emission standards 

described in Section V.D.5, since 

engines will not be following a 

prescribed duty cycle. 

For engines fueled by gasoline and 

liquefied petroleum gas (LPG), we 

specify emission standards based on 

total hydrocarbon measurements, while 

California ARB standards are based on 

nonmethane hydrocarbons. We believe 

that switching to measurement based on 

total hydrocarbons simplifies testing, 

especially for field testing of in-use 

engines with portable devices (See 

Section V.D.5). To maintain consistency 

with California ARB standards in the 

near term, we will allow manufacturers 

to base their certification through 2006 

on either nonmethane or total 

hydrocarbons (see 40 CFR 1048.145). 

Methane emissions from controlled 

engines operating on gasoline or LPG 

are about 0.1 g/kW-hr. 

Operation of natural gas engines is 

very similar to that of LPG engines, with 

one noteworthy exception. Since natural 

gas consists primarily of methane, these 

engines have a much higher level of 

methane in the exhaust. Methane 

generally does not contribute to ozone 

formation, so it is often excluded from 

emission measurements. We have 

therefore specified nonmethane 

hydrocarbon emissions for comparison 

with the standard for natural gas 

engines. However, the emission 

standards based on measuring emissions 

in the field depend on total 

hydrocarbons. We are therefore 

adopting a NOX-only field-testing 

standard for natural gas engines instead 

of a HC+NOX standard. Since control of 

NOX emissions for natural gas engines 

poses a significantly greater challenge 

than controlling nonmethane 

hydrocarbons, duty-cycle testing 

provides adequate assurance that these 

engines have sufficiently low 

hydrocarbon emission levels. 

Manufacturers must show that they 

meet these duty-cycle standards for 

certification and the engines remain 

subject to the nonmethane hydrocarbon 

standard in-use when tested over the 

same duty-cycles.

b. Evaporative emissions. We are 

adopting requirements related to 

evaporative and permeation emissions 

from gasoline-fueled Large SI engines. 

For controlling diurnal emissions, we 

are adopting an emission standard of 0.2 

grams of hydrocarbon per gallon of fuel 

tank capacity during a 24-hour period. 

In addition, we specify that 

manufacturers use fuel lines meeting an 

industry standard for permeationresistance. Finally, we require that 

manufacturers take steps to prevent fuel 

from boiling. We expect certification of 

manufacturers’ equipment to be designbased, as compared with conducting a 

full emission-measurement program 

during certification. As such, meeting 

these evaporative requirements is much 

more like meeting the requirements 

related to controlling crankcase 

emissions and is therefore discussed in 

detail in Section V.C.4 below. 

2. May I Average, Bank, or Trade 

Emission Credits? 

We are not including an averaging, 

banking, and trading program for 

certifying engines. As described in 

Chapter 4 of the Final Regulatory 

Support Document, we believe that 

manufacturers will generally be able to 

rely on a relatively uniform application 

of emission-control technology to meet 

emission standards. The standards were 

selected based on the capabilities of all 

manufacturers to comply with all their 

models without an emission-credit 

program. Moreover, overlaying an 

emission-credit program on the flexible 

standards described above would be 

highly impractical. If such a program 

could be devised it would need to be 

very complex and would achieve little, 

if any, advantage to manufacturers 

beyond the advantages already 

embodied in the flexible approach we 

are adopting. 

However, as an alternative to a 

program of calculating emission credits 

for averaging, banking, and trading, we 

are adopting a simpler approach of 

‘‘family banking’’ to help manufacturers 

transition to new emission standards 

(see 40 CFR 1048.145 of the 

regulations). Manufacturers may certify 

an engine family early, which would 

allow them to delay certification of 

smaller engine families. This would be 

based on the actual sales of each engine 

family; this requires no calculation or 

accounting of emission credits. The 

manufacturer would have actual sales 

figures for the early family at the end of 

the production year, which would yield 

a total number of allowable sales for the 

engine family with delayed compliance. 

Manufacturers may certify engines to 

the 2004 standards early, but this would 

provide benefits only for complying 

with the 2004 standards. These 

‘‘credits’’ would not apply to engines for 

meeting the 2007 standards. 

3. Is EPA Adopting Voluntary Blue Sky 

Standards for These Engines? 

We are adopting voluntary Blue Sky 

standards for Large SI engines. We are 

setting a target of 0.8 g/kW-hr (0.6 g/hphr) HC+NOX and 4.4 g/kW-hr (3.3 g/hphr) CO as a qualifying level for Blue Sky 

Series engines. The corresponding fieldtesting standards for Blue Sky Series 

engines are 1.1 g/kW-hr (0.8 g/hp-hr) 

HC+NOX and 6.6 g/kW-hr (4.9 g/hp-hr) 

CO. These voluntary standards are 

based on achieving the maximum 

control of both HC+NOX and CO 

emissions, as described in Section 

V.C.1. To achieve these emission levels, 

manufacturers will need to apply 

significantly additional technology 

beyond that required for the mandatory 

standards. 

Manufacturers may start producing 

engines to these voluntary standards 

immediately after this final rule 

becomes effective. In addition, we are 

adopting interim voluntary standards 

corresponding with the introduction of 

new emission standards. Since 

manufacturers will not be complying 

early to bank emission credits, 

voluntary emission standards are an 

appropriate way to encourage 

manufacturers to meet emission 

standards before the regulatory 

deadline. If manufacturers certify 

engines to these voluntary standards, 

they are not eligible for participation in 

the family-banking program described 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68295

78Stoichiometry is the proportion of a mixture of 

air and fuel such that the fuel is fully oxidized with 

no remaining oxygen. For example, stoichiometric 

combustion in gasoline engines typically occurs at 

an air-fuel mass ratio of about 14.7.

79 ’’Measurement of Evaporative Emissions from 

Off-Road Equipment,’’ by James N. Carroll and Jeff 

J. White, Southwest Research Institute (SwRI 08–

Continued

above. In the 2003 model year, 

manufacturers may certify their engines 

to the requirements that apply starting 

in 2004 to qualify for the Blue Sky 

designation. Since manufacturers are 

producing engines with emissioncontrol technologies starting in 2001, 

these engines are available to customers 

outside of California desiring emission 

reductions or fuel-economy 

improvements. Similarly, for 2003 

through 2006 model years, 

manufacturers may certify their engines 

to the requirements that start to apply in 

2007. 

4. Are There Other Requirements for 

Large SI Engines? 

a. Crankcase emissions. Due to 

blowby of combustion gases and the 

reciprocating action of the piston, 

exhaust emissions (mostly 

hydrocarbons) can accumulate in the 

crankcase. These crankcase emissions 

are significant, representing about 33 

percent of total exhaust hydrocarbon. 

Uncontrolled engines route these vapors 

directly to the atmosphere. We have 

long required that automotive engines 

prevent crankcase emissions. 

Manufacturers typically do this by 

routing crankcase vapors through a 

valve into the engine’s air intake system 

where they are burned in the 

combustion process. 

Manufacturers may choose one of two 

methods for controlling crankcase 

emissions. First, adding positivecrankcase ventilation prevents 

crankcase emissions. Since automotive 

engine blocks are already tooled for 

closed crankcases, the cost of adding a 

valve for positive-crankcase ventilation 

for most engines is very small. An 

alternative method addresses specific 

concerns related to turbocharged 

engines or engines operating in severeduty environments. Where closed 

crankcases are impractical, 

manufacturers may therefore measure 

crankcase emissions during any 

emission testing to add crankcase 

emissions to measured exhaust 

emissions for comparing with the 

standards. 

b. Diagnosing malfunctions.

Manufacturers must design their Large 

SI engines to diagnose malfunctioning 

emission-control systems starting with 

the 2007 model year (see § 1048.110). 

Three-way catalyst systems with closedloop fueling control work well only 

when the air-fuel ratios are controlled to 

stay within a narrow range around 

stoichiometry.78 Worn or broken 

components or drifting calibrations over 

time can prevent an engine from 

operating within the specified range. 

This increases emissions and can 

significantly increase fuel consumption 

and engine wear. The operator may or 

may not notice the change in the way 

the engine operates. We are not 

requiring similar diagnostic controls for 

recreational vehicles or recreational 

marine diesel engines, because the 

anticipated emission-control 

technologies for these other applications 

are generally less susceptible to drift 

and gradual deterioration.

This diagnostic requirement focuses 

solely on maintaining stoichiometric 

control of air-fuel ratios. This kind of 

design detects problems such as broken 

oxygen sensors, leaking exhaust pipes, 

fuel deposits, and other things that 

require maintenance to keep the engine 

at the proper air-fuel ratio. 

Some companies are already 

producing engines with diagnostic 

systems that check for consistent airfuel ratios. Their initiative supports the 

idea that diagnostic monitoring provides 

a mechanism to help keep engines 

tuned to operate properly, with benefits 

for both controlling emissions and 

maintaining optimal performance. There 

are currently no inspection and 

maintenance programs for nonroad 

engines, so the most important variable 

in making the emission control and 

diagnostic systems effective is in getting 

operators to repair the engine when the 

diagnostic light comes on. This calls for 

a relatively simple design to avoid the 

signaling of false failures as much as 

possible. The diagnostic requirements in 

this rule therefore focus on detecting 

inappropriate air-fuel ratios, which is 

the most likely failure mode for threeway catalyst systems. The malfunctionindicator light must go on when an 

engine runs for a full minute under 

closed-loop operation without reaching 

a stoichiometric air-fuel ratio. 

Some natural gas engines may meet 

standards with lean-burn designs that 

never approach stoichiometric 

combustion. While manufacturers may 

design these engines to operate at 

specific air-fuel ratios, catalyst 

conversion (with two-way catalysts) 

would not be as sensitive to air-fuel 

ratio as with stoichiometric designs. For 

these or other engines that rely on 

emission-control technologies 

incompatible with the diagnostic system 

described above, manufacturers must 

devise an alternate system that alerts the 

operator to engine malfunctions that 

would prevent the emission-control 

system from functioning properly. 

The automotive industry has 

developed a standardized protocol for 

diagnostic systems, including hardware 

specifications, and uniform trouble 

codes. In the regulations we reference 

standards adopted by the International 

Organization for Standardization (ISO) 

for automotive systems. If 

manufacturers find that these standards 

are not applicable to the simpler 

diagnostic design specified for Large SI 

engines, we encourage engine 

manufacturers to cooperate with each 

other and with other interested 

companies to develop new standards 

specific to nonroad engines. 

Manufacturers may request approval to 

use systems that don’t meet the 

automotive specifications if those 

specifications are not practical or 

appropriate for their engines. 

c. Evaporative emissions. Evaporative 

emissions occur when fuel evaporates 

and is vented into the atmosphere. They 

can occur while an engine or vehicle is 

operating and even while it is not being 

operated. Among the factors that affect 

evaporative emissions are: 

• Fuel metering (fuel injectors or 

carburetor) 

• The degree to which fuel permeates 

fuel lines and fuel tanks 

• Proximity of the fuel tank to the 

exhaust system or other heat sources 

• Whether the fuel system is sealed and 

the pressure at which fuel vapors are 

ventilated. 

In addition, some gasoline fuel tanks 

may be exposed to heat from the engine 

compartment and high-temperature 

surfaces such as the exhaust pipe. In 

extreme cases, fuel can start boiling, 

producing very large amounts of 

gasoline vapors vented directly to the 

atmosphere.

Evaporative emissions from Large SI 

engines and the associated equipment 

represent a significant part of their 

overall hydrocarbon emissions. The 

magnitude of evaporative emissions 

varies widely depending on the engine 

design and application. LPG-fueled 

equipment generally has very low 

evaporative emissions because of the 

tightly sealed fuel system. At the other 

extreme, carbureted gasoline-fueled 

equipment can have high rates of 

evaporation. In 1998, Southwest 

Research Institute measured emissions 

from several gasoline-fueled Large SI 

engines and found them to vary from 

about 12 g/day up to almost 100 g/day.79

68296 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

1076), November 1998, Docket A–2000–01, 

document II–A–10.

80 ’’Industrial Trucks, Internal Combustion 

Engine-Powered,’’ UL558, ninth edition, June 28, 

1996, paragraphs 26.1 through 26.4, Docket A–

2000–01, document II–A–28. See Section XI.I for 

our consideration of incorporating the UL 

requirements into our regulations by reference.

81 ’’New Evaporative Control System for Gasoline 

Tanks,’’ EPA Memorandum from Charles Moulis to 

Glenn Passavant, March 1, 2001, Docket A-2000–01, 

document II–B–16.

82SAE J2260 ‘‘Nonmetallic Fuel System Tubing 

with One or More Layers,’’ November 1996 (Docket 

A–2000–01, document II–A–03).

83UL558, paragraph 19.1.1, Docket A–2000–01, 

document II–A–28.

This study did not take into account the 

possibility of unusually high fuel 

temperatures during engine operation, 

as described further below.

We are adopting basic measures to 

reduce evaporative emissions from 

gasoline-fueled Large SI engines. First, 

we are adopting an evaporative 

emission standard of 0.2 grams per 

gallon of fuel tank capacity for 24-hour 

day when temperatures cycle between 

72° and 96° F. For purposes of 

certification, manufacturers may choose, 

however, to rely on a specific design for 

certification instead of measuring 

emissions. We have identified a 

technology that adequately prevents 

evaporative emissions such that the 

design itself would be enough to show 

compliance with the evaporative 

emission standard for purposes of 

certification. Specifically, pressurized 

fuel tanks control evaporative emissions 

by suppressing vapor generation. In its 

standards for industrial trucks operating 

in certain environments, Underwriters 

Laboratories requires that trucks use 

self-closing fuel caps with tanks that 

stay sealed to prevent evaporative 

losses; venting is allowed for positive 

pressures above 3.5 psi or for vacuum 

pressures of at least 1.5 psi.80 We know 

that any Large SI engines or vehicles 

operating with these pressures would 

meet the standard because test data 

confirm the basic chemistry principles 

related to phase-change pressure 

relationships showing that fuel tanks 

will remain sealed at all times during 

the prescribed test procedure. Also, 

similar to the Underwriters 

Laboratories’ requirement, we specify 

that manufacturers must use self-closing 

or tethered fuel caps to ensure that fuel 

tanks designed to hold pressure are not 

inadvertently left exposed to the 

atmosphere.

In some applications, manufacturers 

may want to avoid high fuel-tank 

pressures. Manufacturers may be able to 

meet the standard using an air bladder 

inside the fuel tank that changes in 

volume to keep the system in 

equilibrium at atmospheric pressure.81

We have data showing that these 

systems also would remain sealed at all 

times during the prescribed test 

procedure. However, the permeation 

levels related to the air bladder and the 

long-term durability of this type of 

system are still unknown. Once these 

parameters are established with test 

data, perhaps with some additional 

product development, this technology 

may then qualify as an option for 

design-based certification. Similarly, 

collapsible bladder tanks, which change 

in volume to prevent generation of a 

vapor space or vapor emissions, may 

eventually be available as a technology 

for design-based certification once 

permeation data are available to confirm 

that systems with these tanks would 

meet the standard. Finally, an 

automotive-type system that stores fuel 

tank vapors for burning in the engine 

would be another alternative 

technology, though it is unlikely that 

such a system can be simply 

characterized and included as an option 

for design-based certification.

In addition, engine manufacturers 

must use (or specify that equipment 

manufacturers installing their engines 

use) fuel lines meeting the industry 

performance standard for permeationresistant fuel lines developed for motor 

vehicles.82 While metal fuel lines do not 

have problems with permeation, 

manufacturers should use discretion in 

selecting materials for grommets and 

valves connecting metal components to 

avoid high-permeation materials. 

Evaporative emission standards for 

motor vehicles have led to the 

development of a wide variety of 

permeation-resistant polymer 

components. These permeation 

requirements are based on 

manufacturers using a more effective 

emission controls than that specified for 

recreational vehicles. This is 

appropriate because Large SI 

manufacturers are able to use 

automotive-grade materials across their 

product line, while recreational vehicle 

manufacturers have pointed out various 

limitations in incorporating automotivegrade materials. Conversely, Large SI 

manufacturers are not subject to 

permeation requirements related to fuel 

tanks, since almost all of these tanks are 

made of metal.

Finally, based on available 

technologies, manufacturers must take 

steps to prevent fuel boiling. The 

Underwriters Laboratories specification 

for forklifts attempts to address this 

concern through a specified maximum 

fuel temperature, but the current limit 

does not prevent fuel boiling.83 We are 

adopting a standard that prohibits fuel 

boiling during continuous operation at 

30° C (86° F). Engine manufacturers 

must incorporate designs that reduce 

the heat load to the fuel tank to prevent 

boiling. For companies that sell loose 

engines, this may involve instructions to 

equipment manufacturers to help 

ensure, for example, that fuel tank 

surfaces are exposed to ambient air 

rather than to exhaust pipes or direct 

engine heat. Engine manufacturers may 

specify a maximum fuel temperature for 

the final installation. Such a 

temperature limit should be well below 

53° C (128° F), the temperature at which 

summer-grade gasoline (9 RVP) 

typically starts boiling.

An additional source of evaporative 

emissions is from carburetors. 

Carburetors often have high hot soak 

emissions (immediately after engine 

shutdown). We expect manufacturers to 

convert carbureted designs to fuel 

injection as a result of the exhaust 

emission standards. While we do not 

mandate this technology, we believe the 

need to reduce exhaust emissions will 

cause engine manufacturers to use fuel 

injection on all gasoline engines. This 

change alone will eliminate most hot 

soak emissions. 

Engine manufacturers using designbased certification need to describe in 

the application for certification the 

selected design measures and 

specifications to address evaporative 

losses from gasoline-fueled engines. For 

loose-engine sales, this includes 

emission-related installation 

instructions that the engine 

manufacturer gives to equipment 

manufacturers. While equipment 

manufacturers must follow these 

installation instruction, the engine 

manufacturer has the responsibility to 

certify a system that meets the 

evaporative-related requirements 

described in this section. This should 

work in practice, because engine 

manufacturers already provide 

equipment manufacturers a variety of 

specifications and other instructions to 

ensure that engines operate properly inuse after installation in the equipment. 

The alternative approach of requiring 

equipment manufacturers to certify is 

impractical because of the very large 

number of companies involved. 

5. What Durability Provisions Apply? 

a. Useful life. We are adopting a 

useful life period of seven years or until 

the engine accumulates at least 5,000 

operating hours, whichever comes first. 

This figure represents a minimum value 

and may increase as a result of data 

showing that an engine model is 

designed to last longer. This figure, 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68297

which California ARB has already 

adopted, represents an operating period 

that is common for Large SI engines 

before they undergo rebuild. This also 

reflects a comparable degree of 

operation relative to the useful life 

values of 100,000 to 150,000 miles that 

apply to automotive engines (assuming 

an average driving speed of 20 to 30 

miles per hour). 

Some engines are designed for 

operation in severe-duty applications 

with a shorter expected lifetime. 

Concrete saws in particular undergo 

accelerated wear as a result of operating 

in an environment with high 

concentrations of highly abrasive, 

airborne concrete dust particles. We are 

allowing manufacturers to request a 

shorter useful life for an engine family 

based on information showing that 

engines in the family rarely operate 

beyond the alternative useful-life 

period. For example, if engines 

powering concrete saws are typically 

scrapped after 2000 hours of operation, 

this would form the basis for 

establishing a shorter useful-life period 

for those engines. 

Manufacturers relying on designbased certification to meet the 

evaporative requirements must use good 

engineering judgment to show that 

emission controls will work for at least 

seven years. This may, for example, be 

based on warranty or productperformance history from component 

suppliers. This also applies for systems 

designed to address crankcase 

emissions. 

b. Warranty. Manufacturers must 

provide an emission-related warranty 

for at least the first half of an engine’s 

useful life (in operating hours) or three 

years, whichever comes first. These 

periods must be longer if the 

manufacturer offers a longer mechanical 

warranty for the engine or any of its 

components; this includes extended 

warranties that are available for an extra 

price. The emission-related warranty 

includes components related to 

controlling evaporative and crankcase 

emissions. In addition, we are adopting 

the warranty provisions adopted by 

California ARB for high-cost parts. For 

emission-related components whose 

replacement cost is more than about 

$400, we specify a minimum warranty 

period of at least 70 percent of the 

engine’s useful life (in operating hours) 

or 5 years, whichever comes first. See 

§ 1048.120 for a description of which 

components are emission-related. 

c. Maintenance instructions. We are 

specifying minimum maintenance 

intervals much like those established by 

California ARB for Large SI engines. The 

minimum intervals define how much 

maintenance a manufacturer may 

specify to ensure that engines are 

properly maintained for staying within 

emission standards. Manufacturers may 

schedule maintenance on catalysts, fuel 

injectors, electronic control units and 

turbochargers after 5,000 hours. For 

oxygen sensors and cleaning of fuelsystem components, the minimum 

maintenance interval is 2,500 hours. 

This fuel-system cleaning must be 

limited to steps that can be taken 

without disassembling components. We 

have relaxed this from the proposed 

interval of 4,500 hours to take into 

account comments emphasizing that 

these maintenance steps will be 

necessary more frequently than the 

proposed interval; this shorter interval 

also reflects the comparable provisions 

that apply to automotive systems. 

We are also proposing a diagnostic 

requirement to ensure that prematurely 

failing oxygen sensors or other 

components are detected and replaced 

on an as-needed basis. If operators fail 

to address faulty components after a 

fault signal, we would not consider that 

engine to be properly maintained. This 

could the engine ineligible for 

manufacturer in-use testing.

d. Deterioration factors. We are 

adopting an approach that gives 

manufacturers wide discretion in how 

to establish deterioration factors for 

Large SI engines. The general 

expectation is that manufacturers will 

rely on emission measurements from 

engines that have operated for an 

extended period, either in field service 

or in the laboratory. The manufacturer 

should do testing as needed to be 

confident that their engines will meet 

emission standards under the in-use 

testing program. In deciding to certify 

an engine family, we can review 

deterioration factors to ensure that the 

projected deterioration accurately 

predicts in-use deterioration. We will 

use results under the in-use testing 

program to verify the appropriateness of 

deterioration factors. 

In the first two or three years of 

certification, manufacturers will not yet 

have data from the in-use testing 

program. Moreover, manufacturers may 

choose to rely on technologies and 

calibrations for meeting the long-term 

standards well before 2007 to simplify 

their product-development efforts. We 

are therefore allowing manufacturers to 

rely on an assigned deterioration factor 

to meet the 2004 standards, while 

continuing to require manufacturers to 

meet the applicable emission standards 

throughout the useful life for these 

engines. The assigned deterioration 

factor may be derived from any 

available data that would help predict 

the way these systems would perform in 

the field, using good engineering 

judgment. 

Manufacturers may develop 

deterioration factors for crankcase and 

evaporative controls. However, we do 

not expect these control technologies to 

experience degradation that would 

cause a deterioration factor to be 

appropriate. 

e. In-use fuel quality. Gasoline used in 

industrial applications is generally the 

same as that used for automotive 

applications. Improvements that have 

been made to highway-grade gasoline 

therefore carry over directly to nonroad 

markets. This helps manufacturers be 

sure that fuel quality will not degrade 

an engine’s emission-control 

performance after several years of 

sustained operation. 

In contrast, there are no enforceable 

industry or government standards for 

LPG fuel quality. Testing data indicate 

that varying fuel quality has a small 

direct effect on emissions from a closedloop engine with a catalyst. The greater 

concern is that fuel impurities and 

heavy-end hydrocarbons may cause an 

accumulation of deposits that can 

prevent an emission-control system 

from functioning properly. While an 

engine’s feedback controls can 

compensate for some restriction in airand fuel-flow, deposits may eventually 

prevent the engine from accurately 

controlling air-fuel ratios at 

stoichiometry. As described in the Final 

Regulatory Support Document, test data 

show that emission-control systems can 

tolerate substantial fuel-related deposits 

before there is any measurable effect on 

emissions. Moreover, the engine 

diagnostic systems described in the next 

section will notify the operator when 

fuel-related deposits prevent an engine 

from operating at stoichiometry. In any 

case, a routine cleaning step should 

remove deposits and restore the engine 

to proper functioning. 

Data from in-use testing will provide 

additional information related to the 

effects of varying fuel quality on 

emission levels. This information will 

be helpful in making sure that the 

deterioration factors for certifying 

engines accurately reflect the whole 

range of in-use operating variables, 

including varying fuel quality. Our 

testing shows that fuel properties of 

conventional commercial LPG fuel 

allow for durable, long-term control of 

emissions. However, to the extent that 

engines operating in specific areas have 

inferior fuel quality that prevents them 

from meeting emission standards, we 

will be pursuing nationwide 

requirements to set minimum quality 

standards for in-use LPG fuel. 

68298 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

D. Testing Requirements and 

Supplemental Emission Standards 

1. What Duty Cycles Are Used To 

Measure Emissions? 

For 2004 through 2006 model years, 

we specify the same steady-state duty 

cycles adopted by California ARB. For 

variable-speed engines, this involves the 

testing based on the ISO C2 duty cycle, 

which has five modes at various 

intermediate speed points, plus one 

mode at rated speed and one idle mode. 

The combined intermediate-speed 

points at 10, 25, and 50 percent account 

for over 70 percent of the total modal 

weighting. A separate duty cycle for the 

large number of Large SI engine 

providing power for constant-speed 

applications, such as generators, 

welders, compressors, pumps, sweepers, 

and aerial lifts. Constant-speed testing is 

based on the ISO D2 duty cycle, which 

specifies engine operation at rated speed 

with five different load points. This 

same steady-state duty cycle applies to 

constant-speed, nonroad diesel engines. 

Emission values measured on the D2 

duty cycle are treated the same as values 

from the C2 duty cycle; the same 

numerical standards apply to both 

cycles. 

Manufacturers must generally test 

engines on both the C2 and D2 duty 

cycles. Since the C2 cycle includes very 

little operation at rated speed, it is not 

effective in ensuring control of 

emissions for constant-speed engines. 

The D2 cycle is even less capable of 

predicting emission performance from 

variable-speed engines. Manufacturers 

may, however, choose to certify their 

engines on only one of these two steadystate duty cycles. In this case, they 

would need to take steps to make sure 

C2-certified engines are installed only in 

variable-speed applications and D2-

certified engines are installed only in 

constant-speed applications. Engine 

manufacturers would do this by labeling 

their engines appropriately and 

providing installation instructions to 

make sure equipment manufacturers 

and others are aware of the restricted 

certification. Equipment manufacturers 

are required under the regulations to 

follow the engine manufacturer’s 

emission-related installation 

instructions. 

Starting in 2007, we specify an 

expanded set of duty cycles, again with 

separate treatment for variable-speed 

and constant-speed applications. The 

test procedure is comprised of three 

segments: (1) A warm-up segment, (2) a 

transient segment, and (3) a steady-state 

segment. Each of these segments, 

described briefly in this section, include 

specifications for the speed and load of 

the engine as a function of time. 

Measured emissions during the 

transient and steady-state segments 

must meet the same emission standards 

that apply to all duty cycles. In general, 

the duty cycles are intended to 

represent operation from the wide 

variety of in-use applications. This 

includes highly transient low-speed 

forklift operation, constant-speed 

operation of portable equipment, and 

intermediate-speed vehicle operation. 

Ambient temperatures in the 

laboratory must be between 20° and 30°

C (68° and 86° F) during duty-cycle 

testing. This improves the repeatability 

of emission measurements when the 

engine runs through its prescribed 

operation. We nevertheless expect 

manufacturers to design for controlling 

emissions under broader ambient 

conditions, as described in Section 

V.D.5. 

The warm-up segment begins with a 

cold-start. This means that the engine 

should be near room temperature before 

the test cycle begins. (Starting with an 

engine that is still warm from previous 

testing is allowed if good engineering 

judgment indicates that this will not 

affect emissions.) Once the engine is 

started, it operates over the first 3 

minutes of the specified transient duty 

cycle without emission measurement. 

The engine then idles for 30 seconds 

before starting the prescribed transient 

cycle. The purpose of the warm-up 

segment is to bring the engine up to 

normal operating temperature in a 

standardized way. For severe-duty 

engines, the warm-up period is 

extended up to 15 minutes to account 

for the additional time needed to 

stabilize operating temperatures from 

air-cooled engines. The warm-up period 

allows enough time for engine-out 

emissions to stabilize, for the catalyst to 

warm up enough to become active, and 

for the engine to start closed-loop 

operation. This serves as a defined and 

achievable target for the design engineer 

to limit cold-start emissions to a 

relatively short period. In addition, we 

require manufacturers to activate 

emission-control systems as soon as 

possible after engine starting to make 

clear that it is not acceptable to design 

the emission-control system to start 

working only after the defined warm-up 

period is complete. In addition, we may 

measure emissions during the warm-up 

period to evaluate whether 

manufacturers are employing defeat 

devices. In contrast, transient testing of 

heavy-duty highway engines requires 

separate cold-start and hot-start 

measurements, with an 86-percent 

weighting assigned to the hot-start 

portion in calculating an engine’s 

composite emission level. We believe 

this approach for nonroad engines 

serves to limit cold-start emissions 

without forcing manufacturers to focus 

design and testing resources on this 

portion of operation. 

The transient segment of the general 

duty cycle is a composite of forklift and 

welder operation. This duty cycle was 

developed by selecting segments of 

measured engine operation from two 

forklifts and a welder as they performed 

their normal functions. This transient 

segment captures the wide variety of 

operation from a large majority of Large 

SI engines as fork-lifts and constantspeed engines represent about 90 

percent of the Large SI market. 

Emissions measured during this 

segment are averaged over the entire 

transient segment to give a single value 

in g/kW. 

Steady-state testing consists of engine 

operation for an extended period at 

several discrete speed-load 

combinations. Associated with these 

test points are weighting factors that 

allow a single weighted-average steadystate emission level in g/kW. While any 

steady-state duty cycle is limited in how 

much it can represent operation of 

engines that undergo transient 

operation, the distribution of the C2 

modes and their weighting values aligns 

significantly with expected and 

measured engine operation from Large 

SI engines. In particular, these engines 

are generally not designed to operate for 

extended periods at high-load, rated 

speed conditions. Field measurement of 

engine operation shows, however, that 

forklifts operate extensively at lower 

speeds than those included in the C2 

duty cycle. While we believe the test 

points of the C2 duty cycle are 

representative of engine operation from 

many applications of Large SI engines, 

supplementing the steady-state testing 

with a transient duty cycle is necessary 

to adequately include engine operation 

characteristic of what occurs in the 

field. 

A separate transient duty cycle 

applies to engines that are certified for 

constant-speed applications only. These 

engines maintain a constant speed, but 

can experience widely varying loads. 

The transient duty cycle for these 

engines includes 20 minutes of engine 

operation based on the way engines 

work in a welder. Note that 

manufacturers selling engines for both 

constant-speed and variable-speed 

applications may omit the constantspeed transient test, since that type of 

operation is included in the general 

transient test. 

A subset of constant-speed engines 

are designed to operate only at high 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68299

load. To address the operating 

limitations of these engines, we are 

adopting a modified steady-state duty 

cycle if the manufacturer provides clear 

evidence showing that engines rarely 

operate below 75 percent of full load at 

rated speed. Since most Large SI engines 

are clearly capable of operating for 

extended periods at light loads, we 

expect these provisions to apply to very 

few engines. This modified duty cycle 

consists of two equally weighted points, 

75 percent and 100 percent of full load, 

at rated speed. Since the transient cycle 

described above involves extensive 

light-load operation, engines qualifying 

for this high-load duty cycle would not 

need to measure emissions over the 

transient cycle. Note that the fieldtesting emission standards still apply to 

engines that don’t certify to transient 

duty-cycle standards.

Some diesel-derived engines 

operating on natural gas with power 

ratings up to 1,500 or 2,000 kW may be 

covered by these emission standards. 

Engine dynamometers with transientcontrol capabilities are generally limited 

to testing engines up to 500 or 600 kW. 

At this time emission standards and 

testing requirements related to transient 

duty cycles will not apply for engines 

rated above 560 kW. We will likely 

review this provision for Large SI 

engines once we have reached a 

conclusion on the same issue for 

nonroad diesel engines. For example, if 

we propose provisions for nonroad 

diesel engines that address testing 

issues for these very large engines, we 

would likely propose those same 

provisions for Large SI engines. 

Test procedures related to evaporative 

emissions are described in Section V.C.4 

above. In general, this involves 

measuring evaporative losses during a 

three-day period of cycling ambient 

temperatures between 72° and 96° F. 

2. What Fuels Are Used During 

Emission Testing? 

For gasoline-fueled Large SI engines, 

we are adopting the same specifications 

we have established for testing gasolinefueled highway vehicles and engines. 

This includes the revised specification 

to cap sulfur levels at 80 ppm (65 FR 

6698, February 10, 2000). These fuel 

specifications apply for both exhaust 

and evaporative emissions. 

For LPG, we are adopting the same 

specifications established by California 

ARB. We understand that in-use fuel 

quality for LPG varies significantly in 

different parts of the country and at 

different times of the year. Not all in-use 

fuels outside California meet California 

ARB specifications for certification fuel, 

but fuels meeting the California 

specifications are nevertheless widely 

available. Test data show that LPG fuels 

with a much lower propane content 

have only slightly higher NOX and CO 

emissions (see Chapter 4 of the Final 

Regulatory Support Document for 

additional information). These data 

support our belief that engines certified 

using the specified fuel will achieve the 

desired emission reduction for a wide 

range of in-use fuels. At certification 

manufacturers provide deterioration 

factors that take into account any effects 

related to the varying quality of 

commercially available fuels. 

For natural gas, we are adopting 

specifications similar to those adopted 

by California ARB. As described in the 

Summary and Analysis of Comments, 

we have adjusted some of the detailed 

specifications from the proposal to 

reflect new data submitted after the 

proposal regarding ranges of fuel 

properties reflecting current commercial 

fuels. 

Unlike California ARB, we apply the 

fuel specifications to testing only for 

emission measurements, not to service 

accumulation. Service accumulation 

between emission tests may involve 

certification fuel or any commercially 

available fuel of the appropriate type. 

We similarly allow manufacturers to 

choose between certification fuel and 

any commercial fuel for in-use 

measurements to show compliance with 

field-testing emission standards. 

Since publishing the proposal, we 

learned about issues related to Large SI 

engines that operate around landfills or 

oil wells, where engines may burn 

naturally occurring gases that are 

otherwise emitted to the atmosphere. 

These gases generally consist of 

methane, but a wide range of other 

constituents may also be mixed in. As 

a result, engines may require adjustment 

over a wide range of settings for spark 

timing and air-fuel ratio to maintain 

consistent combustion. We generally 

believe that engine manufacturers 

should design their engines to operate 

with automatic feedback controls as 

much as possible to avoid the need for 

operators to manually adjust engines. 

However, in cases involving these 

noncommercial fuels, there is no way to 

improve the quality of the fuel to 

conform to any standardized 

specifications. Also, it is clearly 

preferred to capture and burn these 

gases than to emit them directly to the 

atmosphere, both to prevent 

greenhouse-gas emissions and to avoid 

wasting this source of fuel. To address 

this concern, we are adopting special 

provisions for engines burning 

noncommercial fuels if they are unable 

to meet emission standards over the full 

range of adjustability needed to 

accommodate the varying fuel 

properties. Manufacturers would show 

that these engines can meet emission 

standards using normal certification 

fuels, but the normal provisions related 

to adjustable parameters would not 

apply. To properly constrain this 

provision, we are including four 

requirements. First, manufacturers 

would need to add information on an 

engine label instructing operators how 

to make adjustments that would allow 

for maintained emission control and 

overall engine performance. Second, 

manufacturers would include additional 

label language to warn operators that the 

engine may be used only in applications 

involving noncommercial fuels. Third, 

manufacturers must separate these 

engines into a distinct engine family. 

Fourth, manufacturers must keep a 

record of individual sales of such 

engines. 

3. Are There Production-Line Testing 

Provisions for Large SI Engines? 

The provisions described in Section 

II.C.4 apply to Large SI engines. These 

requirements are consistent with those 

adopted by California ARB. One new 

issue specific to Large SI engines relates 

to the duty cycles for measuring 

emissions from production-line engines. 

For routine production-line testing, 

we require emission measurements only 

with the steady-state duty cycles used 

for certification. Due to the cost of 

sampling equipment for transient engine 

operation, we do not require routine 

transient testing of production-line 

engines. Transient testing of productionline engines would add a substantial 

burden, since many manufacturers have 

limited emission-sampling capability at 

production facilities; also, these 

production facilities might be located at 

multiple sites. We believe that steadystate emission measurements will give a 

good indication of the manufacturers’

ability to build engines consistent with 

the prototypes on which their 

certification data are based. We reserve 

the right, however, to direct a 

manufacturer to measure emissions with 

a transient duty cycle if we believe it is 

appropriate. One indication of the need 

for this transient testing would be if 

steady-state emission levels from 

production-line engines are significantly 

higher than the emission levels reported 

in the application for certification for 

that engine family. For manufacturers 

with the capability of measuring 

transient emission levels at the 

production line, we recommend doing 

transient tests to better ensure that inuse tests will not reveal problems in 

controlling emissions during transient 

68300 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

operation. Manufacturers need not make 

any measurements to show that 

production-line engines meet fieldtesting emission standards. 

We expect manufacturers generally to 

certify their engines to the evaporative 

requirements using a design-based 

approach. Accordingly, the technologies 

we expect manufacturers to use for 

controlling evaporative emissions are 

not subject to variation as a result of 

production procedures, so we are not 

requiring production-line testing related 

to the evaporative requirements.

4. Are There In-Use Testing Provisions 

for Large SI Engines? 

While the certification and 

production-line compliance 

requirements are important to ensure 

that engines are designed and produced 

in compliance with established 

emission limits, there is also a need to 

confirm that manufacturers build 

engines with sufficient durability to 

meet emission limits as they age in 

service. Consistent with the California 

ARB program, we are requiring engine 

manufacturers to conduct emission tests 

on a small number of field-aged engines 

to show they meet emission standards. 

We may generally select up to 25 

percent of a manufacturer’s engine 

families in a given year to be subject to 

in-use testing. Most companies will 

need to test at most one engine family 

per year. Manufacturers may conduct 

in-use testing on any number of 

additional engine families at their 

discretion. 

Manufacturers in unusual 

circumstances may develop an alternate 

plan to fulfill any in-use testing 

obligations, consistent with a similar 

program we have adopted for outboard 

and personal watercraft marine engines. 

These circumstances include total sales 

for an engine family below 200 per year, 

installation only in applications where 

testing is not possible without 

irreparable damage to the vehicle or 

engine, or any other unique feature that 

prevents full emission measurements. 

While the regulations allow us to 

select an engine family every year from 

an engine manufacturer, there are 

several reasons why small-volume 

manufacturers may expect a less 

demanding approach. These 

manufacturers may have only one or 

two engine families. If a manufacturer 

shows that an engine family meets 

emission standards in an in-use testing 

exercise, that may provide adequate 

data to show compliance for that engine 

family for a number of years, provided 

that the manufacturer continues to 

produce those engines without 

significantly redesigning them in a way 

that might affect their in-use emissions 

performance and that we do not have 

other reason to suspect noncompliance. 

Also, where we have evidence that a 

manufacturer’s engines are likely in 

good in-use compliance, we generally 

take the approach of selecting engine 

families based on some degree of 

proportionality. To the extent that 

manufacturers produce a smaller than 

average proportion of engines, they may 

expect us to select their engine families 

less frequently, especially if other 

available data pointed toward in-use 

compliance. In addition, our experience 

in implementing a comparable testing 

program for recreational marine engines 

provides a history of how we implement 

in-use testing requirements. 

Engines can be tested one of two 

ways. First, manufacturers can remove 

engines from vehicles or equipment and 

test the engines on a laboratory 

dynamometer using certification 

procedures. For 2004 through 2006 

model year engines, this is the same 

steady-state duty cycle used for 

certification; manufacturers may 

optionally test engines on the 

dynamometer under transient operating 

conditions. For 2007 and later model 

year engines, manufacturers must test 

engines using both steady-state and 

transient duty cycles, as in certification. 

As an alternative, manufacturers may 

use the specified equipment and 

procedures for testing engines without 

removing them from the equipment 

(referred to in this document as field 

testing). See Section V.D.5 for a more 

detailed description of how to measure 

emissions from engines during normal 

operation in the field. Since engines 

operating in the field cannot be 

controlled to operate on a specific duty 

cycle, compliance is demonstrated by 

comparing the measured emission levels 

to the field-testing emission standards, 

which have higher numerical value to 

account for the possible effects of 

different engine operation. Because the 

engine operation can be so variable, 

however, engines tested to show 

compliance only with the field-testing 

emission standards are not eligible to 

participate in the in-use averaging, 

banking, and trading program (described 

below). 

Clean Air Act section 213 requires 

engines to comply with emission 

standards throughout their regulatory 

useful lives, and section 207 requires a 

manufacturer to remedy in-use 

nonconformity when we determine that 

a substantial number of properly 

maintained and used engines fail to 

conform with the applicable emission 

standards (42 U.S.C. 7541). Along with 

the in-use testing program, we would 

allow manufacturers to demonstrate that 

they have designed their engines to 

control emissions substantially below 

the emission standards that apply. If 

manufacturers are able to show that they 

have already been reducing emissions 

more than required by the standards, 

including appropriate consideration for 

deterioration and compliance margins, 

this may allow us to conclude that these 

accumulated additional emission 

reductions are sufficient to offset the 

high emissions from a failing engine 

family. In concept, this approach serves 

much like a banking program to 

recognize manufacturers’ efforts to go 

beyond the minimum required emission 

reductions. 

This approach differs from the 

specific in-use emission-credit program 

that we proposed. This more general 

approach is preferred for two primary 

reasons. First, while we proposed to 

limit the in-use emission-credit program 

to transient testing in the laboratory, 

manufacturers will now be able to use 

emission data generated from field 

testing to characterize an engine 

family’s average emission level. This 

becomes necessarily more subjective, 

but allows us to consider a wider range 

of information in evaluating the degree 

to which manufacturers are complying 

with emission standards across their 

product line. Second, this approach 

makes clearer the role of the emission 

credits in our consideration to recall 

failing engines. As we described in the 

proposal, we plan to consider average 

emission levels from multiple engine 

families in deciding whether to recall 

engines from a failing engine family. We 

therefore believe it is not appropriate to 

have a detailed emission-credit program 

defining precisely how and when to 

calculate, generate, and use credits that 

do not necessarily have value 

elsewhere. 

The regulations do not specify how 

manufacturers would generate emission 

credits to offset a nonconforming engine 

family. This gives us the ability to 

consider any appropriate test data in 

deciding what action to take. In 

generating this kind of information, 

some general guidelines would apply. 

For example, we would expect 

manufacturers to share test data from all 

engines and all engine families tested 

under the in-use testing program, 

including nonstandard tests that might 

be used to screen engines for later 

measurement. This allows us to 

understand the manufacturers’ overall 

level of performance in controlling 

emissions to meet emission standards. 

Average emission levels should be 

calculated over a running three-year 

period to include a broad range of 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68301

testing without skewing the results 

based on old designs. Emission values 

from engines certified to different tiers 

of emission standards or tested using 

different measurement procedures 

should not be combined to calculate a 

single average emission level. Average 

emission levels should be calculated 

according to the following equation, 

rounding the results to 0.1 g/kW-hr:

Average EL (STD CL) (UL) (Sales) Power LF (UL) (Sales) Power LF

i

i i i ii

i

= −× × × × i i ii





 



 ÷ × ××





 

 ∑ ∑ 

Where: 

Average EL=Average emission level in 

g/kW-hr. 

Salesi=The number of eligible sales, 

tracked to the point of first retail 

sale in the U.S., for the given engine 

family during the model year. 

i(STD-CL)=The difference between the 

emission standard and the average 

emission level for an in-use testing 

family in g/kW-hr. 

ULi=Useful life in hours. 

Poweri=The sales-weighted average 

rated brake power for an engine 

family in kW. 

LFi=Load factor or fraction of rated 

engine power utilized in use; use 

0.50 for engine families used only 

in constant-speed applications and 

0.32 for all other engine families.

The anticipated crankcase and 

evaporative emission-control 

technologies generally are best 

evaluated simply by checking whether 

or not they continue to function as 

designed, rather than implementing a 

program to measure these emissions 

from in-use engines. As a result, we may 

inspect in-use engines to verify that 

these systems continue to function 

properly throughout the useful life, but 

are not requiring manufacturers to 

include crankcase or evaporative 

measurements as part of the in-use 

testing program described in this 

section. 

5. What Are the Field-Testing Emission 

Standards and Test Procedures? 

To address concerns for controlling 

emissions outside of the certification 

duty cycles and to enable field-testing of 

Large SI engines, we are adopting 

procedures and standards that apply to 

a wider range of normal engine 

operation. 

a. What is the field-testing concept?

Measuring emissions from engines in 

the field as they undergo normal 

operation while installed in nonroad 

equipment addresses two broad 

concerns. First, testing of in-use engines 

has shown that emissions can vary 

dramatically under certain modes of 

operation. 

Second, this provides a low-cost 

method of testing in-use engines, which 

facilitates in-use compliance programs. 

Field-testing addresses this by 

including emission measurements over 

the broad range of normal engine 

operation. This may include varying 

engine speeds and loads according to 

real operation and may include a 

reasonable range of ambient conditions, 

as described below.

No engine operating in the field can 

follow a prescribed duty cycle for a 

consistent measure of emission levels. 

Similarly, no single test procedure can 

cover all real-world applications, 

operations, or conditions. Specifying 

parameters for testing engines in the 

field and adopting an associated 

emission standard provides a framework 

for requiring that engines control 

emissions under the whole range of 

normal operation in the relevant 

nonroad equipment. 

To ensure that emissions are 

controlled from Large SI engines over 

the full range of speed and load 

combinations seen in the field, we are 

adopting supplemental emission 

standards that apply more broadly than 

the duty-cycle standard, as detailed 

below. These standards apply to all 

regulated pollutants (NOX, HC, and CO) 

under all normal operation (steady-state 

or transient). We exclude abnormal 

operation (such as very low average 

power and extended idling time), but do 

not restrict operation to any specific 

combination of speeds and loads. In 

addition, the field-testing standards 

apply under a broad range of in-use 

ambient conditions, both to ensure 

robust emission controls and to avoid 

overly restricting the times available for 

testing. These provisions are described 

in detail below. 

b. How do the field-testing standards 

apply? Manufacturers have expressed an 

interest in using field-testing procedures 

before the 2007 model year to show that 

they can meet emission standards as 

part of the in-use testing program. While 

we are not adopting specific fieldtesting standards for 2004 through 2006 

model year engines, we will allow this 

as an option. In this case, manufacturers 

would conduct the field testing as 

described here to show that their 

engines meet the 5.4 g/kW-hr HC+NOX

standard and the 50 g/kW-hr CO 

standard. This may give manufacturers 

the opportunity to do testing at 

significantly lower cost compared with 

laboratory testing. Preliminary 

certification data from California ARB 

show that manufacturers are reaching 

steady-state emission levels well below 

emission standards, so we expect any 

additional variability in field-testing 

measurements not to affect 

manufacturers’ ability to meet the same 

emission standards. 

The 2007 field-testing standards are 

based on emission data measured on 

engines with the same emission-control 

technology used to establish the dutycycle standards. As described above for 

the duty-cycle standards, we are 

adopting a flexible approach to address 

the tradeoff between HC+NOX and CO 

emissions. Table V.D–1 shows the range 

of values that define the standard for 

showing compliance for field-testing 

measurements. The higher numerical 

values of the Tier 2 standards for field 

testing (compared with duty-cycle 

testing) reflect the observed variation in 

emissions for varying engine operation, 

and the projected effects of ambient 

conditions on the projected technology. 

Conceptually, we believe that fieldtesting standards should primarily 

require manufacturers to adjust engine 

calibrations to effectively manage airfuel ratios under varying conditions. 

The estimated cost of complying with 

emission standards includes an 

allowance for the time and resources 

needed for this recalibration effort (see 

Section IX.B. for total estimated costs 

per engine).

TABLE V.D–1.—SAMPLES OF POSSIBLE ALTERNATIVE FIELD-TESTING

EMISSION STANDARDS FOR LARGE

SI ENGINES(G/KW-HR) *

HC+NOX CO 

3.8 ............................................... 6.5 

3.1 ............................................... 8.5 

2.4 ............................................... 11.7 

1.8 ............................................... 16.8 

1.4 ............................................... 23.1 


ER08NO02.000</MATH>
68302 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

TABLE V.D–1.—SAMPLES OF POSSIBLE ALTERNATIVE FIELD-TESTING

EMISSION STANDARDS FOR LARGE

SI ENGINES(G/KW-HR) *—Continued

HC+NOX CO 

1.1 ............................................... 31 

* As described in the Final Regulatory Support Document and the regulations, the values 

in the table are related by the following formula: (HC+NOX) × CO0.791 = 16.78. These 

values follow directly from the logarithmic relationship presented with the proposal in the 

Draft Regulatory Impact Analysis. 

We generally require manufacturers to 

show at certification that they are 

capable of meeting all standards that 

apply for the useful life. This adds a 

measure of assurance to both EPA and 

manufacturers that the engine design is 

sufficient for any in-use engines to pass 

any later testing. For Large SI engines, 

manufacturers must show in their 

application for certification that they are 

able to meet the field-testing standards. 

Manufacturers must submit a statement 

that their engines will comply with 

field-testing emission standards under 

all conditions that may reasonably be 

expected to occur in normal vehicle 

operation and use. Manufacturer will 

provide a detailed description of any 

testing, engineering analysis, and other 

information that forms the basis for the 

statement. This will likely include a 

variety of steady-state emission 

measurements not included in the 

prescribed duty cycle. It may also 

include a continuous trace showing how 

emissions vary during the transient test 

or it may include emission 

measurements during other segments of 

operation manufacturers believe are 

representative of the way their engines 

normally operate in the field. 

Two additional provisions are 

necessary to allow emission testing 

without removing engines from 

equipment in the field. Manufacturers 

must design their engines to broadcast 

instantaneous speed and torque values 

to the onboard computer and ensure 

that emission sampling is possible after 

engine installation. 

The test equipment and procedures 

for showing compliance with fieldtesting standards also hold promise to 

reduce the cost of production-line 

testing. Companies with production 

facilities that have a dynamometer but 

no emission measurement capability 

may use the field-testing equipment and 

procedures to get a low-cost, valid 

emission measurement at the 

production line. Manufacturers may 

also choose to use the cost advantage of 

the simpler measurement to sample a 

greater number of production-line 

engines. This would provide greater 

assurance of consistent emissions 

performance, but would also provide 

valuable quality-control data for overall 

engine performance. See the discussion 

of alternate approaches to productionline testing in Section II.C.4 for more 

information.

c. What limits are placed on field 

testing? The field-testing standards 

apply to all normal operation. This may 

include steady-state or transient engine 

operation. Given a set of field-testing 

standards, the goal for the design 

engineer is to ensure that engines are 

properly calibrated for controlling 

emissions under any reasonably 

expected mode of engine operation. 

Engines may not be able to meet the 

emissions limit under all conditions, 

however, so we are adopting several 

parameters to narrow the range of 

engine operation that is subject to the 

field-testing standards. For example, 

emission sampling for field testing does 

not include engine starting. 

Engines can often operate at extreme 

environmental and geographic 

conditions (temperature, altitude, etc.). 

To narrow the range of conditions for 

the design engineer, we are limiting 

emission measurements during field 

testing to ambient temperatures from 

13° to 35° C (55° to 95° F), and to 

ambient pressures from 600 to 775 

millimeters of mercury (which should 

cover almost all normal pressures from 

sea level to 7,000 feet above sea level). 

This allows testing under a wider range 

of conditions in addition to helping 

ensure that engines are able to control 

emissions under the whole range of 

conditions under which they operate. 

Some additional limits to define 

‘‘normal’’ operation apply to field 

testing. These restrictions are intended 

to provide manufacturers with some 

certainty about what their design targets 

are and to ensure that compliance with 

the field-testing standards is feasible. 

These restrictions apply to both 

variable-speed and constant-speed 

engine applications. 

First, measurements with more than 2 

minutes of continuous idle are 

excluded. This means that an emission 

measurement from a forklift while it 

idled for 5 minutes will not be 

considered valid. On the other hand, an 

emission measurement from a forklift 

that idled for multiple 1-minute periods 

and otherwise operated at 40-percent 

power for several minutes would be 

considered a valid measurement. 

Measurements with in-use equipment in 

their normal service show that idle 

periods for Large SI engines are short, 

but relatively frequent. We therefore do 

not automatically exclude an emission 

sample if it includes an idling portion. 

At the same time, controlling emissions 

during extended idling poses a difficult 

design challenge, especially at low 

ambient temperatures. Exhaust and 

catalyst temperatures under these 

conditions can decrease enough that 

catalyst conversion is significantly less 

effective. Since extended idling is not 

an appropriate focus of extensive 

development efforts at this stage, we 

believe the 2-minute threshold for 

continuous idle appropriately balances 

the need to include measurement during 

short idling periods with the technical 

challenges of controlling emissions 

under difficult conditions. 

Second, measured power during the 

sampling period must be above 5 

percent of maximum power for an 

emission measurement to be considered 

valid. Brake-specific emissions (g/kWhr) can be very high at low power 

because they are calculated by dividing 

the g/hr emission rate by a very small 

power level (kW). By ensuring that 

brake-specific emissions are not 

calculated by dividing by power levels 

less than 5 percent of the maximum, we 

can avoid this problem. The data 

presented in Chapter 4 of the Final 

Regulator Support Document show that 

engines can meet the emission 

standards when operating above 5 

percent of rated power. 

Third, some engines need to run rich 

of stoichiometric combustion during 

extended high-load operation to protect 

against engine failure. This increases HC 

and CO emissions. We are adopting 

provisions allowing manufacturers to 

meet separate standards for these 

engines for steady-state operation. For 

engines qualifying for these different 

steady-state standards, we specify that a 

valid sample for field testing must 

include less than 10 percent of 

operation at 90 percent or more of 

maximum power. We expect it to be 

uncommon for engine installations to 

call for such high power demand due to 

the shortened engine lifetime at very 

high-load operation. A larger engine can 

generally produce the desired power at 

a lower relative load, without 

compromising engine lifetime. 

Alternatively, applications that call for 

full-load operation typically use diesel 

engines. Manufacturers may request a 

different threshold to allow more openloop operation. Before we approve such 

a request, the engine manufacturer 

would need to have a plan for ensuring 

that the engines in their final 

installation do not routinely operate at 

loads above the specified threshold. 

An additional parameter to consider 

is the minimum sampling time for field 

testing. A longer period allows for 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68303

greater accuracy, due mainly to the 

smoothing effect of measuring over 

several transient events. On the other 

hand, an overly long sampling period 

can mask areas of engine operation with 

poor emission-control characteristics. 

To balance these concerns, we are 

applying a minimum sampling period of 

2 minutes. In other rules for diesel 

engines, we have allowed sampling 

periods as short as 30 seconds. Sparkignition engines generally don’t have 

turbochargers and they control 

emissions by maintaining air-fuel ratio 

with closed-loop controls through 

changing engine operation. Sparkignition engines are therefore much less 

prone to consistent emission spikes 

from off-cycle or unusual engine 

operation. We believe the 2-minute 

sampling time requirement will ensure 

sufficient measurement accuracy and 

will allow for more meaningful 

measurements from engines that may be 

operated with very frequent but brief 

times at idle. 

We do not specify a maximum 

sampling time. We expect 

manufacturers testing in-use engines to 

select an approximate sampling time 

before measuring emissions; however, 

the standards apply for any sampling 

time that meets the minimum. When 

selecting an engine family for the in-use 

testing program, we will develop a plan 

with direction related to the way 

manufacturers conduct the emissionsampling effort, such as sampling time 

or specific types of engine operation, to 

ensure that testing provides relevant 

data. 

d. How do I test engines in the field?

To test engines without removing them 

from equipment, analyzers are 

connected to the engine’s exhaust to 

detect emission concentrations during 

normal operation. Exhaust volumetric 

flow rate and continuous power output 

are also needed to convert the analyzer 

responses to units of g/kW-hr for 

comparing to emission standards. These 

values can be calculated from 

measurements of the engine intake flow 

rate, the exhaust air-fuel ratio and the 

engine speed, and from torque 

information. 

Available small analyzers and other 

equipment may be adapted for 

measuring emissions from field 

equipment. A portable flame ionization 

detector can measure total hydrocarbon 

concentrations. Methane measurement 

currently requires more expensive 

laboratory equipment that is impractical 

for field measurements. Field-testing 

standards are therefore be based on total 

hydrocarbon emissions. A portable 

analyzer based on zirconia technology 

measures NOX emissions. A 

nondispersive infrared (NDIR) unit can 

measure CO. Emission samples can best 

be drawn from the exhaust flow directly 

downstream of the catalyst material to 

avoid diluting effects from the end of 

the tailpipe. Installing a sufficiently 

long tailpipe extension is also an 

acceptable way to avoid dilution. Mass 

flow rates also factor into the torque 

calculation; this may either be measured 

in the intake manifold or downstream of 

the catalyst. 

Calculating brake-specific emissions 

depends on determining instantaneous 

engine speed and torque levels. 

Manufacturers must therefore design 

their engines to continuously monitor 

engine speed and torque. The tolerance 

for speed measurements, which is 

relatively straightforward, is ±5 percent. 

For torque, the onboard computer needs 

to convert measured engine parameters 

into useful units. Manufacturers 

generally will need to monitor a 

surrogate value such as intake manifold 

pressure or throttle position (or both), 

then rely on a look-up table 

programmed into the onboard computer 

to convert these torque indicators into 

newton-meters. Manufacturers may also 

want to program the look-up tables for 

torque conversion into a remote scan 

tool. Because of the greater uncertainty 

in these measurements and calculations, 

manufacturers must produce their 

systems to report torque values that are 

within 85 and 105 percent of the true 

value. This broader range allows 

appropriately for the uncertainty in the 

measurement, while providing an 

incentive for manufacturers to make the 

torque reading as accurate as possible. 

Under-reporting torque values would 

over-predict emissions. These tolerances 

are taken into account in the selection 

of the field-testing standards, as 

described in Chapter 4 of the Final 

Regulatory Support Document. 

E. Special Compliance Provisions 

We are adopting hardship provisions 

to address the particular concerns of 

small-volume manufacturers, which 

generally have limited capital and 

engineering resources. These hardship 

provisions are generally described in 

Section VII.C. For Large SI engines, we 

are adopting a longer available 

extension of the deadline, up to four 

years, for meeting emission standards 

for companies that qualify for special 

treatment under the hardship 

provisions. We will, however, not 

extend the deadline for compliance 

beyond the four-year period. This 

approach considers the fact that, unlike 

most other engine categories, qualifying 

small businesses are more likely to be 

manufacturers designing their own 

products. Other types of engines more 

often involve importers, which are 

limited more by available engine 

suppliers than design or development 

schedules.

We are not finalizing the proposed 

interim emission standards proposed for 

small-volume manufacturers. We 

believe we can accomplish the same 

objectives with more flexibility, and 

potentially with greater net emission 

reductions, by relying on the hardship 

provisions. 

In addition, we are waiving the 

requirement for small-volume 

manufacturers to broadcast engine 

speed and torque values. These 

companies may choose to do this to 

enable field-testing of their products, 

but may be constrained in developing 

this capability to the extent that they 

rely on component suppliers to provide 

systems that meet EPA requirements. 

F. Technological Feasibility of the 

Standards 

We are adopting emission standards 

that depend on the industrial versions 

of established automotive technologies. 

The most recent advances in automotive 

technology have made possible even 

more dramatic emission reductions. 

However, we believe that transferring 

some of these most advanced 

technologies is not appropriate for 

nonroad engines at this time, especially 

considering the much smaller sales 

volumes for amortizing fixed costs and 

the additional costs associated with the 

first-time regulation of these engines. 

To comply with the 2004 model year 

standards, manufacturers should not 

need to do any development, testing, or 

certification work that is not already 

necessary to meet California ARB 

standards in 2004. As shown in Chapter 

4 of the Final Regulatory Support 

Document, manufacturers can meet 

these standards with three-way catalysts 

and closed-loop fuel systems. These 

technologies have been available for 

industrial engine applications for 

several years. Moreover, several 

manufacturers have already completed 

the testing effort to certify with 

California ARB that their engines meet 

these standards. Complying with 

emission standards nationwide in 2004 

will therefore generally require 

manufacturers only to produce greater 

numbers of the engines complying with 

the California standards. 

Chapter 4 of the Final Regulatory 

Support Document further describes 

data and rationale showing why we 

believe that the 2007 model year 

emission standards under the steadystate and transient duty-cycles and 

field-testing procedures are feasible. In 

68304 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

summary, testing from Southwest 

Research Institute and other data show 

that the same catalyst and fuel-system 

technologies needed to meet the 2004 

standards can be optimized to meet 

more stringent emission standards. 

Applying further development allows 

the design engineer to fine-tune control 

of air-fuel ratios and address any highemission modes of operation to produce 

engines that consistently control 

emissions to very low levels, even 

considering the wide range of operation 

experienced by these engines. The 

numerical emission standards are based 

on measured emission levels from 

engines that have operated for at least 

5,000 hours with a functioning 

emission-control system. These engines 

demonstrate the achievable level of 

control from catalyst-based systems and 

provide a significant degree of basic 

development that should help 

manufacturers in optimizing their own 

engines. 

We believe it is appropriate to initiate 

the second stage of standards in 2007, 

because we believe that applying these 

emission standards earlier does not 

allow manufacturers enough stability 

between introduction of different phases 

of emission standards to prepare for 

complying with the full set of 

requirements in this final rule and to 

amortize their fixed costs. Three years of 

stable emission standards, plus the 

remaining lead time before 2004, allows 

manufacturers enough time to go 

through the development and 

certification effort to comply with the 

new standards including new test cycle 

requirements. The provisions to allow 

‘‘family banking’’ for early compliance 

provide an additional tool for 

companies that choose to spread out 

their design and certification efforts. 

The new emission standards will 

either have no impact or a positive 

impact with respect to noise, energy, 

and safety, as described in Chapter 4 of 

the Final Regulatory Support Document. 

In particular, the anticipated fuel 

savings associated with the expected 

emission-control technologies will 

provide a very big energy benefit related 

to new emission standards. The 

projected technologies are currently 

available and are consistent with those 

anticipated for complying with the 

emission standards adopted by 

California ARB. The lead time for the 

near-term and long-term emission 

standards allows manufacturers enough 

time to optimize these designs to most 

effectively reduce emissions from the 

wide range of Large SI equipment 

applications. 

VI. Recreational Marine Diesel Engines 

This section describes the new 

provisions for 40 CFR part 94, which 

apply to engine manufacturers and 

importers. We are applying the same 

general compliance provisions from 40 

CFR part 94 for engine manufacturers, 

equipment manufacturers, operators, 

rebuilders, and others. See Section II for 

a description of our general approach to 

regulating nonroad engines and how 

manufacturers show that they meet 

emission standards. 

A. Overview 

We are adopting exhaust and 

crankcase emission standards for 

recreational marine diesel engines with 

power ratings greater than or equal to 37 

kW. We are adopting emission 

standards for HC, NOX, CO, and PM 

beginning in 2006. We believe 

manufacturers will be able to use 

technology developed for land-based 

nonroad and commercial marine diesel 

engines. To encourage the introduction 

of low-emission technology, we are also 

adopting voluntary ‘‘Blue Sky’’

standards which are 40 percent lower 

than the mandatory standards. We also 

recognize that there are many small 

businesses that manufacture 

recreational marine diesel engines. We 

are therefore including several 

regulatory options for small businesses 

that will help minimize any unique 

burdens caused by emission regulations. 

Diesel engines are primarily available 

in inboard marine configurations, but 

may also be available in sterndrive and 

outboard marine configurations. Inboard 

diesel engines are the primary choice for 

many larger recreational boats. 

B. Engines Covered by This Rule 

The standards in this section apply to 

recreational marine diesel engines. We 

excluded these engines from the 

requirements applying to commercial 

marine diesel engines because at the 

time we thought their operation in 

planing mode might impose design 

requirements on recreational boat 

builders and to allow us more time for 

further evaluation prior to setting 

standards (64 FR 73300, December 29, 

1999). Commercial marine vessels tend 

to be displacement-hull vessels, 

designed and built for a unique 

commercial application (such as towing, 

fishing, or general cargo). Power ratings 

for engines used on these vessels are 

analogous to land-based applications, 

and these engines generally have 

warranties for 2,000 to 5,000 hours of 

use. Recreational vessels, on the other 

hand, tend to be planing vessels. 

Engines used on these vessels are 

designed to achieve higher power 

output with less engine weight. This 

increase in power reduces the lifetime 

of the engine, so recreational marine 

engines have shorter warranties than 

their commercial counterparts. In our 

previous rulemaking, recreational 

engine industry representatives raised 

concerns about the ability of these 

engines to meet the commercial 

standards without substantial changes 

in the size and weight of the engine. 

Such changes may have an impact on 

vessel builders, who might have to 

redesign vessel hulls to accommodate 

the new engines. Because most 

recreational vessel hulls are made with 

fiberglass molds, this may be a 

significant burden for recreational 

vessel builders. 

Our further evaluation of these issues 

leads us to conclude that recreational 

marine diesel engines can achieve those 

same emission standards without 

significant impacts on engine size and 

weight, and therefore without 

significant impacts on vessel design. 

Section VI.G of this document, Chapters 

3 and 4 of the Final Regulatory Support 

Document, and Section II.A of the 

Summary and Analysis of Comments 

describe the several technological 

changes we anticipate manufacturers 

will use to comply with the new 

emission standards. None of these 

technologies has an inherent negative 

effect on the performance or power 

density of an engine. As with engines in 

land-based applications, we expect that 

manufacturers will be able to use the 

range of technologies available to 

maintain or even improve the 

performance capabilities of their 

engines. We are establishing a separate 

regulatory program for recreational 

marine diesel engines in this rule, with 

most aspects the same as for commercial 

marine diesel engines but with certain 

aspects of the program tailored to these 

applications, notably the not-to-exceed 

emissions requirements. 

To distinguish between commercial 

and recreational marine diesel engines 

for the purpose of emission controls, it 

is necessary to define ‘‘recreational 

marine diesel engine.’’ The commercial 

marine diesel engine rule defined 

recreational marine engine as a 

propulsion marine engine that is 

intended by the manufacturer to be 

installed on a recreational vessel. The 

engine must be labeled to distinguish it 

from a commercial marine diesel 

engine. The label must read: ‘‘THIS 

ENGINE IS CATEGORIZED AS A 

RECREATIONAL ENGINE UNDER 40 

CFR PART 94. INSTALLATION OF 

THIS ENGINE IN ANY 

NONRECREATIONAL VESSEL IS A 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68305

VIOLATION OF FEDERAL LAW 

SUBJECT TO PENALTY.’’

We are revising this definition to 

include a requirement that a 

recreational marine engine must be a 

Category 1 marine engine (have a 

displacement of less than 5 liters per 

cylinder). Category 2 marine engines are 

generally designed with characteristics 

similar to commercial marine engines. 

Vessels using engines of this size 

generally require engines that can 

operate longer at higher power than 

typical recreational boats; therefore, 

these engines generally have a lower 

power density and are not offered in a 

‘‘recreational’’ rating. 

For the purpose of the recreational 

marine diesel engine definition 

included in the proposal, recreational 

vessel was defined as ‘‘a vessel that is 

intended by the vessel manufacturer to 

be operated primarily for pleasure or 

leased, rented, or chartered to another 

for the latter’s pleasure.’’ Because 

certain vessels that are used for pleasure 

may have operating characteristics that 

are more similar to commercial marine 

vessels (such as excursion vessels and 

charter craft), we drew on the Coast 

Guard’s definition of a ‘‘small passenger 

vessel’’ (46 U.S.C. 2101 (35)) to further 

delineate what would be considered to 

be a recreational vessel. Specifically, the 

term ‘‘operated primarily for pleasure or 

leased, rented or chartered to another 

for the latter’s pleasure’’ does not 

include the following vessels: (1) 

Vessels of less than 100 gross tons that 

carry more than 6 passengers; (2) vessels 

of 100 gross tons or more that carry one 

or more passengers; or (3) vessels used 

solely for competition. For the purposes 

of this definition, a passenger is defined 

by 46 U.S.C 2101 (21, 21a) which 

generally means an individual who pays 

to be on the vessel. 

We received several comments in this 

rulemaking on these definitions. Engine 

manufacturers were concerned that the 

definitions may be unworkable for 

engine manufacturers, because they 

cannot know whether a particular 

recreational vessel might carry more 

than six passengers at a time. All they 

can know is whether the engine they 

manufacture is intended by them for 

installation on a vessel designed for 

pleasure and having the corresponding 

characteristics for planing, power 

density, and performance requirements.

We are not revising our existing 

definition of recreational marine vessel. 

As discussed in the Summary and 

Analysis of Comments, a vessel will be 

considered recreational if the boat 

builder intends that the customer will 

operate it consistent with the 

recreational-vessel definition. Relying 

on the boat builder’s intent is necessary 

because manufacturers need to establish 

a vessel’s classification before it is sold, 

whereas the Coast Guard definitions 

apply at the time of use. The definition 

therefore relies on the intent of the boat 

builder to establish that the vessel will 

be used consistent with the above 

criteria. If a boat builder manufactures 

a vessel for a customer who intends to 

use the vessel for recreational purposes, 

we would always consider that a 

recreational vessel, regardless of how 

the owner (or a subsequent owner) 

actually uses it. The engine 

manufacturer will not be expected to 

ensure that their engines are used only 

in recreational craft; however, they 

would be required to label their 

recreational engines as described above. 

The vessel builders will then be 

required to install properly certified 

recreational (or commercial) marine 

engines in recreational vessels and 

certified commercial marine engines in 

commercial vessels. 

C. Emission Standards for Recreational 

Marine Diesel Engines 

This section describes the new 

emission standards and implementation 

dates, with an outline of the technology 

that can be used to achieve these levels. 

The technological feasibility discussion 

below (Section VI.G) describes our 

technical rationale in more detail. 

1. What Are the Emission Standards and 

Compliance Dates? 

The emission standards for 

recreational marine diesel engines are 

the same as the Tier 2 standards for 

commercial marine diesel engines with 

two years additional lead time. We are 

setting the standards at the same level 

because recreational marine diesel 

engines can use all the technologies 

projected for Tier 2 and these 

technologies are expected to lead to 

compliance. As with commercial marine 

engines this technology will be available 

in the lead time provided to allow 

compliance with the emission 

standards. Many of these engines 

already use this technology. This 

includes electronic fuel management, 

turbocharging, and separate-circuit 

aftercooling. In fact, because 

recreational engines have much shorter 

design lives than commercial engines, it 

is easier to apply raw-water aftercooling 

to these engines, which allows 

manufacturers to enhance performance 

while reducing NOX emissions. 

Engine manufacturers will generally 

increase the fueling rate in recreational 

engines, compared to commercial 

engines, to gain power from a given 

engine size. This helps bring a planing 

vessel onto the water surface and 

increases the maximum vessel speed 

without increasing the weight of the 

vessel. This difference in how 

recreational engines are designed and 

used affects emissions. However, the 

technology listed above can be used to 

meet the emission standards while still 

meeting the performance requirements 

of a recreational engine. 

We are adopting the commercial 

marine engine standards for recreational 

marine diesel engines, allowing two 

years beyond the dates that standards 

apply for the commercial engines. This 

gives engine manufacturers additional 

lead time in adapting technology to 

their recreational marine diesel engines. 

For manufacturers producing only 

recreational marine engines the 

implementation dates provide three to 

six years of lead time beyond this 

notice. Based on our evaluation of the 

industry, we believe that manufacturers 

who produce only recreational marine 

engines would likely be small 

businesses and would have the option 

of additional lead time, and other 

flexibility, as discussed in Section VI.E. 

The emission standards and 

implementation dates for recreational 

marine diesel engines are presented in 

Table VI.C–1. The subcategories refer to 

engine displacement in liters per 

cylinder.

TABLE VI.C–1.—RECREATIONAL MARINE DIESEL EMISSION STANDARDS AND IMPLEMENTATION DATES

Subcategory HC+NOX

g/kW-hr 

PM

g/kW-hr 

CO

g/kW-hr 

Implementation date 

power ≥ 37 kW disp < 0.9 ............................................................................... 7.5 0.40 5.0 2007 

0.9 ≤ disp < 1.2 ................................................................................................ 7.2 0.30 5.0 2006 

1.2 ≤ disp < 2.5 ................................................................................................ 7.2 0.20 5.0 2006 

disp ≥ 2.5 ......................................................................................................... 7.2 0.20 5.0 2009 

68306 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Manufacturers commented that 

engines with less than 2.5 liters per 

cylinder, but more than 560 kW would 

have no lead time beyond the landbased nonroad diesel engine standards 

and that some commercial marine 

engines in this category would actually 

have to certify two years before nonroad 

engines. In this case this is caused by 

the way we define subclasses, but has 

technology and cost implications for the 

engines involved. To address this, we 

are providing an optional 

implementation date of 2008 for certain 

commercial and recreational marine 

engines (see the Summary and Analysis 

of Comments for more detail). To be 

eligible for this option, the engine must 

be derived from a land-based nonroad 

engine with a rated power greater than 

560 kW and have a displacement of 2.0 

to 2.5 liters per cylinder. To use this 

option, we are requiring that engines 

certified under this option meet an 

HC+NOX standard of 6.4 g/kW-hr 

through model year 2012. We believe 

this emission level, which matches the 

Tier 2 level for land-based nonroad 

engines, should be achievable given the 

extra lead time for development. Testing 

would still be performed on the 

appropriate marine duty cycles. Based 

on our analysis in the Final Regulatory 

Impact Analysis for commercial marine 

engines, HC+NOX emissions measured 

over the marine duty cycles should be 

similar to those measured over the landbased nonroad duty cycle. 

We are also adopting not-to-exceed 

emission standards and related 

requirements similar to those finalized 

for commercial marine diesel engines. 

This is discussed below in Section 

VI.C.8. 

2. Will I Be Able To Average, Bank, or 

Trade Emissions Credits? 

Manufacturers may use emission 

credits from recreational marine diesel 

engines to show that they meet emission 

standards. Section II.C.3 gives an 

overview of the emission-credit 

program, which is consistent with what 

we have adopted for Category 1 

commercial marine diesel engines. The 

emission-credit program covers 

HC+NOX and PM emissions, but not CO 

emissions. 

Consistent with our land-based 

nonroad and commercial marine diesel 

engine regulations, manufacturers may 

not simultaneously generate HC+NOX

credits while using PM credits on the 

same engine family, and vice versa. This 

is necessary because of the inherent 

trade-off between NOX and PM 

emissions in diesel engines.

We are adopting the same maximum 

value of the Family Emission Limit 

(FEL) as for commercial marine diesel 

engines. For engines with a 

displacement of less than 1.2 liters/

cylinder, the maximum values are 11.5 

g/kW-hr HC+NOX and 1.2 g/kW-hr PM; 

for larger engines, the maximum values 

are 10.5 g/kW-hr HC+NOX and 0.54 g/

kW-hr PM. These maximum FEL values 

were based on the comparable landbased emission-credit program and will 

ensure that the emissions from any 

given family certified under this 

program not be significantly higher than 

the applicable emission standards. We 

believe these maximum values will 

prevent backsliding of emissions above 

the baseline levels for any given engine 

model. Also, we are concerned that the 

higher emitting engines may cause 

increased emissions in areas such as 

ports that may have a need for PM or 

NOX emission reductions. Nonetheless, 

it is acknowledged that recreational 

marine diesel engines constitute a small 

fraction of PM and HC + NOX emissions 

in nonattainment areas. 

Emission credits generated under this 

program have no expiration, with no 

discounting applied. This is consistent 

with the commercial marine credit 

program and gives manufacturers more 

options in implementing their engine 

designs. However, if we revisit these 

standards later, we will have to 

reevaluate this issue in the context of 

whether future advances in technology 

would result in a large amount of 

accumulated credits that would 

adversely impact the timely 

implementation of any new 

requirements. 

Consistent with the land-based 

nonroad diesel rule, we will also not 

allow manufacturers to use credits 

generated on land-based engines for 

demonstrating compliance with marine 

diesel engines. In addition, credits may 

not be exchanged between recreational 

and commercial marine engines. The 

emission standards for recreational 

engines are based on the baseline levels 

of current recreational marine engines 

and the capability of technology to 

reduce emissions from recreational 

marine engines. The standard is, 

therefore, premised on the capability 

and use of recreational marine 

technology and not on the capability 

and use of technology on other engines. 

Emissions from land-based, commercial, 

and recreational marine engines are 

measured over different duty cycles and 

have different useful lives. Correction 

factors would be difficult to generate 

and they would add complexity and 

uncertainty to the value of the credits. 

Furthermore, we are concerned that 

allowing cross program trading could 

create an inequity between 

manufacturers with diverse product 

lines and those with more limited 

offerings, thereby potentially creating a 

competitive advantage for diverse 

companies over small companies selling 

only recreational marine engines. If a 

manufacturer were to do this, we do not 

believe it is likely that they would sell 

emission credits at a price that would be 

economical for small manufacturers. 

We will allow early banking of 

emission credits relative to the standard. 

Early banking of emission credits may 

allow for a smoother implementation of 

the recreational marine standards. These 

credits are generated relative to the new 

emission standards and are 

undiscounted. 

We will also allow manufacturers to 

generate early credits relative to their 

pre-control emission levels. If 

manufacturers choose this option they 

will have to develop baseline emission 

levels specific to each participating 

engine family. Credits will then be 

calculated relative to the manufacturergenerated baseline emission rates, rather 

than the standards. To generate the 

baseline emission rates, a manufacturer 

must test three engines from the family 

for which the baseline is being 

generated. The baseline will be the 

average emissions of the three engines. 

Under this option, engines must still 

certify to the standards to generate 

credits, but the credits will be 

calculated relative to the generated 

baseline rather than the standards. Any 

credits generated between the level of 

the standards and the generated baseline 

will be discounted 10 percent. This is to 

account for the variability of testing inuse engines to establish the familyspecific baseline levels, which may 

result from differences in hours of use 

and maintenance practices as well as 

other sources of potential uncertainty 

about the representativeness if the 

baseline. Manufacturers commented 

that credits should not be generated 

under the early banking program for the 

portion of NOX reductions above the 

MARPOL Annex VI standard. We 

believe this approach is reasonable 

since this should be a common upper 

limit for all engines. Therefore, if 

manufacturers use this option, any 

baseline NOX levels determined to be 

above the MARPOL Annex VI standard 

must be adjusted to that level for 

determining early credits. 

3. Is EPA Proposing Voluntary 

Standards for These Engines? 

a. Blue Sky. We are adopting 

voluntary emission standards based on 

a 45-percent reduction beyond the 

mandatory standards. An engine family 

meeting the voluntary standards 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68307

qualifies for designation as Blue Sky 

Series engines. These voluntary 

standards are the same as those adopted 

for commercial marine diesel engines 

(see Table VI.C–2). While the Blue Sky 

Series emission standards are voluntary, 

a manufacturer choosing to certify an 

engine under this program must comply 

with all the requirements that apply to 

this category of engines, including 

allowable maintenance, warranty, useful 

life, rebuild, and deterioration factor 

provisions. This program is effective 

immediately when we publish this rule. 

To maximize the potential for other 

groups to create incentive programs, 

without double-counting, we do not 

allow manufacturers to earn marketable 

credits for their Blue Sky Engines.

TABLE VI.C–2.—BLUE SKY VOLUNTARY EMISSION STANDARDS FOR

RECREATIONAL MARINE DIESEL ENGINES

[g/kW-hr] 

Rated brake power 

(kW) HC+NOX PM 

power ≥ 37 kW 

displ.<0.9 ............... 4.0 0.24 

0.9≤displ.<1.2 ........... 4.0 0.18 

1.2≤displ.<2.5 ........... 4.0 0.12 

2.5≤displ. .................. 5.0 0.12 

b. MARPOL Annex VI. The MARPOL 

Annex VI standards are for NOX

emissions from marine diesel engines 

rated above 130 kW. We encourage 

engine manufacturers to make Annex 

VI-compliant engines available and boat 

builders to purchase and install them 

before we apply the EPA Tier 2 

standards. If the treaty enters into force, 

the standards would go into effect 

retroactively to all boats built January 1, 

2000 or later. One advantage of using 

MARPOL-compliant engines is that if 

this happens, users will be in 

compliance with the standard without 

having to make any changes to their 

engines. 

4. What Durability Provisions Apply? 

Several provisions help ensure that 

engines control emissions throughout a 

lifetime of operation. Section II.C gives 

a general overview of durability 

provisions associated with emissions 

certification. This section discusses 

these provisions specifically for 

recreational marine diesel engines. 

a. How long do my engines have to 

comply? Manufacturers must produce 

engines that comply over a useful life of 

ten years or until the engine 

accumulates 1,000 operating hours, 

whichever occurs first. The hours 

requirement is a minimum value for 

useful life, and manufacturers must 

comply for a longer period in those 

cases where they design their engines to 

be operated longer than 1,000 hours. In 

making the determination that engines 

are designed to last longer than the 

1,000 hour value, we will consider 

evidence such as whether the engines 

continue to reliably deliver the 

necessary power output without an 

increase in fuel consumption that the 

user would find unacceptable and thus 

might trigger a maintenance or rebuild 

action by the user. 

b. How do I demonstrate emission 

durability? We are extending the 

durability demonstration requirements 

for commercial marine diesel engines to 

also cover recreational marine diesel 

engines. This means that recreational 

marine engine manufacturers, using 

good engineering judgment, will 

generally need to test one or more 

engines for emissions before and after 

accumulating the number of hours 

consistent with the engine useful life 

(usually performed by continuous 

engine operation in a laboratory). The 

results of these tests are referred to as 

‘‘durability data,’’ and are used to 

determine the rates at which emissions 

are expected to increase over the useful 

life of the engine for each engine family 

The rates are known as deterioration 

factors. However, in many cases, 

manufacturers may use durability data 

from a different engine family, or for the 

same engine family in a different model 

year. Because of this allowance to use 

the same data for multiple engine 

families, we expect durability testing to 

be very limited. 

We also specify that manufacturers 

must collect durability data and 

generate deterioration factors using the 

same methods established for 

commercial marine diesel engines. 

These requirements are in 40 CFR 

94.211, 94.218, 94.219, and 94.220. 

These sections describe when durability 

data from one engine family can be used 

for another family, how to select to the 

engine configuration that is to be tested, 

how to conduct the service 

accumulation, and what maintenance 

can be performed on the engine during 

this service accumulation. Under 40 

CFR 94.220, manufacturers may project 

deterioration rates from engines with an 

accumulation of less than 1,000 hours, 

as long as the amount of service 

accumulation completed and projection 

procedures are determined using good 

engineering judgment. 

c. What maintenance may be done 

during service accumulation? For 

engines certified to a 1,000-hour useful 

life, the only maintenance that may be 

done must be: (1) Regularly scheduled, 

(2) unrelated to emissions, and (3) 

technologically necessary. This 

typically includes changing engine oil, 

oil filter, fuel filter, and air filter. For 

recreational marine diesel engines 

certified to longer lives, these engines 

will be subject to the same minimum 

allowable maintenance intervals as 

commercial marine engines. These 

intervals and the allowable maintenance 

are specified in 40 CFR 94.211. 

d. Are there production-line testing 

provisions? We are adopting the 

production-line testing requirements 

from commercial marine engines for 

recreational marine diesel engines, with 

the additional provisions described in 

II.C.4. A manufacturer must test one 

percent of its total projected annual 

sales of Category 1 engines each year to 

meet production-line testing 

requirements. We are not adopting a 

minimum number of tests, so a 

manufacturer who produces no more 

than 100 marine diesel engines is not 

required to do any production-line 

testing. Similar to the commercial 

marine requirements, manufacturers 

have the option of using alternative 

production-line testing programs with 

EPA approval.

Manufacturers commented that we 

should limit the number of engines 

tested for a given engine family to five, 

arguing that five engines would be 

sufficient to demonstrate compliance 

with the standards. Although there isn’t 

necessarily an engineering rationale for 

capping the number of tests for each 

engine family to five, we believe that 

statistical certainty can be determined 

using the Cumulative Sum method 

described for recreational vehicles in 40 

CFR part 1051, subpart D. Therefore, we 

are providing the option of using the 

Cumulative Sum method for 

determining sample sizes under the 

production-line testing program. For 

marine engines, PM would need to be 

included in this methodology. Under 

the Cumulative Sum method, a 

statistical analysis is applied to test 

results to establish the number of tests 

needed. This may limit the number of 

engines tested to less than 1 percent of 

the production volume in cases where 

there is low variability in the test data. 

5. Do These Standards Apply to 

Alternative-Fueled Engines? 

These new standards apply to all 

recreational marine diesel engines, 

without regard to the type of fuel used. 

While we are not aware of any 

alternative-fueled recreational marine 

diesel engines currently being sold into 

the U.S. market, alternate forms of the 

hydrocarbon standards address the 

potential for natural gas-fueled and 

68308 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

alcohol-fueled engines. In our regulation 

of highway vehicles and engines, we 

determined that nonmethane standards 

should be used in place of total 

hydrocarbon standards for engines 

fueled with natural gas (which is 

comprised primarily of methane) (59 FR 

48472, September 21, 1994). These 

alternate forms follow the precedent set 

in previous rulemakings to make the 

standards similar in stringency and 

environmental impact. 

Similarly, we are applying HCequivalent (HCE) standards instead of 

total hydrocarbon standards to alcoholfueled highway engines and vehicles (54 

FR 14426, April 11, 1989). HCequivalent emissions are calculated 

from the oxygenated organic 

components and non-oxygenated 

organic components of the exhaust, 

summed together based on the amount 

of organic carbon present in the exhaust. 

Alcohol-fueled recreational marine 

engines must therefore comply with 

total hydrocarbon equivalent (THCE) 

plus NOX standards instead of THC plus 

NOX standards. 

6. Is EPA Controlling Crankcase 

Emissions? 

Manufacturers must prevent 

crankcase emissions from recreational 

marine diesel engines, with one 

exception. Turbocharged recreational 

marine diesel engines may be built with 

open crankcases, as long as the 

crankcase ventilation system allows for 

measurement of crankcase emissions. 

For these engines with open crankcases, 

we will require crankcase emissions to 

be either routed into the exhaust stream 

to be included in the exhaust 

measurement, or to be measured 

separately and added to the measured 

exhaust mass. These measurement 

requirements do not add significantly to 

the cost of testing, especially where the 

crankcase vent is simply routed into the 

exhaust stream prior to the point of 

exhaust sampling. These provisions are 

consistent with our previous regulation 

of crankcase emissions from such 

diverse sources as commercial marine 

engines, locomotives, and passenger 

cars. 

7. What Are the Smoke Requirements? 

We are not adopting smoke 

requirements for recreational marine 

diesel engines. Marine diesel engine 

manufacturers have stated that many of 

their engines, though currently 

unregulated, are manufactured with 

smoke limiting controls at the request of 

customers. Users seek low smoke 

emissions both because they dislike the 

exhaust residue on decks and because 

they can be subject to penalties in ports 

with smoke emission requirements. In 

many cases, marine engine exhaust 

gases are mixed with water prior to 

being released. This practice reduces 

smoke visibility. Moreover, we believe 

that applying PM standards will have 

the effect of limiting smoke emissions as 

well. 

8. What Are the Not-To-Exceed 

Standards and Related Requirements? 

a. Concept. Our goal is to achieve 

control of emissions over the broad 

range of in-use speed and load 

combinations that can occur on a 

recreational marine diesel engine so that 

real-world emission control is achieved, 

rather than just controlling emissions 

under certain laboratory conditions. An 

important tool for achieving this goal is 

an in-use program with an objective 

emission standard and an easily 

implemented test procedure. Prior to 

this concept, our approach has been to 

set a numerical standard on a specified 

test procedure and rely on the 

additional prohibition of defeat devices 

to ensure in-use control over a broad 

range of operation not included in the 

test procedure. 

We are applying the defeat device 

provisions established for commercial 

marine engines to recreational marine 

diesel engines in addition to the NTE 

requirements (see 40 CFR 94.2). A 

design in which an engine met the 

standard at the steady-state test points 

but was intentionally designed to 

approach the NTE limit everywhere else 

would be considered to be defeating the 

standard. Electronic controls that 

recognize and modulate the emissioncontrol system when the engine is not 

being tested for emissions and increases 

the emissions from the engine would be 

an example of a defeat device, 

regardless of the emissions performance 

of the engine with regard to the 

standards. 

No single test procedure can cover all 

real-world applications, operations, or 

conditions. Yet to ensure that emission 

standards are providing the intended 

benefits in use, we must have a 

reasonable expectation that emissions 

under real-world conditions reflect 

those measured on the test procedure. 

The defeat-device prohibition is 

designed to ensure that emission 

controls are employed during real-world 

operation, not just under laboratory or 

test-procedure conditions. However, the 

defeat-device prohibition is not a 

quantified standard and does not have 

an associated test rocedure, so it does 

not have the clear objectivity and ready 

enforceability of a numerical standard 

and test procedure. As a result, relying 

on just a using a standardized test 

procedure and the defeat device 

prohibition makes it harder to ensure 

that engines will operate with the same 

level of control in the real world as in 

the test cell. 

Because the ISO E5 duty cycle uses 

only five modes on an average propeller 

curve intended to characterize typical 

marine engine operation for this 

industry, we are concerned that an 

engine designed to the duty cycle may 

not necessarily perform the same way 

over the range of speed and load 

combinations normally seen on a boat 

nor will it always follow the average 

curve. These duty cycles are based on 

an average propeller curve, but a 

propulsion marine engine may never be 

fitted with an ‘‘average propeller.’’ In 

addition, even if fitted with an ‘‘average 

propeller,’’ an engine fit to a specific 

boat may operate differently based on 

how heavily the boat is loaded.

To ensure that emissions are 

controlled from recreational marine 

engines over the full range of speed and 

load combinations normally seen on 

boats, we are establishing a zone under 

the engine’s power curve where the 

engine may not exceed a specified 

emission limit. This limit applies to all 

of the regulated pollutants under steadystate operation. Testing in this ‘‘not-toexceed’’ (NTE) zone may include the 

whole range of real ambient conditions. 

The NTE zone, limit, and ambient 

conditions are described below. 

We believe there are significant 

advantages to taking this approach. The 

test procedure is flexible enough to 

represent the majority of in-use engine 

operation and ambient conditions. 

Therefore, the NTE approach takes all of 

the benefits of a numerical standard and 

test procedure and expands it to cover 

a broad range of conditions. Also, a 

standard that requires laboratory testing 

makes it harder to perform in-use testing 

because either the engines must be 

removed from the vessel or laboratorytype conditions must be achieved on the 

vessel. With the NTE approach, in-use 

testing becomes much easier to 

implement since emissions may be 

sampled during normal vessel use. 

Because this approach is objective, it 

makes enforcement easier and provides 

more certainty to the industry in terms 

of what control is expected in-use 

versus over a fixed laboratory test 

procedure. 

Even with the NTE requirements, we 

believe it is important to retain 

standards based on the steady-state duty 

cycles. This is the standard that we 

expect the certified marine engines to 

meet on average in use. The NTE testing 

is more focused on maximum emissions 

for segments of operation. We believe 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68309

basing the emission standards on a 

distinct cycle and using the NTE zone 

to better ensure in-use control creates a 

comprehensive program. In addition, 

the steady-state duty cycles give a basis 

for calculating credits for averaging, 

banking, and trading. 

As described in the Summary and 

Analysis of Comments, the same 

technology that can be used to meet the 

standards over the E5 duty cycle can be 

used to meet the NTE caps in the NTE 

zone. We therefore do not expect these 

standards to cause recreational marine 

diesel engines to need more advanced 

technology that is used by the nonroad 

and commercial marine engines from 

which they are derived. We do not 

believe the NTE concept results in a 

large amount of additional testing, 

because these engines should be 

designed to perform as well in use as 

they do over the steady-state five-mode 

certification test. However, our cost 

analysis in Chapter 5 of the Final 

Regulatory Support Document accounts 

for some additional testing, especially in 

the early years, to provide 

manufacturers with assurance that their 

engines will meet the NTE 

requirements. 

b. Shape of the NTE zone. Figure 

VI.C–1 illustrates the NTE zone for 

recreational marine diesel engines. We 

based this zone on the range of 

conditions that these engines might 

typically see in use. Also, we divide the 

zone into subzones of operation which 

have different limits as described below. 

Chapter 4 of the Final Regulatory 

Support Document describes the 

development of the boundaries and 

conditions associated with the NTE 

zone. The NTE zone for recreational 

marine diesel engines is the same for 

commercial marine diesel engines 

operating on a propeller curve, except 

that an additional subzone is added at 

speeds over 95 percent of rated to 

address the typical recreational design 

for higher rated power.

BILLING CODE 6560–50–P

68310 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

BILLING CODE 6560–50–C

EPA may approve adjustments to the 

size and shape of the NTE zone for 

certain engines if the manufacturer 

demonstrates that the engine will not 

see operation outside of the revised NTE 

zone in use. This way, manufacturers 

can avoid having to test their engines 

under operation that they will not see in 

use. However, manufacturers are 

responsible for ensuring that their 

specified operation represents realworld operation. In addition, if a 

manufacturer designs an engine for 

operation at speeds and loads outside of 

the NTE zone (i.e., variable-speed 

engines used with variable-pitch 

propellers), the manufacturer is 

responsible for notifying us, so the NTE 

zone for that engine family can be 

modified to include this operation. 

c. Transient operation. NTE testing 

includes only steady-state operation 

with a minimum sampling time of 30 

seconds. We specify the ISO E5 steadystate duty cycle for showing compliance 

with average emission standards. The 

goal of adopting NTE standards and 


ER08NO02.002</GPH>
Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68311

84The range of intake air temperature is 13 to 

30°C for engines that draw air from outside the 

engine room.

procedures is to cover the operation 

away from the five modes that are on 

the assumed propeller curve. Our 

understanding is that the majority of 

marine engine operation is steady-state; 

however, we recognize that recreational 

marine use is likely more transient than 

commercial marine use. At this time we 

do not have enough data on marine 

engine operation to accurately 

determine the amount of transient 

operation that occurs or to set an NTE 

standard for transient operation. We are 

aware that the high-load transient 

operation seen when a boat comes to 

plane is not included in the NTE zone 

as defined, even if we were to require 

compliance with NTE standards during 

transient operation. We are also aware 

that these speed and load points cannot 

be achieved under steady-state 

operation for a properly loaded boat in 

use. If we find that excluding transient 

operation from the compliance 

requirements results in a significant 

increase in emissions, we will revisit 

this provision in the future. Also, an 

engine designed, with multiple injection 

timing maps based on operation, to 

operate at higher emissions during 

transient operation than during steadystate testing would be in noncompliance 

with our defeat device prohibition. 

d. Emission standards. We are 

requiring emissions caps for the NTE 

zones that represent a multiplier times 

the weighted test result used for 

certification for all of the regulated 

pollutants (HC+NOX, CO, and PM). This 

is consistent with the concept of a 

weighted modal emission test such as 

the steady-state tests included in this 

rule. The standard itself is intended to 

represent the average emissions under 

steady-state conditions. Because it is an 

average, some points can be higher, 

some lower, and the manufacturer will 

design to maximize performance and 

still meet the engine standard. The NTE 

limit is on top of this. It is designed to 

make sure that no part of the engine 

operation and that no application goes 

too far from the average level of control. 

Consistent with the requirements for 

commercial marine engines, recreational 

marine diesel engines must meet a cap 

of 1.50 times the certified level for 

HC+NOX, PM, and CO for the speed and 

power subzone below 45 percent of 

rated power and a cap of 1.20 times the 

certified levels at or above 45 percent of 

rated power. However, we are applying 

an additional subzone at speeds greater 

than 95 percent of rated, with a 

corresponding standard of 1.50 times 

the certified levels for this subzone. 

This additional subzone addresses the 

typical recreational design for higher 

rated power. We understand that this 

power is needed to ensure that the 

engine can bring the boat to plane. 

Chapter 4 of the Final Regulatory 

Support Document provides more detail 

on how we determined the standards. 

We are aware that marine diesel 

engines may not be able to meet the 

emissions limit under all conditions. 

Specifically, there are times when 

emission control must be compromised 

for startability or safety. Engine starting 

is not included in NTE testing. In 

addition, manufacturers have the option 

of petitioning the Administrator to 

allow emissions to increase under 

engine protection strategies, such as 

when an engine overheats. This is also 

consistent with the requirements for 

commercial marine engines. 

e. Ambient conditions. Variations in 

ambient conditions can affect emissions. 

Such conditions include air 

temperature, humidity, and (especially 

for aftercooled engines) water 

temperature. We are applying the 

commercial marine engine ranges for 

these variables. Chapter 4 of the Final 

Regulatory Support Document provides 

more detail on how we determined 

these ranges. Within the ranges, there is 

no calculation to correct measured 

emissions to standard conditions. 

Outside of the ranges, emissions can be 

corrected back to the nearest end of the 

range. The ambient variable ranges are 

13 to 35°C (55 to 95°F) for intake air 

temperature, 7.1 to 10.7 g water/kg dry 

air (50 to 75 grains/pound dry air) for 

intake air humidity, and 5 to 27°C (41 

to 80°F) for ambient water 

temperature.84

f. Certification. At the time of 

certification, manufacturers must 

submit a statement that its engines will 

comply with these requirements under 

all conditions that may reasonably be 

expected to occur in normal vessel 

operation and use. The manufacturer 

also provides a detailed description of 

all testing, engineering analysis, and 

other information that forms the basis 

for the statement. This statement may be 

based on testing other research that 

validly supports such a statement, 

consistent with good engineering 

judgment. EPA may review the basis of 

this statement during the certification 

process. 

D. Testing Equipment and Procedures 

The regulations detail specifications 

for test equipment and procedures that 

apply generally to commercial marine 

engines (including NTE testing) in 40 

CFR part 94. We have based the 

recreational marine diesel engine test 

procedures on this part. Section VIII 

gives a general discussion of testing 

requirements; this section describes 

procedures that are specific to 

recreational marine such as the duty 

cycle for operating engines for emission 

measurements. Chapter 4 of the Draft 

Regulatory Support Document describes 

these duty cycles in greater detail. In 

addition to the information provided 

above, the following section discusses 

issues concerning test equipment and 

procedures. 

1. Which Duty Cycles Are Used To 

Measure Emissions? 

For recreational marine diesel 

engines, we specify the ISO E5 duty 

cycle. This is a 5-mode steady state 

cycle, including an idle mode and four 

modes lying on a cubic propeller curve. 

ISO intends for this cycle to be used for 

all engines in boats less than 24 meters 

in length. We apply it to all recreational 

marine diesel engines to avoid the 

complexity of tying emission standards 

to boat characteristics. A given engine 

may be used in boats longer and shorter 

than 24 meters; engine manufacturers 

generally will not know the size of the 

boat into which an engine will be 

installed. Also, we expect that most 

recreational boats will be under 24 

meters in length. Chapter 4 of the Final 

Regulatory Support Document provides 

further detail on the ISO E5 duty cycle.

2. What Fuels Will Be Used During 

Emission Testing? 

We are applying the same 

specifications for recreational marine 

diesel engines that we established for 

commercial marine diesel engines. That 

means that the recreational engines will 

use the same test fuel that is required for 

testing Category 1 commercial marine 

diesel engines, which is a regular 

nonroad test fuel with moderate sulfur 

content. We are not aware of any 

difference in fuel specifications for 

recreational and commercial marine 

engines of comparable size. 

3. How Does In-Use Testing Work? 

In-use testing on marine engines may 

be used to ensure compliance in use. 

This testing may include taking in-use 

marine engines out of the vessel and 

testing them in a laboratory, as well as 

field testing of in-use engines on the 

boat, in a marine environment. 

We plan to use field-testing data in 

two ways. First, we may use it as a 

screening tool, with follow-up 

laboratory testing over the ISO E5 duty 

cycle or NTE zone where appropriate. 

Second, we may use the data directly as 

a basis for compliance determinations, 

68312 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

as long as field-testing equipment and 

procedures are capable of providing 

reliable information from which 

conclusions can be drawn regarding 

what emission levels would be with 

laboratory-based measurements. 

Because it would likely be difficult to 

match the E5 test points exactly on an 

engine in use on a vessel, NTE zone 

testing will reduce the difficulty of inuse compliance determinations. 

For marine engines that expel exhaust 

gases underwater or mix their exhaust 

with water, manufacturers must equip 

engines with an exhaust sample port 

where a probe can be inserted for in-use 

exhaust emission testing. It is important 

that the location of this port allow a 

well-mixed and representative sample 

of the exhaust. This provision is 

intended to simplify in-use testing. In 

cases where the engine manufacturer 

does not supply enough of the exhaust 

system to add a sample port, the engine 

manufacturer would be required to 

provide installation instructions for a 

sample port. Vessel manufacturers 

would be required to follow this and 

any other emission-related installation 

instructions. 

One of the advantages of the not-toexceed requirements will be to facilitate 

in-use testing. This will allow us to 

perform compliance testing in the field. 

As long as the engine is operating under 

steady-state conditions in the NTE zone, 

we will be able to measure emissions 

and compare them to the NTE limits. To 

assist in this testing, engines with 

electronic controls will be required to 

broadcast engine torque (as percent of 

maximum) and engine speed on their 

controller area networks. 

4. How Is the Maximum Test Speed 

Determined? 

To ensure that a manufacturer’s 

declared maximum speed is 

representative of actual engine operating 

characteristics and is not improperly 

used to influence the parameters under 

which their engines are certified, we are 

applying the definition of maximum test 

speed used for commercial marine 

engines. This definition of maximum 

test speed is the single point on an 

engine’s normalized maximum power 

versus speed curve that lies farthest 

away from the zero-power, zero-speed 

point. 

In establishing this definition of 

maximum test speed, it was our intent 

to specify the highest speed at which 

the engine is likely to be operated in 

use. Under normal circumstances this 

maximum test speed should be close to 

the speed at which peak power is 

achieved. However, as some 

manufacturers indicated in their 

comments, it is possible under this 

definition for the maximum test speed 

to be very different than the speed at 

which peak power is achieved. This 

could result in the certification test 

cycle and the NTE zone (which are both 

defined in part by the maximum test 

speed) being unrepresentative of in-use 

operation. Since we were aware of this 

potential during the development of the 

commercial marine regulations, we 

included two provisions to address 

issues such as these. First, § 94.102 

allows EPA to modify test procedures in 

situations where the specified test 

procedures would otherwise be 

unrepresentative of in-use operation. 

Thus, in cases in which the definition 

of maximum test speed resulted in an 

engine speed that was not expected to 

occur with in-use engines, we would 

work with the manufacturers to 

determine the maximum speed that 

would be expected to occur in-use. 

Second, § 94.106(c)(2) allows EPA to 

specify during certification a broader 

NTE zone to include actual in-use 

operation. In those cases where we 

could not specify a single maximum test 

speed under § 94.102 that would 

sufficiently cover the range of in-use 

engine speeds, we would specify a 

broader NTE zone. For example, we 

would generally expect that the NTE 

zone would include the peak power 

point. If the maximum test speed 

derived under §§ 94.102 and 94.107 

resulted in an NTE zone that did not 

include the peak power point, we would 

likely specify that the NTE zone be 

broadened to include that point. 

Similarly, we would expect that a 

manufacturer’s advertised rated power/

speed point should be within the NTE 

zone, and could broaden the NTE zone 

to include that point as well. 

E. Special Compliance Provisions 

The provisions discussed here are 

designed to minimize regulatory 

burdens on manufacturers needing 

added flexibility to comply with 

emission standards. These 

manufacturers include engine dressers, 

small-volume engine marinizers, and 

small-volume boat builders. 

Commenters generally supported these 

provisions as proposed. 

1. What Are the Burden Reduction 

Approaches for Engine Dressers? 

Many recreational marine diesel 

engine manufacturers take a new, landbased engine and modify it for 

installation on a marine vessel. Some of 

the companies that modify an engine for 

installation on a boat make no changes 

that might affect emissions. Instead, the 

modifications may consist of adding 

mounting hardware and a generator or 

reduction gears for propulsion. It can 

also involve installing a new marine 

cooling system that meets original 

manufacturer specifications and 

duplicates the cooling characteristics of 

the land-based engine, but with a 

different cooling medium (such as sea 

water). In many ways, these 

manufacturers are similar to nonroad 

equipment manufacturers that purchase 

certified land-based nonroad engines to 

make auxiliary engines. This simplified 

approach of producing an engine can 

more accurately be described as 

dressing an engine for a particular 

application. Because the modified landbased engines are subsequently used on 

a marine vessel, however, these 

modified engines will be considered 

marine diesel engines, which then fall 

under these requirements. 

To clarify the responsibilities of 

engine dressers under this rule, we will 

not treat them as a manufacturer of a 

recreational marine diesel engine and 

therefore they would not be required to 

obtain a certificate of conformity, as 

long as they meet the following seven 

conditions. 

(1) The engine being dressed (the 

‘‘base’’ engine) must be a highway, landbased nonroad, or locomotive engine, 

certified pursuant to 40 CFR part 86, 40 

CFR part 89, or 40 CFR part 92, 

respectively, or a marine diesel engine 

certified pursuant to this part. 

(2) The base engine’s emissions, for 

all pollutants, must meet the otherwise 

applicable recreational marine emission 

limits. In other words, starting in 2005, 

a dressed nonroad Tier 1 engine will not 

qualify for this exemption, because the 

more stringent standards for recreational 

marine diesel engines go into effect at 

that time. 

(3) The dressing process must not 

involve any modifications that can 

change engine emissions. We do not 

consider changes to the fuel system to 

be engine dressing because this 

equipment is integral to the combustion 

characteristics of an engine. 

(4) All components added to the 

engine, including cooling systems, must 

comply with the specifications provided 

by the engine manufacturer. 

(5) The original emissions-related 

label must remain clearly visible on the 

engine. 

(6) The engine dresser must notify 

purchasers that the marine engine is a 

dressed highway, nonroad, or 

locomotive engine and is exempt from 

the requirements of 40 CFR part 94.

(7) The engine dresser must report 

annually to us the models that are 

exempt pursuant to this provision and 

such other information as we deem 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68313

necessary to ensure appropriate use of 

the exemption. 

Any engine dresser not meeting all 

these conditions will be considered an 

engine manufacturer and will 

accordingly need to obtain a certificate 

of conformity for these new engines, 

consistent with this rule’s provisions, 

and label the engine showing that it is 

available for use as a marine engine. 

An engine dresser violating the above 

criteria might be liable under antitampering provisions for any change 

made to the land-based engine that 

affects emissions. The dresser might 

also be subject to a compliance action 

for selling new marine engines that are 

not certified to the required emission 

standards. For an engine dresser 

complying with the above provisions, 

the original certificate would remain in 

effect and the certifier of the engine 

would remain liable for the emissions 

performance of the engine. 

2. What Special Provisions Is EPA 

Adopting for Small Entities? 

In addition to provisions for engine 

dressers, we are also finalizing special 

provisions designed to provide 

flexibility to small entities. Prior to the 

proposal, we conducted an inter-agency 

Small Business Advocacy Review Panel 

as described in Section XI.C. With input 

from small-entity representatives, the 

panel drafted a report with findings and 

recommendations on how to reduce the 

potential small-business burden 

resulting from this rule. The interagency panel’s recommendations were 

proposed by EPA and are now being 

finalized as proposed. The following 

sections describe these provisions. 

3. What Are the Burden Reduction 

Approaches for Small-Volume Engine 

Marinizers? 

We are providing additional options 

for small-volume engine marinizers. The 

purpose of these options is to reduce the 

burden on companies for which fixed 

costs cannot be distributed over a large 

number of engines. For this reason, we 

are defining a small-volume engine 

manufacturer based on annual U.S. sales 

of engines and are providing the 

additional options on this basis rather 

than on business size in terms of 

number of employees, revenue, or other 

such measures. The production count 

we are using includes all engines 

(automotive, other nonroad, etc.) and 

not just recreational marine engines. We 

consider recreational marine diesel 

engine manufacturers to be small 

volume for purposes of this provision if 

they produce fewer than 1,000 internal 

combustion engines per year. Based on 

our characterization of the industry, 

there is a natural break in production 

volumes above 500 engine sales where 

the next smallest manufacturers make 

tens of thousands of engines. We chose 

1,000 engines as a limit because it 

groups together all the marinizers most 

needing relief, while still allowing for 

reasonable sales growth. 

The options for small-volume 

marinizers are discussed below. 

a. Broaden engine families. We have 

established engine criteria for 

distinguishing between engine families, 

which is intended to divide a 

manufacturer’s product line into 

multiple engine families. We are 

allowing small-volume marinizers to 

put all of their models into one engine 

family (or more as necessary) for 

certification purposes. Marinizers 

would then certify using the ‘‘worstcase’’ configuration. This approach is 

consistent with the option offered to 

post-manufacture marinizers under the 

commercial marine regulations. The 

advantage of this approach is that it 

minimizes certification testing because 

the marinizer can use a single engine in 

the first year to certify their whole 

product line. As for large companies, 

the small-volume manufacturers could 

then carry-over data from year to year 

until changing engine designs in a way 

that might significantly affect emissions. 

We understand that this option alone 

still requires a certification test and the 

associated burden for small-volume 

manufactures. We consider this to be 

the foremost cost concern for some 

small-volume manufacturers, because 

the test costs are spread over low sales 

volumes. Also, we recognize that it may 

be difficult to determine the worst-case 

emitter without additional testing. We 

are requiring testing because we need a 

reliable, test-based technical basis to 

issue a certificate for these engines. 

Manufacturers will be able to use carryover to spread costs over multiple years 

of production.

b. Minimize compliance requirements.

Production-line and deterioration 

testing requirements do not apply to 

small-volume marinizers. We will 

assign a deterioration factor for use in 

calculating end-of-life emission factors 

for certification. The advantages of this 

approach would be to minimize 

compliance testing. Production-line and 

deterioration testing would be more 

extensive than a single certification test. 

c. Expand engine dresser flexibility.

We are expanding the engine dresser 

definition for small-volume marinizers 

to include water-cooled turbochargers 

where the goal is to match the 

performance of the non water-cooled 

turbocharger on the original certified 

configuration. We believe this would 

provide more opportunities for diesel 

marinizers to be excluded from 

certification testing if they operate as 

dressers. 

d. Streamlined certification. We will 

allow small-volume marinizers to certify 

to the not-to-exceed (NTE) requirements 

with a streamlined approach. We 

believe small-volume marinizers can 

make a satisfactory showing that they 

meet NTE standards with limited test 

data. Similar to the standard NTE 

program, once these manufacturers test 

engines over the five-mode certification 

duty cycle (E5), they can use those or 

other test points to extrapolate the 

results to the rest of the NTE zone. For 

example, an engineering analysis may 

consider engine timing and fueling rate 

to determine how much the engine’s 

emissions may change at points not 

included in the E5 cycle. For this 

streamlined NTE approach, keeping all 

four test modes of the E5 cycle within 

the NTE standards will be enough for 

small-volume marinizers to certify 

compliance with NTE requirements, as 

long as there are no significant changes 

in timing or fueling rate between modes. 

e. Delay standards for five years.

Applying a five-year delay, the 

standards take effect from 2011 to 2014 

for small-volume marinizers, depending 

on engine size. Marinizers may apply 

this five-year delay to all or just a 

portion of their production. They may 

therefore still sell engines that meet the 

standards when possible on some 

product lines while delaying 

introduction of emission-control 

technology on other product lines. This 

option provides more time for small 

marinizers to redesign their products, 

allowing time to learn from the 

technology development of the rest of 

the industry. Boat builders may use 

these uncertified engines in their 

vessels. 

While we are concerned about the 

loss of emission control from part of the 

fleet during this time, we recognize the 

special needs of small-volume 

marinizers and believe the added time 

may be necessary for these companies to 

comply with emission standards. This 

additional time will allow small-volume 

marinizers to obtain and implement 

proven, cost-effective emission-control 

technology. 

f. Hardship provisions. We are 

adopting two hardship provisions for 

small-volume marinizers. Marinizers 

may apply for this relief on an annual 

basis. First, small marinizers may 

petition us for additional time to 

comply with the standards. The 

marinizer must show that it has taken 

all possible steps to comply but the 

burden of compliance costs will have a 

68314 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

major impact on the company’s 

solvency. Also, if a certified base engine 

is available, the marinizer must 

generally use this engine. We believe 

this provision will protect small-volume 

marinizers from undue hardship due to 

certification burden. Also, some 

emission reduction can be gained if a 

certified base engine becomes available. 

Second, small-volume marinizers may 

also apply for hardship relief if 

circumstances outside their control 

caused the failure to comply (such as a 

supply contract broken by parts 

supplier) and if failure to sell the subject 

engines will have a major impact on the 

company’s solvency. We consider this 

relief mechanism to be an option of last 

resort. We believe this provision will 

protect small-volume marinizers from 

circumstances outside their control. We, 

however, intend to not grant hardship 

relief if contract problems with a 

specific company prevent compliance 

for a second time. 

Although the inter-agency panel did 

not specify a time limit for these 

hardship provisions, and we are not 

finalizing any such time limits, we 

envision these hardship provisions as 

transitional in nature. We would expect 

their use to be limited to the early years 

of the program, in a similar time frame 

as we are establishing for the 

recreational vehicle hardship 

provisions, as discussed in Section 

VII.C. 

4. What Are the Burden Reduction 

Approaches for Small-Volume Boat 

Builders Using Recreational Marine 

Diesel Engines? 

The inter-agency panel also 

recommended burden reduction 

approaches for small-volume boat 

builders. The recommendations were 

based on the concerns that, although 

boat builders are not subject to the 

engine-based emission standards, they 

are required to use certified engines and 

may need to redesign engine 

compartments on some boats if engine 

designs were to change significantly. 

EPA proposed the flexibilities 

recommended by the panel and are 

finalizing them as proposed. 

We are adopting four options for 

small-volume vessel manufacturers 

using recreational marine diesel 

engines. These options are intended to 

reduce the burden on companies for 

which fixed costs cannot be distributed 

over a large number of vessels. As 

proposed, we are therefore defining a 

small-volume boat builder as one that 

produces fewer than 100 boats for sale 

in the U.S. in one year and has fewer 

than 500 employees. The production 

count includes all engine-powered 

recreational boats. These options may be 

used at the manufacturer’s discretion. 

The options for small-volume boat 

builders are discussed below. 

a. Percent-of-production delay.

Manufacturers with a written request 

from a small-volume boat builder and 

prior approval from us may produce a 

limited number of uncertified 

recreational marine diesel engines. 

From 2006 through 2010, small-volume 

boat builders may purchase uncertified 

engines to sell in boats for an amount 

equal to 80 percent of engine sales for 

one year. For example, if the small boat 

builder sells 100 engines per year, a 

total of 80 uncertified engines may be 

sold over the five-year period. This will 

give small boat builders an option to 

delay using new engine designs for a 

portion of business. Engines produced 

under this flexibility must be labeled 

accordingly so that customs inspectors 

know which uncertified engines can be 

imported. We continue to believe this 

approach is appropriate and are 

finalizing it as proposed. 

b. Small-volume allowance. This 

allowance is similar to the percent-ofproduction allowance, but is designed 

for boat builders with very small 

production volumes. The only 

difference with the above allowance is 

that the 80-percent allowance described 

above may be exceeded, as long as sales 

do not exceed either 10 engines per year 

or 20 engines over five years (2006 to 

2010). This applies only to engines less 

than or equal to 2.5 liters per cylinder. 

c. Existing inventory and replacement 

engine allowance. Small-volume boat 

builders may sell their existing 

inventory after the implementation date 

of the new standards. However, no 

purposeful stockpiling of uncertified 

engines is permitted. This provision is 

intended to allow small boat builders 

the ability to turn over engine designs. 

d. Hardship relief provision. Small 

boat builders may apply for hardship 

relief if circumstances outside their 

control caused the problem (for 

example, if a supply contract were 

broken by the engine supplier) and if 

failure to sell the subject vessels will 

have a major impact on the company’s 

solvency. This relief allows the boat 

builder to use an uncertified engine and 

is considered a mechanism of last resort. 

These hardship provisions are 

consistent with those currently in place 

for post-manufacture marinizers of 

commercial marine diesel engines. 

F. Technical Amendments 

The regulations include a variety of 

amendments to the programs already 

adopted for marine spark-ignition and 

diesel engines, as described in the 

following paragraphs.

1. 40 CFR Part 91: Outboards and 

Personal Watercraft 

We have identified four principal 

amendments to the requirements for 

outboard and personal watercraft 

engines. First, we are adding a 

definition of United States which is ‘‘the 

States, the District of Columbia, the 

Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands.’’ This 

definition is consistent with that 

included in 40 CFR part 94 for marine 

diesel engines. This is especially helpful 

in clearing up questions related to U.S. 

territories in the Carribean Sea and the 

Pacific Ocean. Second, we have found 

two typographical errors in the 

equations needed for calculating 

emission levels in 40 CFR 91.419. Third, 

we are adjusting the regulation language 

to clarify testing rates for the in-use 

testing program. The regulations 

currently specify a maximum rate of 25 

percent of a manufacturer’s engine 

families subject to in-use testing. The 

revised language states that for 

manufacturers with fewer than four 

engine families subject to in-use testing, 

the maximum testing rate is one family 

per year in place of the percentage 

calculation. Finally, we are revising the 

regulatory provision prohibiting 

emission controls that lead to increases 

of noxious or toxic compounds that 

would pose an unreasonable risk to the 

public, as described in Section II.B.2. 

2. 40 CFR Part 94: Commercial Marine 

Diesel Engines 

We are adopting several regulatory 

amendments to the program for 

commercial marine diesel engines. 

Many of these are straightforward edits 

for correct grammar and cross 

references. We are also changing the 

definition of United States, as described 

in the previous section. 

We are adding a definition for sparkignition, consistent with the existing 

definition for compression-ignition, 

which will allow us to define 

compression-ignition as any engine that 

is not spark-ignition. This will help 

ensure that marine emission standards 

for the different types of engines fit 

together appropriately. 

The discussion of production-line 

testing in Section II.C.4 specifies 

reduced testing rates after two years of 

consistent good performance. We are 

extending this provision to commercial 

marine diesel engines as well. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68315

The test procedures for Category 2 

marine engines give a cross-reference to 

40 CFR part 92, which defines the 

procedures for testing locomotives and 

locomotive engines. Part 92 specifies a 

wide range of ambient temperatures for 

testing, to allow for outdoor 

measurements. We expect all testing of 

Category 2 marine engines to occur 

indoors and are therefore adopting a 

range of 13° to 30° C (55° to 86° F) for 

emission testing. 

Finally, we are revising the regulatory 

provision prohibiting emission controls 

that lead to increases of noxious or toxic 

compounds that would pose an 

unreasonable risk to the public, as 

described in Section II.B.2. 

G. Technological Feasibility 

We have concluded that the emissionreduction strategies expected for landbased nonroad diesel engines and 

commercial marine diesel engines can 

also be applied to recreational marine 

diesel engines, such that these emission 

reductions strategies will provide 

compliance with recreational marine 

diesel emission standards. Marine diesel 

engines are generally derivatives of 

land-based nonroad and highway diesel 

engines. Marine engine manufacturers 

and marinizers make modifications to 

the engine to make it ready for use in 

a vessel. These modifications can range 

from basic engine mounting and cooling 

changes to a restructuring of the power 

assembly and fuel management system. 

Chapters 3 and 4 of the Final Regulatory 

Support Document discuss this process 

in more detail. Also, we have collected 

emission data demonstrating the 

feasibility of the steady state average 

standard and not-to-exceed 

requirements. These data are presented 

in Chapter 4 of the Final Regulatory 

Support Document. 

1. Implementation Schedule 

For recreational marine diesel 

engines, the implementation schedule 

allows an additional two years of delay 

beyond the commercial marine diesel 

standards. This represents up to a fiveyear lead time relative to the 

implementation dates of the land-based 

nonroad standards. This allows time for 

the carryover of technology from landbased nonroad and commercial marine 

diesel engines. In addition, these 

implementation dates represent three to 

six years of lead time beyond 

publication of this final rule.

2. Standard Levels 

Marine diesel engines are typically 

derived from or use the same technology 

as land-based nonroad and commercial 

marine diesel engines and should 

therefore be able to effectively use the 

same emission-control strategies. In fact, 

recreational marine engines can better 

use the water they operate in as a 

cooling medium compared with 

commercial marine, because they are 

able to use raw-water aftercooling. This 

can help them reduce charge-air intake 

temperatures more easily than the 

commercial models and much more 

easily than land-based nonroad diesel 

engines. Cooling the intake charge 

reduces the formation of NOX emissions 

and thus indirectly enables other HC 

and PM control strategies. As a result, 

baseline recreational engines generally 

have lower NOX emissions than 

uncontrolled commercial marine 

engines. Therefore, we believe that 

recreational marine engines can meet 

the same standard levels as are in place 

for commercial marine engines without 

sacrificing power or increasing weight 

of the engine. 

3. Technological Approaches 

We anticipate that manufacturers will 

meet the new emission standards for 

recreational marine diesel engines 

primarily with technology that will be 

applied to land-based nonroad and 

commercial marine diesel engines. 

Much of this technology has already 

been established in highway 

applications and is being used in 

limited land-based nonroad and marine 

applications. Our analysis of this 

technology is described in detail in 

Chapters 3 and 4 of the Final Regulatory 

Support Document and is summarized 

here. 

By adopting standards that don’t go 

into place until 2006, we are providing 

engine manufacturers with substantial 

lead time for developing, testing, and 

implementing emission-control 

technologies. This lead time and the 

coordination of standards with those for 

land-based nonroad engines allows time 

for a comprehensive program to 

integrate the most effective emissioncontrol approaches into the 

manufacturers’ overall design goals 

related to durability, reliability, and fuel 

consumption. 

Engine manufacturers have already 

produced limited numbers of low-NOX

marine diesel engines. More than 80 of 

these engines have been placed into 

service in California through 

demonstration programs. Through the 

demonstration programs, we were able 

to gain some insight into what 

technologies can be used to meet the 

new emission standards. Chapter 4 

presents data on 25 of these engines 

tested over the E5 duty cycle. Although 

only one of these engines has been 

shown to meet the HC+NOX and PM 

standards, many of these engines are 

well below either the HC+NOX or PM 

standards or are close to meeting both. 

With further optimization, we believe 

these engine designs can be used to 

meet the exhaust emission standards for 

recreational marine diesel engines. 

Highway engines have been the 

leaders in developing new emissioncontrol technology for diesel engines. 

Because of the similar engine designs in 

land-based nonroad and marine diesel 

engines, it is clear that much of the 

technological development that has led 

to lower-emitting highway engines can 

be transferred or adapted for use on 

land-based nonroad and marine engines. 

Much of the improvement in emissions 

from these engines comes from 

‘‘internal’’ engine changes such as 

variation in fuel-injection variables 

(injection timing, injection pressure, 

spray pattern, rate shaping), modified 

piston bowl geometry for better air-fuel 

mixing, and improvements intended to 

reduce oil consumption. Introduction 

and ongoing improvement of electronic 

controls have played a vital role in 

facilitating many of these 

improvements. 

Turbocharging is widely used now in 

marine applications, especially in larger 

engines, because it improves power and 

efficiency by compressing the intake air. 

Turbocharging may also be used to 

decrease particulate emissions in the 

exhaust. Today, marine engine 

manufacturers generally have to 

rematch the turbocharger to the engine 

characteristics of the marine version of 

a nonroad engine and often will add 

water jacketing around the turbocharger 

housing to keep surface temperatures 

low. Once the nonroad Tier 2 engines 

are available to the marine industry, 

matching the turbochargers for the 

engines will be an important step in 

achieving low emissions. 

Aftercooling is a well established 

technology for reducing NOX by 

decreasing the temperature of the charge 

air after it has been heated during 

compression. Decreasing the charge-air 

temperature directly reduces the peak 

cylinder temperature during 

combustion, which is the primary cause 

of NOX formation. Air-to-water and 

water-to-water aftercoolers are well 

established for land-based applications. 

For engines in marine vessels, there are 

two different types of aftercooling: 

jacket-water and raw-water aftercooling. 

With jacket-water aftercooling, the fluid 

that extracts heat from the aftercooler is 

itself cooled by ambient water. This 

cooling circuit may either be the same 

circuit used to cool the engine or it may 

be a separate circuit. By incorporating a 

separate circuit, marine engine 

68316 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

manufacturers can further reduce 

charge-air temperatures. This separate 

circuit can result in even lower 

temperatures with raw water as the 

coolant. This means that ambient water 

is pumped directly to the aftercooler. 

Raw-water aftercooling is currently 

widely used in recreational 

applications. Because of the access that 

marine engines have to a large ambient 

water cooling medium, we anticipate 

that marine diesel engine manufacturers 

will largely reduce NOX emissions with 

aftercooling. 

Electronic controls also offer great 

potential for improved control of engine 

parameters for better performance and 

lower emissions. Unit pumps or 

injectors allow higher-pressure fuel 

injection with rate shaping to carefully 

time the delivery of the whole volume 

of injected fuel into the cylinder. Marine 

engine manufacturers can take 

advantage of modifications to the 

routing of the intake air and the shape 

of the combustion chamber of nonroad 

engines for improved mixing of the fuelair charge. Separate-circuit aftercooling 

(both jacket-water and raw-water) will 

likely gain widespread use in 

turbocharged engines to increase 

performance and lower NOX. 

Fuel injection changes and other NOX

control strategies typically reduce 

engine noise, sometimes dramatically. 

One important source of noise in diesel 

combustion is the sound associated with 

the combustion event itself. When a 

premixed charge of fuel and air ignites, 

the very rapid combustion leads to a 

sharp increase in pressure, which is 

easily heard and recognized as the 

characteristic sound of a diesel engine. 

The conditions that lead to high noise 

levels also cause high levels of NOX

formation. 

The impact of the new emission 

standards on energy is measured by the 

effect on fuel consumption from 

complying engines. Many of the marine 

engine manufacturers are expected to 

retard engine timing which increases 

fuel consumption somewhat. Most of 

the technology changes anticipated in 

response to the new standards, however, 

have the potential to reduce fuel 

consumption as well as emissions. 

Redesigning combustion chambers, 

incorporating improved fuel injection 

systems, and introducing electronic 

controls provide the engine designer 

with powerful tools for improving fuel 

efficiency while simultaneously 

controlling emission formation. To the 

extent that manufacturers add 

aftercooling to non aftercooled engines 

and shift from jacket-water aftercooling 

to raw-water aftercooling, there will be 

a marked improvement in fuelefficiency. Manufacturers of highway 

diesel engines have been able to steadily 

improve fuel efficiency even as new 

emission standards required 

significantly reduced emissions. 

There are no apparent safety issues 

associated with the new emission 

standards. Marine engine manufacturers 

will likely use only proven technology 

that is currently used in other engines 

such as nonroad land-based diesel 

applications, locomotives, and diesel 

trucks. The main technological 

approach will likely be optimization 

and calibration of their fuel injection 

and air management systems. 

4. Our Conclusions 

The new emission standards for 

recreational marine diesel engines 

reasonably reflect what manufacturers 

can achieve through the application of 

available technology to current 

recreational marine diesel engines. 

Recreational marine engine 

manufacturers will need to use the 

available lead time to develop the 

necessary emission-control strategies, 

including transfer of technology from 

land-based nonroad and commercial 

marine diesel engines. This 

development effort will require not only 

achieving the targeted emission levels, 

but also ensuring that each engine will 

meet all performance and emission 

requirements over its useful life. As 

discussed in Section IX, the new 

standards represent significant 

reductions compared with baseline 

emission levels. 

Based on information currently 

available, we conclude it is feasible for 

recreational marine diesel engine 

manufacturers to meet the new emission 

standards using combinations of 

technological approaches discussed 

above and in Chapters 3 and 4 of the 

Final Regulatory Support Document. 

While the technologies described above 

are expected to yield the full degree of 

emission reduction anticipated, it is 

possible that manufacturers may also 

rely on a modest degree of fuel-injection 

timing retard as a strategy for complying 

with emission standards. This is due to 

variations in engine designs and 

baseline injection timing. For instance, 

an engine with very advanced injection 

timing in its baseline configuration 

would likely need to employ some 

timing retard to meet the standards. 

The transfer of technology from landbased nonroad and commercial marine 

engines is an important factor in our 

determination that the recreational 

marine diesel engine standards are 

feasible. Most marine diesel engine 

models also serve in land-based 

applications. Sales of land-based 

versions of these engines are usually 

much greater than those of the marine 

counterpart versions, so manufacturers 

typically focus their primary technology 

development efforts on their land-based 

products. Manufacturers then modify 

these engines for use in marine 

applications. These changes can be 

extensive, but they rarely involve basic 

R&D for new technologies. We do not 

anticipate the use of advanced 

technology such as particulate filters 

and NOX adsorbers on trucks until the 

2007 time frame. Therefore, we do not 

believe that it would be appropriate to 

implement standards, at this time, that 

would require the use of advanced 

technology that has yet to be developed 

for the higher volume land-based diesel 

engine market. We would, however, 

consider this technology in the future 

for setting further tiers of marine engine 

emission standards. 

In addition, we have incorporated 

various options that will permit 

marinizers and boat builders to respond 

to engine changes in an orderly way. We 

expect that meeting these requirements 

will pose a challenge, but one that is 

feasible taking into consideration the 

availability and cost of technology, time, 

noise, energy, and safety.

VII. General Nonroad Compliance 

Provisions 

This section describes a wide range of 

compliance provisions that apply 

generally to all the spark-ignition 

engines and vehicles subject to the new 

emission standards. Several of these 

provisions apply not only to 

manufacturers and importers, but also to 

equipment manufacturers installing 

certified engines, remanufacturing 

facilities, operators, and others. 

The regulatory text for the compliance 

requirements for Large SI engines and 

recreational vehicles are in a new Part 

1068 of Title 40, entitled ‘‘General 

Compliance Programs for Nonroad 

Engines.’’ The compliance provisions 

for recreational marine diesel engines 

are generally the same as those already 

adopted for commercial marine diesel 

engines (40 CFR part 94). 

The following discussion of the 

general nonroad provisions follows the 

regulatory text. For ease of reference, the 

subpart designations for 40 CFR part 

1068 are provided. Where different 

provisions apply to the marine engines, 

we note those differences in this 

section. 

A. Miscellaneous Provisions (Part 1068, 

Subpart A) 

This subpart contains general 

provisions to define terms and the scope 

of application for all of 40 CFR part 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68317

85EPA acted to adjust the maximum penalty 

amount in 1996 (61 FR 69364, December 31, 1996) 

and 2002 (67 FR 41343, June 18, 2002). See also 40 

CFR part 19.

1068. Other provisions concern how we 

handle confidential information, how 

the EPA Administrator delegates 

decision-making authority, and when 

we may inspect a manufacturer’s 

facilities, engines, or records. 

The process of testing engines and 

preparing an application for 

certification requires the manufacturer 

to make a variety of judgments. This 

includes, for example, selecting test 

engines, operating engines between 

tests, and developing deterioration 

factors. The regulations describe the 

methodology we use to evaluate 

concerns related to how manufacturers 

use good engineering judgment in cases 

where the manufacturer has such 

discretion (see 40 CFR 1068.5 and 40 

CFR 94.221). If we find a problem in 

these areas, we will take into account 

the degree to which any error in 

judgment was deliberate or in bad faith. 

This subpart is consistent with 

provisions already adopted for lightduty highway vehicles and commercial 

marine diesel engines. 

B. Prohibited Acts and Related 

Requirements (Part 1068, Subpart B) 

The provisions in this subpart 

establish a set of prohibitions for engine 

manufacturers (including importers), 

equipment manufacturers, operators, 

engine rebuilders, and owners/operators 

to ensure that engines meet the emission 

standards. These provisions are 

intended to help ensure that each new 

engine sold or otherwise entered into 

commerce in the United States is 

certified to the relevant standards, that 

it remains in its certified configuration 

throughout its lifetime, and that only 

certified engines are used in the 

appropriate nonroad equipment. 

1. General Prohibitions (§ 1068.101) 

This regulation contains several 

prohibitions consistent with the Clean 

Air Act. No one may sell a new engine 

subject to the emission standards (or 

equipment containing such an engine) 

in the United States without a valid 

certificate of conformity issued by EPA, 

deny us access to relevant records, or 

keep us from entering a facility to test 

or inspect engines. In addition, no one 

may remove or disable a device or 

design element that may affect an 

engine’s emission levels, or manufacture 

any device that will make emission 

controls ineffective, which we consider 

tampering. Other prohibitions reinforce 

manufacturers’ obligations to meet 

various certification requirements. We 

also prohibit selling engine parts that 

prevent emission-control systems from 

working properly. Finally, for engines 

that are excluded because they are used 

in applications not covered by these 

regulations (for example, stationary or 

solely for competition), we generally 

prohibit using these engines in 

regulated applications. 

These prohibitions are the same as 

those that apply to other engines we 

have regulated in previous rulemakings. 

Each prohibited act has a corresponding 

maximum penalty as specified in Clean 

Air Act section 205. As provided for in 

the Federal Civil Penalties Inflation 

Adjustment Act of 1990, Pub. L. 10–410, 

these maximum penalties are 

periodically adjusted by regulation to 

account for inflation. The current 

penalty amount for each violation is 

$31,500.85

2. Equipment Manufacturer Provisions 

(§ 1068.105) 

Equipment manufacturers may not 

sell new equipment with uncertified 

engines once the emission standards 

begin to apply. We allow a grace period 

for equipment manufacturers to use up 

their supply of uncertified engines, as 

long as they follow their normal 

inventory practices for buying engines. 

We require equipment manufacturers 

to observe the engine manufacturers’

emission-related installation 

specifications to ensure that the engine 

remains in its certified configuration. 

This may include such things as 

radiator specifications, placement of 

catalytic converters, diagnostic signals 

and interfaces, and steps to minimize 

evaporative emissions. 

If equipment manufacturers install a 

certified engine in a way that obscures 

the engine label, they must add a 

duplicate label on the equipment. 

If equipment manufacturers don’t 

fulfill the responsibilities we describe in 

this section, we consider them to be 

violating one or more of the prohibited 

acts described above. 

3. In-Service Engines (§ 1068.110) 

The regulations prevent 

manufacturers from requiring owners to 

use any certain brand of aftermarket 

parts and give the manufacturer 

responsibility for engine servicing 

related to emissions warranty, leaving 

the responsibility for all other 

maintenance with the owner. This 

regulation also reserves our right to do 

testing (or require testing) to determine 

compliance with emission standards 

and investigate potential defeat devices, 

as authorized by the Act.

4. Engine Rebuilding (§ 1068.120) 

We are establishing rebuild provisions 

for all the nonroad engines subject to 

the emission standards in this final rule. 

This approach is similar to what applies 

to heavy-duty highway engines, 

nonroad diesel engines, and commercial 

marine diesel engines. This is necessary 

to prevent an engine rebuilder from 

rebuilding engines in a way that 

disables the engine’s emission controls 

or compromises the effectiveness of the 

emission-control system. For businesses 

involved in commercial engine 

rebuilding, we are adopting minimal 

recordkeeping requirements so 

rebuilders can show that they comply 

with regulations. 

In general, we require anyone 

rebuilding a certified engine to restore it 

to its original (or a lower-emitting) 

configuration. We are adding unique 

requirements for rebuilders to replace 

some critical emission-control 

components such as fuel injectors and 

oxygen sensors in all rebuilds for 

engines that use those technologies, 

unless there is reason to believe that 

those components are still working 

properly. We also require that rebuilders 

replace an existing catalyst if there is 

evidence that it is not functional; for 

example, if a catalyst has lost its 

physical integrity with loose pieces 

rattling inside, it would need to be 

replaced. 

The rebuilding provisions define good 

rebuilding practices to avoid violating 

the prohibition on ‘‘removing or 

disabling’’ emission-control systems. 

We are therefore extending these 

provisions to individuals who rebuild 

their own engines, but without any 

recordkeeping requirements. 

C. Exemptions (Part 1068, Subpart C) 

We are including several exemptions 

for certain specific situations. Most of 

these are consistent with previous 

rulemakings. We highlight the new or 

different provisions in the following 

paragraphs. In general, exempted 

engines must comply with the 

requirements only in the sections 

related to the exemption. Note that 

additional restrictions may apply to 

importing exempted engines (see 

Section VII.D). Also, we may require 

manufacturers (or importers) to add a 

permanent label describing that the 

engine is exempt from emission 

standards for a specific purpose. In 

addition to helping us enforce emission 

standards, this helps ensure that 

imported engines clear Customs without 

difficulty. 

68318 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

1. Testing 

Anyone may request an exemption for 

engines used only for research or other 

investigative purposes. 

2. Manufacturer-Owned Engines 

Engines that are used by engine 

manufacturers for development or 

marketing purposes may be exempted 

from regulation if they are maintained 

in the manufacturers’ possession and 

are not used for any revenue-generating 

service. 

3. Display Engines 

Anyone may request an exemption for 

engines intended for only for display. 

4. National Security 

In general, engines installed in 

combat-related equipment are exempt 

from emission standards. In addition, 

engine manufacturers may request and 

receive an exemption for other engines 

if they are needed by an agency of the 

federal government responsible for 

national defense. The request for 

exemptions in these cases must include 

the endorsement of the procuring 

government agency. 

5. Exported Engines 

Engines that will be exported to 

countries that don’t have the same 

emission standards as those that apply 

in the United States are exempted 

without a request. This exemption is not 

available if the destination country has 

the same emission standards as those in 

the United States.

6. Competition Engines 

New engines used solely for 

competition are generally excluded or 

exempted from regulations that apply to 

nonroad engines. For purposes of our 

certification requirements, 

manufacturers receive an exemption if 

they can show that they produce an 

engine model specifically for use solely 

in competition. In addition, engines that 

have been modified for use in 

competition are exempt from the 

prohibition against tampering described 

above (without need for request). The 

literal meaning of the term ‘‘used solely 

for competition’’ would apply for these 

modifications. We therefore do not 

allow anyone to use the engine for 

anything other than competition once it 

has been modified. This also applies to 

someone who later buys the engine, so 

we require the person modifying the 

engine to remove or deface the original 

engine label and inform a subsequent 

buyer in writing of the conditions of the 

exemption. 

7. Replacement Engines 

An exemption is available to engine 

manufacturers without request if that is 

the only way to replace an engine from 

the field that was produced before the 

current emission standards took effect. 

If less stringent standards applied to the 

old engine when it was new, the 

replacement engine must at a minimum 

meet those standards. 

8. Hardship Related to Economic 

Burden 

There are two types of hardship 

provisions. The first type of hardship 

program allows small businesses to 

petition EPA for up to three years of 

additional lead time to comply with the 

standards. A small manufacturer must 

demonstrate that it has taken all 

possible business, technical, and 

economic steps to comply but the 

burden of compliance costs will have a 

significant impact on the company’s 

solvency. A manufacturer must provide 

a compliance plan detailing when and 

how it will achieve compliance with the 

standards. Hardship relief may include 

requirements for reducing emission on 

an interim basis and/or purchasing and 

using emission credits. The length of the 

hardship relief decided during review of 

the hardship application may be up to 

one year, with the potential to extend 

the relief as needed. The second 

hardship program allows companies to 

apply for hardship relief if 

circumstances outside their control 

cause the failure to comply (such as a 

supply contract broken by parts 

supplier) and if the failure to sell the 

subject engines will have a major impact 

on the company’s solvency. We would, 

however, not grant hardship relief if 

contract problems with a specific 

company prevent compliance for a 

second time. 

9. Hardship for Equipment 

Manufacturers 

Equipment manufacturers in many 

cases depend on engine manufacturers 

to supply certified engines in time to 

produce complying equipment by the 

date emission standards begin to apply. 

This is especially true for industrial and 

marine applications. In other programs, 

equipment manufacturers have raised 

concerns of certified engines being 

available too late for equipment 

manufacturers to adequately 

accommodate changing engine size or 

performance characteristics. To address 

this concern, in unusual circumstances, 

equipment manufacturers may request 

up to one extra year before using 

certified engines if they are not at fault 

and will face serious economic hardship 

without an extension. 

In addition, we are aware that some 

manufacturers of nonroad engines are 

dependent on another engine 

manufacturer to supply base engines 

that are then modified for the final 

application. Much like equipment 

manufacturers, these ‘‘secondary engine 

manufacturers’’ may face difficulty in 

producing certified engines if the 

manufacturer selling the base engine 

makes an engine model unavailable 

with short notice. These secondary 

manufacturers generally each buy a 

relatively small number of engines and 

would therefore not necessarily be able 

to influence the marketing or sales 

practices of the engine selling the base 

engines. In this rulemaking, this is of 

particular concern for Large SI engine 

manufacturers subject to new standards 

in 2004. As a result, we are allowing 

secondary engine manufacturers to sell 

uncertified engines or engines certified 

at emission levels above the standard for 

a short period after emission standards 

begin to apply. However, these 

companies control the final design of 

the engines, so we would not approve 

any exemption unless the manufacturer 

committed to a plan to make up for any 

calculated loss in environmental 

benefit. For example, based on an 

alternate compliance level for 2004 

model year engines, we could calculate 

the number of 2006 model year engines 

that would need to be certified early to 

the 2007 emission standards. Provisions 

similar to these were adopted for 

commercial marine diesel engines and 

will apply equally to recreational 

marine diesel engines. See the 

regulatory text in 40 CFR 1068.255 and 

40 CFR 94.209 for additional 

information. 

D. Imports (Part 1068, Subpart D) 

In general, the same certification 

requirements apply to engines and 

equipment whether they are produced 

in the U.S. or are imported. This 

regulation also includes some additional 

provisions that apply if someone wants 

to import an exempted or excluded 

engine. For example, the importer needs 

appropriate documentation before 

importing nonconforming engines; this 

is true even if an exemption for the 

same reason doesn’t require approval for 

engines produced in the U.S. These 

declaration forms are available on the 

Internet at http://www.epa.gov/OMS/

imports/ or by phone at 202–564–9660. 

All the exemptions described above 

for new engines also apply to 

importation, though some of these apply 

only on a temporary basis. If we approve 

a temporary exemption, it is available 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68319

only for a defined period and could 

require the importer to post bond while 

the engine is in the U.S. There are 

several additional exemptions that 

apply only to imported engines. 

—Identical configuration: This is a 

permanent exemption to allow 

individuals to import engines that were 

designed and produced to meet 

applicable emission standards. These 

engines may not have the emission label 

only because they were not intended for 

sale in the United States. This 

exemption applies to all the engines 

covered by 40 CFR part 1068. 

—‘‘Antique’’ engines: We generally treat 

used engines as new if they are 

imported without a certificate of 

conformity. However, this permanent 

exemption allows for importation of 

uncertified engines if they are more than 

20 years old and still in their original 

configuration. 

—Repairs or alterations: This is a 

temporary exemption to allow 

companies to repair or modify engines. 

This exemption does not allow for 

operating the engine, except as needed 

to do the intended work. 

—Diplomatic or military: This is a 

temporary exemption to allow 

diplomatic or military personnel to use 

uncertified engines during their term of 

service in the U.S. 

—Engines subject to other programs:

This is a temporary exemption that 

allows someone to import an uncertified 

engine that will be converted for use in 

a different application. For example, 

someone may want to import a landbased nonroad engine to modify it and 

eventually sell it as a marine engine. 

This exemption expires when the 

engine modifications are complete, 

since one of the following scenarios will 

apply (1) the company modifying the 

engine will modify the engine to meet 

emission standards that apply to the 

modified engine, (2) the company will 

have a valid exemption under the 

program that applies to the modified 

engine, or (3) the modified engine will 

not be subject to emission standards, in 

which case an exemption is no longer 

necessary. 

E. Selective Enforcement Audit (Part 

1068, Subpart E) 

Clean Air Act section 206(b) gives us 

the discretion in any program with 

vehicle or engine emission standards to 

do selective enforcement auditing of 

production engines. In selective 

enforcement auditing, we choose an 

engine family and give the manufacturer 

a test order detailing a testing program 

to show that production-line engines 

meet emission standards. The regulation 

text describes the audit procedures in 

greater detail. 

We intend generally to rely on 

manufacturers’ testing of productionline engines to show that their 

production process is producing engines 

in compliance they comply with 

emission standards. However, we 

reserve our right to do selective 

enforcement auditing if, for example, we 

have reason to question the emission 

testing conducted and reported by the 

manufacturer. 

F. Defect Reporting and Recall (Part 

1068, Subpart F) 

In Part 1068, Subpart F, we are 

adopting defect reporting requirements 

that obligate manufacturers to tell us 

when they learn that emission control 

systems are defective and to conduct 

investigations under certain 

circumstances to determine if an 

emission-related defect is present. We 

are also requiring that manufacturers 

use warranty information, parts 

shipments, and any other information 

which may be available to trigger these 

investigations. For the purpose of this 

subpart, we are considering defective 

any part or system that does not 

function as originally designed for the 

regulatory useful life of the engine or 

the scheduled replacement interval 

specified in the manufacturer’s 

maintenance instructions. For 

recreational vehicles and nonroad 

spark-ignition engines over 19 kW, this 

approach to defect reporting takes into 

account the varying sales volumes of the 

different products. 

We believe the investigation 

requirement in this rule will allow both 

EPA and the engine manufacturers to 

fully understand the significance of any 

unusually high rates of warranty claims 

and parts replacement for systems or 

parts that may have an impact on 

emissions. We believe that any prudent 

and responsible engine manufacturer 

would, and should, conduct a thorough 

investigation as part of its normal 

product quality practices when in 

possession of data indicating an usually 

high number of recurring parts failures. 

In the past, defect reports were 

submitted based on a very low threshold 

with the same threshold applicable to 

all size engine families and with little 

information about the full extent of the 

problem. The new approach should 

result in fewer overall defect reports 

being submitted by manufacturers than 

would otherwise be required under the 

old defect reporting requirements 

because the number of defects triggering 

the submission requirement rises with 

the engine family size. 

The defect reporting requirements 

under other vehicle and engine 

regulations do not explicitly require 

investigations or reporting based on 

information available to the 

manufacturer about warranty claims or 

parts shipments. Such information is 

valuable and readily available to most 

manufacturers and should be 

considered when determining whether 

or not there is a defect of an emissionrelated part. 

We are aware that counting warranty 

claims and part shipments will likely 

include many claims that are not 

emission-related or that do not represent 

defects, so we are establishing a 

relatively high threshold for triggering 

the manufacturer’s responsibility to 

investigate whether there is in fact a real 

occurrence of an emission-related 

defect. Manufacturers are not required 

to count towards the investigation 

threshold any replacement parts they 

require to be replaced during the useful 

life, as specified in the application for 

certification and maintenance 

instructions to the owner, because such 

part shipments clearly do not represent 

defects.

Subpart F is intended to require 

manufacturers to use information we 

would expect them to keep in the 

normal course of business. We believe 

in most cases manufacturers will not be 

required to institute new programs or 

activities to monitor product quality or 

performance. A manufacturer that does 

not keep warranty or replacement part 

information may ask for our approval to 

use an alternate defect-reporting 

methodology that is at least as effective 

in identifying and tracking potential 

emissions related defects as the 

requirements of subpart F. However, 

until we approve such a request, the 

thresholds and procedures of subpart F 

continue to apply. 

For engines with rated power below 

560 kW, the investigation thresholds in 

40 CFR 1068.501 are 4 percent of total 

production, or 4,000 engines, whichever 

is less, for any single engine family in 

one model year. The thresholds are 

reduced by 50 percent for defects 

related to aftertreatment devices, 

because these components typically 

play such a significant role in 

controlling engine emissions. For 

example, for an engine family with a 

sales volume of 20,000 units in a given 

model year, the manufacturer must 

investigate for emission-related defects 

if there were warranty claims for 

replacing electronic control units in 800 

or more engines or catalytic converters 

on 400 or more engines. For a family 

with sales volume of 200,000 units in a 

given model year, the manufacturer 

68320 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

must investigate for emission-related 

defects if there were warranty claims for 

replacing electronic control units in 

4,000 or more engines or catalytic 

converters on 2,000 or more engines. 

For engines rated above 560 kW, each 

engine emits much greater levels of 

emissions, both because of the higher 

power rating and the fact that these 

engines generally operate at high load 

and for long periods. In addition, the 

engine family for such engines are 

typically of smaller volume compared to 

the lower power engines. We are 

therefore adopting a requirement that 

manufacturers investigate defects for 

these engines if they learn of 5 or more 

defects that may be emission-related, or 

1 percent of total production, whichever 

is greater. 

The second threshold in 40 CFR 

1068.501 specifies when a manufacturer 

must report that there is an emissionrelated defect. This threshold involves a 

smaller number of engines because each 

possible occurrence has been screened 

to confirm that it is an emission-related 

defect. In counting engines to compare 

with the defect-reporting threshold, the 

manufacturer must consider a single 

engine family and model year. However, 

when a defect report is required, the 

manufacturer must report all 

occurrences of the same defect in all 

engine families and all model years. For 

engines with rated power below 560 

kW, the threshold for reporting a defect 

is 0.25 percent of total production for 

any single engine family, or 250 defects, 

whichever is less. The thresholds are 

reduced 50 percent for reporting defects 

related to aftertreatment devices. For 

engines with rated power greater than 

560kW, the threshold for reporting 

defects is 0.5 percent of total 

production, or 2 engines, whichever is 

greater. 

If the number of engines with a 

specific defect is found to be less than 

the threshold for submitting a defect 

report, but information, such as 

warranty or parts shipment data, later 

indicates that there may be additional 

defective engines, all the information 

must be considered in determining 

whether the threshold for submitting a 

defect report has been met. If a 

manufacturer has actual knowledge 

from any source that the threshold for 

submitting a defect report has been met, 

a defect report must be submitted even 

if the trigger for investigating has not yet 

been met. For example, if manufacturers 

receive from their dealers, technical 

staff or other field personnel 

information showing conclusively that 

there is a recurring emission-related 

defect, they must submit a defect report. 

At specified times the manufacturer 

must also report the open investigations 

as well as recently closed investigations 

that did not require a defect report. One 

manufacturer indicated that 

investigations of potential defects can 

sometimes take a long time. We agree 

and, therefore, are not specifying a time 

limit for manufacturers to complete 

their investigations. The periodic 

reports required by the regulations, 

however, will allow us to monitor these 

investigations and determine if it is 

necessary or appropriate for us to take 

further action. 

In general, we believe this updated 

approach to defect reporting will 

decrease the number of defect reports 

submitted by manufacturers overall 

while significantly improving their 

quality and their value to both EPA and 

the manufacturer. 

We are adopting the defect-reporting 

requirements for recreational marine 

diesel engines that already apply to 

Category 1 commercial marine diesel 

engines (40 CFR 94.403). In general, this 

requires the manufacturer to report to us 

if they learn that 25 or more models 

have a specific defect, without 

considering what percentage of the total 

engines that represents. This applies to 

the occurrence of the same defect and is 

not constrained by engine family or 

model year. We believe it would not be 

appropriate to have different defectreporting requirements for different 

types of marine diesel engines, so we 

are not adopting the defect-reporting 

provisions described above for 

recreational marine diesel engines at 

this time. In the future we may consider 

whether the defect-reporting 

methodology described above should 

apply to recreational and commercial 

marine diesel engines. 

Under Clean Air Act section 207, if 

we determine that a substantial number 

of engines within an engine family, 

though properly used and maintained, 

do not conform to the appropriate 

emission standards, the manufacturer 

will be required to conduct a recall of 

the noncomplying engine family to 

remedy the problem. However, we also 

recognize the practical difficulty in 

implementing an effective recall 

program for nonroad engines. It may be 

difficult to properly identify all the 

affected owners absent a nationwide 

registration requirement similar to that 

for cars and trucks. The response rate 

for affected owners or operators to an 

emission-related recall notice is also a 

critical issue to consider. We recognize 

that in some cases, recalling 

noncomplying nonroad engines may not 

achieve sufficient environmental 

protection, so our intent in such 

situations is generally to allow 

manufacturers to nominate alternative 

remedial measures to address most 

potential noncompliance situations. We 

expect that successful implementation 

of appropriate alternative remediation 

would obviate the need for us to make 

a determination of substantial 

nonconformity under section 207 of the 

Act. Alternatives nominated by a 

manufacturer will be evaluated based on 

the following criteria. The alternatives 

should—

(1) Represent a new initiative that the 

manufacturer was not otherwise 

planning to perform at that time, with 

a clear connection to the emission 

problem demonstrated by the engine 

family in question; 

(2) Cost more than foregone 

compliance costs and consider the time 

value of the foregone compliance costs 

and the foregone environmental benefit 

of the engine family; 

(3) Offset at least 100 percent of the 

emission exceedance relative to that 

required to meet emission standards (or 

Family Emission Limits); and 

(4) Be possible to implement 

effectively and expeditiously and to 

complete in a reasonable time. 

These criteria, and any other 

appropriate factors, will guide us in 

evaluating projects to determine 

whether their nature and burden is 

appropriate to remedy the 

environmental impact of the 

nonconformity. 

G. Hearings (Part 1068, subpart G) 

Manufacturers have the opportunity 

to challenge our decisions related to 

implementing this final rule. We are 

adopting hearing procedures consistent 

with those currently in place for 

highway engines and vehicles.

VIII. General Test Procedures 

This rule establishes new engine 

testing regulations in 40 CFR part 1065. 

These regulations will apply to anyone 

who tests engines to show that they 

meet the emission standards for 

snowmobiles, ATV, motorcycles, or 

Large SI engines. This includes 

certification testing, as well as all 

production-line and in-use testing. See 

the program descriptions above for 

testing provisions that are unique to 

different engine categories. The 

regulatory text in 40 CFR part 1065 is 

written recognizing that we may 

someday apply these procedures more 

broadly to other EPA engine testing 

programs. If we decide to apply these 

provisions to other engines in future 

rulemaking, we would incorporate 

necessary additions or changes at that 

time. Recreational marine diesel engines 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68321

86See the final rule for commercial marine diesel 

engines for a broader discussion of maximum test 

speed (64 FR 73300, December 29, 1999).

must be tested using the procedures 

already adopted in 40 CFR part 94. 

A. General Provisions 

As we have done in previous 

programs, we are adopting specific test 

procedures to define how to measure 

emissions, but allow alternate 

procedures if they are shown to be 

equivalent to our specified procedures. 

The test procedures in 40 CFR part 1065 

are derived from our test procedures in 

40 CFR part 86 for highway heavy-duty 

gasoline engines and light-duty 

vehicles. The procedures have been 

simplified (and to some extent 

generalized) to better fit nonroad 

engines. 

B. Laboratory Testing Equipment 

The regulations do not specify the 

type of engine or chassis dynamometer 

to use during testing. Rather, they 

include performance criteria that must 

be met during each test. These criteria 

are intended to ensure that deviations 

from the specified speed and load duty 

cycle are small. 

Measuring emissions during transient 

operation calls for a greater degree of 

sophistication than steady-state testing. 

For chassis testing of recreational 

vehicles, we are adopting the 

specifications established in 40 CFR 

part 86 for highway engines. For Large 

SI engines, we based the dynamometer 

specifications around the capabilities of 

current dynamometers with enhanced 

control capabilities. While EPA 

confirmatory testing with transient duty 

cycles must meet the prescribed 

specifications, manufacturers may ask 

for approval to run tests with relaxed 

requirements for following the trace of 

the transient duty cycle. Manufacturers 

would have an incentive to accurately 

reproduce the test cycle to ensure 

compliance with emission standards, 

but would be able to use otherwise 

invalidated tests if the degree of 

variance from the test cycle does not 

call into question the engine’s reported 

emission levels. 

In addition, for transient testing with 

recreational vehicles and any testing 

with Large SI engines, the regulations 

specify that emissions must be 

measured using a full-dilution constantvolume sampler (CVS) like those used to 

measure emissions from highway 

engines. This means that during a test, 

an engine’s exhaust is routed into a 

dilution tunnel where it is mixed with 

air and then sampled using a bag 

sampler system. After the test, the 

concentrations of HC, CO, and NOX in 

the bag is measured using conventional 

laboratory analyzers. 

For Large SI engines and 

snowmobiles, the steady-state test 

procedures specify measuring emissions 

with dilute-sampling equipment. Some 

manufacturers have expressed a 

preference to continue with their 

established practice of using rawsampling equipment and procedures. 

While we believe dilute-sampling is 

most appropriate for these engines, the 

provisions for alternate testing 

procedures may allow for raw-sampling 

measurements for steady-state testing. 

As specified in 40 CFR 1065.10(c)(3) of 

the regulations, we allow manufacturers 

to use alternate procedures shown to be 

equivalent to the specified procedures. 

We are also including an interim 

provision for snowmobiles to allow 

manufacturers to use the raw-sampling 

procedures in 40 CFR part 91 for a few 

years before they are required to show 

equivalence with the dilute-sampling 

procedures. This option will allow 

manufacturers to focus their engineering 

efforts on reducing emissions during the 

start of the program. 

C. Laboratory Testing Procedures 

The specific procedures for running 

emission tests are outlined briefly here, 

with a more detailed description of the 

most significant aspects. Before testing 

the engine, it is necessary to operate it 

enough to stabilize emission levels or to 

make it more representative of in-use 

engines. This is called service 

accumulation and may take one of two 

forms. In the first method, a new engine 

is operated for up to 50 hours as a breakin period. This is done for most or all 

emission-data engines. The second 

method is much longer, up to the full 

useful life, and is done to determine 

deterioration factors. 

Once an engine is ready for testing, it 

is connected to the dynamometer with 

its exhaust flowing into the dilution 

tunnel. The dynamometer is controlled 

to make the engine follow the specified 

duty cycle. A continuous sample is 

collected from the dilution tunnel for 

each test segment or test mode using 

sample bags. These bags are then 

analyzed to determine the 

concentrations of HC, CO, and NOX. 

1. Test Speeds 

The definition of maximum test 

speed, where speed is the angular 

velocity of an engine’s crankshaft 

(usually expressed in revolutions per 

minute, or rpm), is an important aspect 

of most duty cycles. Until recently, we 

relied on engine manufacturers to 

declare reasonable rated speeds for their 

engines and then used the rated speed 

as the maximum test speed. However, to 

have a more objective measure of an 

engine’s maximum test speed, we have 

established a specific procedure for 

measuring this engine parameter.86

We define the maximum test speed 

for any engine to be the single point on 

an engine’s maximum-power versus 

speed curve that lies farthest away from 

the zero-power, zero-speed point on a 

normalized maximum-power versus 

speed plot. In other words, consider 

straight lines drawn between the origin 

(speed = 0, load = 0) and each point on 

an engine’s normalized maximumpower versus speed curve. Maximum 

test speed is defined at that point where 

the length of this line reaches its 

maximum value. For constant-speed 

engines, maximum test speed is the 

engine’s rated speed. 

Intermediate speed for steady-state 

duty cycles is defined as the speed at 

which the engine generates its 

maximum torque value. However, in 

cases where the maximum torque occurs 

at a speed that is less than 60 percent 

or greater than 75 percent of the rated 

speed, the intermediate speed is often 

specified as either 60 or 75 percent of 

rated speed, whichever is closer to the 

speed of maximum torque. The 

maximum test speed described above is 

used to calculate these percentage 

values relative to rated speed. 

2. Maintenance 

As described in Section II.C.1, we are 

limiting the amount of scheduled 

maintenance manufacturers may 

prescribe for their customers to ensure 

that engines continue to meet emission 

standards. If manufacturers specify 

unreasonably frequent maintenance, 

there would be little assurance that inuse engines would continue to operate 

at certified emission levels. We also 

apply these minimum maintenance 

intervals to engines the manufacturer 

operates for service accumulation before 

testing for emissions. For example, 

manufacturers may not install a new 

catalyst on a Large SI engine after 2,000 

hours of operation, then select that 

engine for the in-use testing program. 

Similarly, manufacturers may not 

replace fuel-system components on a 

recreational vehicle during the course of 

service accumulation for establishing 

deterioration factors. We do not restrict 

scheduling of routine maintenance 

items, such as changing engine oil and 

replacing oil, fuel, or air filters. We may 

also allow changing spark plugs, even 

though we are aware that spark plugs 

may affect emissions. 

68322 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

D. Other Testing Procedures 

As noted in earlier sections, we are 

establishing some special test 

procedures for field testing situations. 

These special procedures are designed 

to apply to specific types of engines, 

and thus do not apply generally to all 

engines covered by this rulemaking. 

You should read the specific applicable 

section to determine if such special test 

procedures apply to any specific 

category of engines or vehicles. 

IX. Projected Impacts 

This section summarizes the projected 

impacts of the emission standards. The 

anticipated reduction in emissions is 

compared with the projected cost of the 

program for an assessment of the cost 

per ton of reducing emissions for this 

rule. The section includes the results of 

the analysis for the Final Program. We 

have also analyzed the impacts of 

different alternatives for each of the 

program areas. This analysis of 

alternatives, for the most part, focused 

on more or less stringent alternative 

standards. For recreational marine 

diesels, the alternatives analyzed were 

applying draft European standards or 

implementing our primary program two 

years earlier. For the Large SI category, 

the alternative focused on adopting a 

steady-state only 2007 requirement. For 

off-highway motorcycles, we analyzed a 

more-stringent 1.0 g/km standard and a 

less-stringent 4.0 g/km standard for HC 

+ NOX control. With ATVs, the 

alternatives presented were a 2.0 g/km 

and a 1.0 g/km HC + NOX standard. For 

snowmobiles, we analyzed four 

alternatives, ranging from only adopting 

one phase of standards in 2006 to a 

standard that would require, on average, 

reductions of 85% HC and 50% CO 

from baseline emissions. Additional 

detailed discussion on these alternatives 

and the results of the alternatives 

analysis are presented in Chapter 11 of 

the RSD. 

A. Environmental Impact 

To estimate nonroad engine and 

vehicle emission contributions, we used 

the latest version of our NONROAD 

emissions model. This model computes 

emission levels for a wide variety of 

nonroad engines, and uses information 

on emission rates, operating data, and 

population to determine annual 

emission levels of various pollutants. A 

more detailed description of the 

methodology used for projecting 

inventories and projections for 

additional years can be found in the 

Chapter 6 of the Final Regulatory 

Support Document. 

Tables IX.A–1 and IX.A–2 contain the 

projected emission inventories for 

calendar year 2010 from the engines and 

vehicles subject to this rulemaking 

under the base case (i.e., without the 

standards taking effect) and assuming 

the standards take effect. Tables IX.A–

3 and IX.A–4 contain the projected 

emission inventories for calendar year 

2020. The percent reductions based on 

a comparison of estimated emission 

inventories with and without the 

emission standards are also presented in 

each of the tables.

TABLE IX.A–1.—2010 PROJECTED HC AND NOX EMISSIONS INVENTORIES

[Thousand short tons] 

Category 

HC* NOX

Base 

case 

With 

standards 

Percent 

reduction Base case With standards 

Percent reduction 

Large SI ............................................................................................. 268 88 67 389 118 70 

Snowmobiles ...................................................................................... 297 250 16 3 4 (16) 

ATVs .................................................................................................. 308 211 31 7 6 11 

Off-highway motorcycles .................................................................... 193 155 20 1.1 1.2 (8) 

Recreational marine diesel ................................................................ 1.6 1.5 10 49 46 7 

Total ........................................................................................ 1,066 705 34 450 174 61

* The estimate for Large SI includes both exhaust HC and evaporative HC emissions. The estimates for snowmobiles, ATVs and Off-highway 

motorcycles includes both exhaust HC and permeation HC emissions. The estimate for recreation marine diesel includes exhaust HC emissions. 

TABLE IX.A–2.—2010 PROJECTED CO AND PM EMISSIONS INVENTORIES

[Thousand short tons] 

Category 

CO PM 

Base 

case 

With 

standards 

Percent 

reduction 

Base 

case 

With 

standards 

Percent 

reduction 

Large SI ................................................................................................... 2,022 945 53 1.9 1.9 0 

Snowmobiles ............................................................................................ 775 670 14 7.0 6.7 4 

ATVs ........................................................................................................ 1,042 989 5 10.8 7.4 32 

Recreational marine diesel ...................................................................... 8 8 0 1.3 1.2 6 

Off-highway motorcycles .......................................................................... 266 239 10 7.3 5.8 20 

Total .............................................................................................. 4,113 2,851 31 28.3 23.0 19 

TABLE IX.A–3.—2020 HC AND NOX PROJECTED EMISSIONS INVENTORIES

[Thousand short tons] 

Category 

HC* NOX

Base 

case 

With 

standards 

Percent 

reduction Base case With standards 

Percent 

reduction 

Large SI ............................................................................................... 318 34 89 472 43 91 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68323

87For further information on learning curves, see 

Chapter 5 of the Economic Impact, from Regulatory 

Impact Analysis-Control if Air Pollution from New 

Motor Vehicles: Tier 2 Motor Vehicle Emission 

Standards and Gasoline Sulfur Control 

Requirements, EPA420-R–99–023, December 1999. 

A copy of this document is included in Air Docket 

A–2000–01, at Document No. II-A–83. The 

interested reader should also refer to previous final 

rules for Tier 2 highway vehicles (65 FR 6698, 

February 10, 2000), marine diesel engines (64 FR 

73300, December 29, 1999), nonroad diesel engines 

(63 FR 56968, October 23, 1998), and highway 

diesel engines (62 FR 54694, October 21, 1997).

TABLE IX.A–3.—2020 HC AND NOX PROJECTED EMISSIONS INVENTORIES—Continued

[Thousand short tons] 

Category 

HC* NOX

Base 

case 

With 

standards 

Percent 

reduction Base case With standards 

Percent 

reduction 

Snowmobiles ........................................................................................ 358 149 58 5 10 (101) 

ATVs .................................................................................................... 374 53 86 8 6 25 

Off-highway motorcycles ...................................................................... 232 117 50 1.3 1.5 (19) 

Recreational marine diesel .................................................................. 2.0 1.5 28 61 48 21 

Total .......................................................................................... 1,284 355 72 547 109 80 

* The estimate for Large SI includes both exhaust HC and evaporative HC emissions. The estimates for snowmobiles, ATVs and Off-highway 

motorcycles includes both exhaust HC and permeation HC emissions. The estimate for recreation marine diesel includes exhaust HC emissions. 

TABLE IX.A–4.—2020 PROJECTED CO AND PM EMISSIONS INVENTORIES

[Thousand short tons] 

Category 

CO PM 

Percent 

Base reduction 

case 

With 

standards 

Percent 

reduction 

Base 

case 

With 

standards 

Large SI ................................................................................................... 2,336 277 88 2.3 2.3 0 

Snowmobiles ............................................................................................ 950 508 46 8.4 4.9 42 

ATVs ........................................................................................................ 1,250 1,085 13 13.1 1.9 86 

Off-highway motorcycles .......................................................................... 321 236 26 8.7 4.4 50 

Recreational Marine diesel ...................................................................... 9 9 0 1.6 1.3 18 

Total .............................................................................................. 4,866 2,115 56 34.2 14.8 57 

As described in Section I, we project 

there will also be environmental 

benefits associated with reduced haze in 

many sensitive areas. 

Finally, anticipated reductions in 

hydrocarbon emissions correspond with 

reduced emissions of the toxic air 

emissions referenced in Section I. 

B. Cost Estimates 

In assessing the economic impact of 

setting emission standards, we have 

made a best estimate of the necessary 

technologies and their associated costs. 

In making our estimates we have relied 

on our own technology assessment, 

which includes information supplied by 

individual manufacturers and our own 

in-house testing. Estimated costs 

include variable costs (for hardware and 

assembly time) and fixed costs (for 

research and development, retooling, 

and certification). The analysis also 

considers total operating costs, 

including maintenance and fuel 

consumption. Cost estimates based on 

the projected technologies represent an 

expected change in the cost of engines 

as they begin to comply with new 

emission standards. All costs are 

presented in 2001 dollars. Full details of 

our cost analysis can be found in 

Chapter 5 of the Final Regulatory 

Support Document. 

Cost estimates based on the current 

projected costs for our estimated 

technology packages represent an 

expected incremental cost of vehicles in 

the near term. For the longer term, we 

have identified factors that will cause 

cost impacts to decrease over time. First, 

we project that manufacturers will 

generally recover their fixed costs over 

a five-year period, so these costs 

disappear from the analysis after the 

fifth year of production. Second, the 

analysis incorporates the expectation 

that manufacturers and suppliers will 

apply ongoing research and 

manufacturing innovation to making 

emission controls more effective and 

less costly over time. Research in the 

costs of manufacturing unrelated to 

emissions control technologies has 

consistently shown that as 

manufacturers gain experience in 

production and use, they are able to 

apply innovations to simplify 

machining and assembly operations, use 

lower cost materials, and reduce the 

number or complexity of component 

parts (see the Final Regulatory Support 

Document for additional information).87

The cost analysis assumes this learning 

effect applies equally well to the 

adoption of the technologies associated 

with this rule by decreasing estimated 

variable costs by 20 percent starting in 

the third year of production and an 

additional 20 percent starting in the 

sixth year of production.

Table IX.B–1 summarizes the 

projected near-term per unit average 

costs to meet the new emission 

standards. These estimates are based on 

the manufacturing cost rather than 

predicting price increase; the costs 

nevertheless take into account 

anticipated mark-ups to present retailprice equivalent figures. Long-term 

impacts on engine costs are expected to 

decrease as manufacturers fully 

amortize their fixed costs and learn to 

optimize their designs and production 

processes to meet the standards more 

efficiently. The tables also show our 

projections of reduced operating costs 

for some engines (calculated on a net 

present value basis), which generally 

results from substantial reductions in 

fuel consumption.

68324 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

88Chapter 5 of the Final Regulatory Support 

Document describes why we believe market forces 

haven’t already led manufacturers to add fuelsaving technologies to their products.

89The program contains an optional set of 

standards for off-highway motorcycles which could 

result in the use of direct injection two-stroke 

technology in some high-performance applications. 

Chapter 11.3 provides a cost analysis for this 

option. The costs are projected to be somewhat 

higher for this option due to the application of 

technology to high-performance competition 

models.

TABLE IX.B–1.—ESTIMATED AVERAGE COST IMPACTS OF EMISSION STANDARDS

Standards Dates 

Increased production cost per 

vehicle* 

Lifetime operating costs per 

vehicle (NPV) 

Large SI exhaust ............................................................................................................................. 2004 $611 $¥3,981 

Large SI exhaust ............................................................................................................................. 2007 55 0 

Large SI evaporative ....................................................................................................................... 2007 13 ¥56 

Snowmobile exhaust (Phase 1) ....................................................................................................... 2006 73 ¥57 

Snowmobile exhaust (Phase 2) ....................................................................................................... 2010 131 ¥286 

Snowmobile exhaust (Phase 3) ....................................................................................................... 2012 89 ¥191 

Snowmobile permeation .................................................................................................................. 2008 7 ¥11 

ATV exhaust .................................................................................................................................... 2006 84 ¥24 

ATV permeation ............................................................................................................................... 2008 3 ¥6 

Off-highway motorcycle exhaust ..................................................................................................... 2006 155 ¥48 

Off-highway motorcycle peermeation .............................................................................................. 2008 3 ¥5 

Recreational ..................................................................................................................................... 2006 346 0 

* These estimates are for near-term costs. The estimated long-term costs decrease by about 35 percent. Costs presented for the Large SI and 

snowmobile second-phase standards are incremental to the first-phase standards. Costs for Phase 3 are incremental to Phase 2. These costs 

numbers may not necessarily reflect actual price increases as manufacturer production costs, perceived product enhancements, and other market impacts will affect actual prices to consumers. 

We estimate that the anticipated 

increase in the near-term cost of 

producing new Large SI engines for the 

2004 standards is estimated to range 

from $550 to $800, depending on fuel 

type, with a composite estimated cost of 

$605. This cost is attributed to 

upgrading engines to operate with 

closed-loop fuel systems and three-way 

catalysts. These technologies also 

improve the overall performance of 

these engines, including improvements 

to fuel economy that result in reduced 

operating costs that fully offset the 

additional hardware cost. We further 

estimate additional costs of $50 for the 

2007 standards, which primarily 

involve additional development time to 

optimize engines using the same closedloop systems with three-way catalysts. 

While these costs are a small percentage 

of the cost of industrial equipment, we 

are aware that this may not be 

insignificant in this very competitive 

market. Given the compelling 

advantages of improved performance 

and reduced operating expenses, 

however, we believe manufacturers will 

generally be able to recover their costs 

over time.88

Projected average near-term costs for 

ATVs and off-highway motorcycles are 

$84 and $155 per unit, respectively. 

Standards are based on the emissioncontrol capability of engines four-stroke 

engines.89 Those models that convert 

from two-stroke to four-stroke 

technology will see substantial fuel 

savings in addition to greatly reduced 

emissions. With an averaging program 

that allows manufacturers to apply 

varying degrees of technology to 

different models, we believe they will 

be able to tailor emission controls in a 

way that reflects the performance needs 

for their products. Fuel savings 

associated with replacing two-stroke 

engines with four-stroke engines 

partially offsets the additional cost of 

producing these vehicles.

We expect that the near-term cost of 

the 2006 snowmobile standards will 

average $73 per snowmobile. These 

costs are based on a mix of technologies 

including a small increase in the use of 

four-stroke and direct injection 

technology. For other engines we expect 

manufacturers to lean out the air-fuel 

mixture, improve carburetion for better 

fuel control and less production 

variation, and modify the engine to 

withstand higher temperatures and 

potential misfire episodes attributed to 

enleanment. We expect that the 2010 

and 2012 standards will be met through 

inceasing the application of direct 

injection two-stroke technology and 

four-stroke engines on a significant 

portion of the fleet. We project that the 

near-term incremental cost of the Phase 

2 standards will average $131 per 

snowmobile and Phase 3 will be $89, 

although we believe these costs will be 

fully offset by fuel savings. 

Recreational marine diesel engines are 

expected to see increased costs 

averaging under $400 per engine in the 

near-term. We expect manufacturers to 

meet emission standards by improving 

fuel injection systems and making 

general design changes to the 

geometries, configurations, and 

calibrations of their engines. These 

figures are somewhat lower than we 

have projected for the comparable 

commercial marine engines, since the 

recreational models generally already 

have some of the emission-control 

technologies needed to meet the 

emission standards. 

The above analysis presents unit cost 

estimates for each type of engine or 

vehicle. These costs represent the total 

set of costs the engine or vehicle 

manufacturers will bear to comply with 

emission standards. For those categories 

with engine-based standards, we do not 

anticipate significant new costs for 

equipment manufacturers installing 

certified engines. Operating costs are 

also taken into account, but where there 

is an effect, we project these impacts to 

involve only cost savings for operators. 

With current and projected estimates of 

engine and equipment sales, we 

translate these costs into projected 

direct costs to the nation for the new 

emission standards in any year. A 

summary of the annualized costs to 

manufacturers by equipment type is 

presented in Table IX.B–2. (The 

annualized costs are determined over 

the first twenty years that the standards 

will be in effect. Because the standards 

take effect in different years for the 

various categories of equipment covered 

by this rule, the aggregate annualized 

cost is calculated over a slightly longer 

period of time encompassing the first 

twenty years of each of the standards. 

For this reason, the aggregate 

annualized cost is not the sum of the 

individual annualized costs.) The 

annual cost savings due to reduced 

operating expenses start slowly, then 

increase as greater numbers of 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68325

compliant engines enter the fleet. Table 

IX.B–2 also presents a summary of the 

annualized reduction in operating costs. 

Overall, based on currently available 

information, we project an annualized 

net savings to the economy of 

approximately $200 million per year.

TABLE IX.B–2—ESTIMATED ANNUAL COST TO MANUFACTURERS AND ANNUAL SAVINGS FROM REDUCED OPERATING

COSTS OF EMISSION STANDARDS

Engine type 

Annualized cost 

to manufacturers (millions/

year) 

Annualized savings from reduced operating 

costs (millions/

year) 

Large SI ............................................................................................................................................................... $84 $324 

Snowmobiles ........................................................................................................................................................ 36 47 

ATVs .................................................................................................................................................................... 61 31 

Off-highway motorcycles ..................................................................................................................................... 25 14 

Marine Diesel ....................................................................................................................................................... 7 0

Aggregate * .......................................................................................................................................................... 192 410 

* Because the standards take effect in different years for the various categories of equipment, the aggregate annualized cost is calculated over 

a slightly longer period of time. For this reason, the aggregate annualized cost is not the sum of the individual annualized costs. 

C. Cost Per Ton of Emissions Reduced 

We calculated the cost per ton of 

emission reductions for the emission 

standards. For snowmobiles, this 

calculation is on the basis of HC and CO 

emissions. For all other engines, we 

attributed the entire cost of the program 

to the control of ozone precursor 

emissions (HC or NOX or both). 

Table IX.C–1 presents the near-term 

discounted cost-per-ton estimates for 

the various engines covered by the rule. 

(The aggregate cost-per-ton estimates are 

over the first 20 years of emission 

standards.) Reduced operating costs 

more than offset the increased cost of 

producing the cleaner engines for Phase 

1 Large SI, and Phase 2 and Phase 3 

snowmobile engines. The cost to society 

and the associated cost-per-ton figures 

for these engines, and the aggregate 

values for all engines covered by this 

rule, therefore show a net savings 

resulting from the emission standards. 

The table presents these as $0 per ton, 

rather than calculating a negative value 

that has no clear meaning.

TABLE IX.C–1.—ESTIMATED COST-PER-TON OF EMISSION STANDARDS

Standards Dates 

Discounted 

reductions 

per vehicle 

(short 

tons) * 

Discounted cost per ton 

of HC+NOX

Discounted cost 

per ton of CO 

Without 

fuel savings 

With fuel 

savings 

Without 

fuel savings 

With 

fuel 

savings 

Large SI exhaust (Composite of all fuels) .................................................. 2004 3.07 $240 $0 — —

Large SI exhaust (Composite of all fuels) .................................................. 2007 0.80 80 80 —

Large SI evaporative .................................................................................. 2007 0.13 80 0 —

Snowmobile exhaust ................................................................................... 2006 HC: 0.40 90 20 $40 $10 

CO: 1.02 

Snowmobile exhaust ................................................................................... 2010 HC: 0.10 1,370 0 — —

Snowmobile exhaust ................................................................................... 2012 CO: 0.25 — — 360 0 

Snowmobile permeation ............................................................................. 2008 0.03 210 0 — —

ATV exhaust ............................................................................................... 2006 0.21 400 290 — —

ATV permeation .......................................................................................... 2008 0.02 180 0 — —

Off-highway motorcycle exhaust ................................................................ 2006 0.38 410 280 — —

Off-highway motorcycle permeation ........................................................... 2008 0.01 230 0 — —

Recreational marine diesel ......................................................................... 2006 0.44 670 670 — —

Aggregate ................................................................................................... — — 240 0 80 0 

* HC reductions for evaporative and permeation, and HC+NOX reductions for exhaust (except snowmobiles where CO reductions are also 

presented). 

D. Economic Impact Analysis 

We performed an analysis to estimate 

the economic impacts of this final rule 

on producers and consumers of 

recreational marine diesel vessels 

(specifically, diesel inboard cruisers), 

forklifts, snowmobiles, ATVs, offhighway motorcycles, and society as a 

whole. This economic impact analysis 

focuses on market-level changes in 

price, quantity, and economic welfare 

(social gains or costs) associated with 

the regulation. A description of the 

methodology used can be found in 

Chapter 9 of the Final Regulatory 

Support Document prepared for this 

rulemaking. 

We did not perform an economic 

impact analysis for categories of Large 

SI nonroad engines other than forklifts, 

even though those other Large SI 

engines are also subject to the standards 

contained in this final rule. As 

explained in more detail in Chapter 9 of 

the Final Regulatory Support Document, 

this was due to the large number of 

different types of equipment that use 

Large SI engines and data availability 

constraints for those market segments. 

For the sake of completeness, the 

following analysis reports separate 

estimates for Large SI engines other than 

forklifts. Engineering costs are assumed 

68326 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

90Consumer and producer surplus losses are 

measures of the economic welfare loss consumers 

and producers, respectively are likely to experience 

as a result of the regulations. Combined these losses 

represent an estimate of the economic or social 

costs of the rule. Note that for the Large SI and 

recreational vehicle rules, fuel efficiency gains must 

be netted from surplus losses to estimate the social 

costs or social gains (in cases where fuel efficiency 

gains exceed surplus losses) attributable to the 

rules. 91Regulatory Impact Analysis: Heavy-Duty 

Engine and Vehicle Standards and Highway Diesel 

Fuel Sulfur Control Requirements, document 

EPA420–R–00–026, December 2000. Docket No. A–

2000–01, Document No. II–A–13. This document is 

also available at http://www.epa.gov/otaq/

diesel.htm#documents. The transfer technique is 

described in a memorandum, Dr. Bryan Hubbell, 

Senior Economist, Estimated Nox, Sox, and PM 

Emissions Health Damages for Heavy Duty Vehicle 

Emissions, April 22, 2002. A copy of this letter can 

be found in Docket A–2000–01, Document IV–A–

146.

92The section 812 studies include: (1) U.S. EPA, 

Report to Congress: The Benefits and Costs of the 

Clean Air Act, 1970 to 1990, October 1997 (also 

known as the ‘‘Section 812 Retrospective Report’’); 

to be equal to economic costs for those 

engines. This approach slightly 

overestimates the social costs associated 

with the relevant standards. 

Based on the estimated regulatory 

costs associated with this rule and the 

predicted changes in prices and 

quantity produced in the affected 

industries, the total estimated annual 

social gains of the rule in the year 2030 

is projected to be $553.5 million (in 

2000 and 2001 dollars). The net present 

value of the social gains for the 2002 to 

2030 time frame is equal to $4.9 billion, 

using a 3% discount rate. This value 

would be $2.4 billion with a 7% 

discount rate. The social gains are equal 

to the fuel savings minus the combined 

loss in consumer and producer surplus 

(see Table IX.D–1), taking into account 

producers’ and consumers’ changes in 

behavior resulting from the costs 

associated with the rule.90 Social gains 

do not account for the social benefits 

(the monetized health and 

environmental effects of the rule).

TABLE IX.D–1.—SURPLUS LOSSES, FUEL EFFICIENCY GAINS, AND SOCIAL GAINS/COSTS IN 2030 a

Vehicle category 

Surplus losses 

in 2030

($ millions) 

Fuel efficiency 

gains in 2030

($ millions) 

Social gains/

costs in 2030 b

($ millions) 

Recreational marine diesel vessels ......................................................................................... $6.6 $0 ($6.6) 

Forklifts .................................................................................................................................... 47.8 420.1 372.3 

Other Large SI ......................................................................................................................... c 48.1 138.4 90.3 

Snowmobiles ............................................................................................................................ 41.9 135.0 93.1 

ATVs ........................................................................................................................................ 47.2 51.4 4.2 

Off-highway motorcycles ......................................................................................................... 25.0 25.2 0.2 

All vehicles total ....................................................................................................................... 216.6 770.1 553.5 

NPV of all vehicles total d ........................................................................................................ 3,231.4 8,130.3 4,898.9

NPV of all vehicles total e ......................................................................................................... 1,889.5 4,282.3 2,392.8 

aFigures are in 2000 and 2001 dollars. 

bFigures in this column exclude estimated social benefits. Numbers in parentheses denote social costs. 

cFigure is engineering costs; see text for explanation. 

d Net Present Value is calculated over the 2002 to 2030 time frame using a 3 percent discount rate. 

e Net Present Value is calculated over the 2002 to 2030 time frame using a 7 percent discount rate. 

For most of the engine categories 

contained in this rule, we expect there 

will be a fuel savings as manufacturers 

redesign their engines to comply with 

emission standards. For ATVs and offhighway motorcycles, the fuel savings 

will be realized as manufacturers switch 

from two-stroke to four-stroke 

technologies. For snowmobiles, the fuel 

savings will be realized as 

manufacturers switch some of their 

engines to more fuel efficient two-stroke 

technologies and some of their engines 

to four-stroke technologies. For Large SI 

engines, the fuel savings will be realized 

as manufacturers adopt more 

sophisticated and more efficient fuel 

systems; this is true for all fuels used by 

Large SI engines. Overall, we project the 

fuel savings associated with the 

anticipated changes in technology to be 

about 800 million gallons per year once 

the program is fully phased in. These 

savings are factored into the calculated 

costs and costs per ton of reduced 

emissions, as described above. 

E. Do the Benefits Outweigh the Costs of 

the Standards? 

While EPA uses relative costeffectiveness as the primary manner to 

take costs into consideration, further 

insight regarding the standards can be 

provided by benefit-cost analysis. The 

purpose of this section is to summarize 

the methods we used and results we 

obtained in conducting an analysis of 

the economic benefits of the changes in 

emissions from engines covered by this 

rule, and to compare these economic 

benefits with the estimated economic 

costs of the rule. In summary, the results 

of our analysis indicate that the 

economic benefits of the final standards 

will exceed the costs of meeting the 

standards. The annual estimated 

benefits we were able to quantify were 

approximately $10 billion in 2030. 

1. What Was Our Overall Approach to 

the Benefit-Cost Analysis? 

The basic question we sought to 

answer in the benefit-cost analysis was, 

‘‘What are the net yearly economic 

benefits to society of the reduction in 

mobile source emissions likely to be 

achieved by this final rulemaking?’’ In 

designing an analysis to address this 

question, we selected a future year for 

analysis (2030) that is representative of 

full-implementation of the program (i.e., 

when the Large SI and recreational 

vehicle fleet is composed of virtually 

only compliant vehicles). 

To quantify benefits, we evaluated 

PM-related health effects (including 

directly emitted PM and NOX

contribution to particulate nitrate) using 

a benefits transfer technique. Although 

we expect economic benefits to exist, 

we were unable to quantify or to value 

specific changes in visibility, ozone, CO 

or air toxics because we did not perform 

additional air quality modeling. 

To evaluate the PM-related health 

effects, we adopted a benefits transfer 

technique that relies on the extensive 

particulate matter air quality and 

benefits modeling conducted for the 

highway Heavy Duty Engine/Diesel Fuel 

final rule.91 That RIA used an analytical 

structure and sequence similar to that 

used in the ‘‘section 812 studies’’ to 

estimate the total benefits and costs of 

the full Clean Air Act.92 In the HD 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68327

and (2) the first in the ongoing series of prospective 

studies estimating the total costs and benefits of the 

Clean Air Act (see EPA report number: EPA–410–

R–99–001, November 1999). See Docket A–99–06, 

Document II–A–21.

93 In the original HD Engine/Diesel Fuel analysis, 

we modeled air quality and benefits in 2030. There 

are sufficient non-linearities and interactions 

among pollutants in the atmospheric chemistry that 

introduce additional uncertainties in the 

quantitative estimate of the benefits in years that 

were not fully modeled in the original analysis.

94SAB advised that the EPA ‘‘continue to use a 

wage-risk-based VSL as its primary estimate, 

including appropriate sensitivity analyses to reflect 

the uncertainty of these estimates,’’ and that ‘‘the 

only risk characteristic for which adjustments to the 

VSL can be made is the timing of the risk’’ (EPASAB-EEAC–00–013; a copy of this document can be 

found in Docket A–99–06, Document No. IV–A–19). 

In developing our primary estimate of the benefits 

of premature mortality reductions, we have 

appropriately discounted over the lag period 

between exposure and premature mortality. 

However, an empirical basis that meets the SAB’s 

standards of reliability for adjusting the current $6 

million VSL for many of these factors does not yet 

exist. A discussion of these factors is contained in 

the RIA and supporting documents. EPA recognizes 

the need for additional research by the scientific 

community to develop additional empirical support 

for adjustments to VSL for the factors mentioned 

above.

Engine/Diesel Fuel analysis, we used 

many of the same models and 

assumptions used in the section 812 

studies as well as other Regulatory 

Impact Analyses (RIAs) prepared by the 

Office of Air and Radiation. By adopting 

the major design elements, models, and 

assumptions developed for the section 

812 studies and other RIAs, we have 

largely relied on methods which have 

already received extensive review by the 

independent Science Advisory Board 

(SAB), by the public, and by other 

federal agencies. Although the 

underlying method has experienced 

significant review, the transfer of values 

from an existing primary benefits 

analysis to estimate the benefits of a 

new program has not had this type of 

review and the transfer technique 

introduces additional uncertainties.

2. What Are the Significant Limitations 

of the Benefit-Cost Analysis? 

Every benefit-cost analysis examining 

the potential effects of a change in 

environmental protection requirements 

is limited to some extent by data gaps, 

limitations in model capabilities (such 

as geographic coverage), and 

uncertainties in the underlying 

scientific and economic studies used to 

configure the benefit and cost models. 

Deficiencies in the scientific literature 

often result in the inability to estimate 

quantitative changes in health and 

environmental effects, such as potential 

increases in premature mortality 

associated with increased exposure to 

carbon monoxide. Deficiencies in the 

economics literature often result in the 

inability to assign economic values even 

to those health and environmental 

outcomes which can be quantified. 

While these general uncertainties in the 

underlying scientific and economics 

literatures, which can cause the 

valuations to be higher or lower, are 

discussed in detail in the Final 

Regulatory Support Document and its 

supporting documents and references, 

the key uncertainties which have a 

bearing on the results of the benefit-cost 

analysis of this final rule include the 

following: 

• The exclusion of potentially 

significant benefit categories (such as 

health and ecological benefits of 

reduction in hazardous air pollutants 

emissions and ozone; improvements in 

visibility); 

• Errors in measurement and 

projection for variables such as 

population growth; 

• Uncertainties in the estimation of 

future year emissions inventories and 

air quality; 

• Uncertainties associated with the 

transfer of the results of the HD Engine/

Diesel Fuel analysis to this program, 

especially regarding the assumption of 

similarity in geographic distribution 

between emissions and human 

populations and years of analysis;93

• Variability in the estimated 

relationships of health and welfare 

effects to changes in pollutant 

concentrations; 

• Uncertainties in exposure 

estimation; 

• Uncertainties in applying 

willingness to pay estimates from 

National Park and Forest visitors to U.S. 

recreational participants and 

uncertainties in average number of 

activity days per year; and 

• Uncertainties associated with the 

effect of potential future actions to limit 

emissions. 

Despite these uncertainties, we 

believe the benefit-cost analysis 

provides a reasonable indication of the 

expected economic benefits of the final 

rulemaking in future years under a set 

of assumptions. 

One key area of uncertainty is the 

value of a statistical life (VSL) for 

reductions in mortality risk. The 

adoption of a value for the projected 

reduction in the risk of premature 

mortality is the subject of continuing 

discussion within the economic and 

public policy analysis community. In 

accordance with the independent 

Science Advisory Board advice,94 we 

use the value of a statistical life (VSL) 

for risk reductions in mortality in our 

primary estimate. Alternative 

calculations of adjustment for age and 

other factors are presented in the RIA 

for the HD Engine/Diesel Fuel rule and 

in the RSD for this rule. The 

presentation of the other alternative 

calculations for certain endpoints seeks 

to demonstrate how much the overall 

benefit estimate might vary based on the 

value EPA has given to a parameter 

(which has uncertainty associated with 

it) underlying the estimates for human 

health and environmental effect 

incidence and the economic valuation 

of those effects. These alternative 

calculations represent conditions that 

might occur; however, EPA has selected 

the best values supported by current 

scientific literature for use in the 

primary estimate. The primary estimate 

is the source for our benefits transfer 

technique.

Even with our efforts to fully disclose 

the uncertainty in our estimate, our 

uncertainty presentation method does 

not provide a definitive or complete 

picture of the true range of monetized 

benefits estimates. The set of alternative 

calculations is only representative of 

those benefits that we were able to 

quantify and monetize. 

3. What Are the benefits In the Years 

Leading Up to 2030? 

The final rule has various cost and 

emission related components, as 

described earlier in this section. These 

components would begin at various 

times and in some cases would phase in 

over time. This means that during the 

early years of the program there would 

not be a consistent match between cost 

and benefits, especially where the full 

vehicle cost would be incurred at the 

time of vehicle purchase, while the fuel 

savings along with the emission 

reductions and benefits resulting from 

all these costs would occur throughout 

the lifetime of the vehicle. Because of 

this inconsistency and our desire to 

more appropriately match the costs and 

emission reductions of our program, our 

analysis uses a future year (2030) when 

the fleet is nearly fully turned over. 

In the years before 2030, the benefits 

from the final rule will be less than 

those estimated here, because the 

compliant vehicle fleet will not be fully 

phased in, and the overall U.S. 

population would be smaller. 

Annualized costs, on the other hand, 

reach nearly their full value within a 

few years of program initiation (once all 

phase-ins are completed). Thus, a 

benefit-cost ratio computed for the 

earlier years of the program would be 

expected to be lower than a ratio based 

on our 2030 analysis when the fleet has 

fully turned over. The stream of costs 

and the limited set of quantified benefits 

over time are presented in the Final 

68328 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

95Based upon recent preliminary findings by the 

Health Effects Institute, the concentration-response 

functions used to estimate reductions in hospital 

admissions may over- or underestimate the true 

concentration-response relationship. See Letter 

from Dan Greenberg, President, Health Effects 

Institute, May 30, 2002, attached to letter from Dr. 

Hopke, dated August 8, 2002. Docket A–2000–01, 

Document IV–A–145.

96Our estimate also incorporates significant 

reductions in 27,000 fewer cases of lower 

respiratory symptoms, and 26,600 fewer cases of 

upper respiratory symptoms in asthmatic children 

each year. In addition, we estimate that this final 

rule will reduce 23,400 incidents of asthma attacks 

each year in asthmatics of all ages from reduced 

exposure to particles. Additional incidents would 

be avoided from reduced ozone exposures. Asthma 

is the most prevalent chronic disease among 

children and currently affects over seven percent of 

children under 18 years of age.

Regulatory Support Document. On the 

other hand, since the estimated benefits 

are more than 40 times the costs 

(excluding fuel savings) in 2030, the 

emission reduction and cost trends 

suggest that it is likely that annual 

benefits would exceed costs from a time 

early in the life of the program. 

4. What Were the Results of the BenefitCost Analysis? 

The benefit-cost analysis for the final 

rule reflects a single year picture of the 

yearly benefits and costs expected to be 

realized once the standards have been 

fully implemented and non-compliant 

vehicles have all been retired. 

Table IX.E–1 presents EPA’s primary 

estimate of the benefits of the rule, both 

the estimated reductions in incidences 

and the estimated economic value of 

those incidence reductions. In 

interpreting the results, it is important 

to keep in mind the limited set of effects 

we are able to monetize. Specifically, 

the table lists the avoided PM-related 

incidences of health effects and the 

estimated economic value of those 

avoided incidences.95 We present 

estimates for the reductions for the 

Large SI category only. As the table 

indicates, we estimate that the final rule 

will reduce premature mortality 

associated with fine PM by around 

1,000 incidences per year, produce 

about 600 fewer cases of chronic 

bronchitis, and result in significant 

reductions in minor restricted activity 

days (with an estimated 1 million fewer 

cases).96

TABLE IX.E–1.—EPA PRIMARY ESTIMATE OF THE ANNUAL QUANTIFIED AND MONETIZED BENEFITS ASSOCIATED WITH

IMPROVED PM AIR QUALITY RESULTING FROM THE LARGE SI/RECREATIONAL VEHICLE RULE IN 2030 a

PM-related endpoint Avoided incidence a,c

(cases/year) 

Monetary benefits a,d

(millions 2002 $) 

Premature mortality a,b (adults, ages 30 and over) ........................................................................ 1,000 .......................... $7,510 

Chronic bronchitis .......................................................................................................................... 640 ............................. $280 

Hospital Admissions from Respiratory Causes g ........................................................................... 300 ............................. <$10 

Hospital Admissions from Cardiovascular Causes g ...................................................................... 300 ............................. <$10 

Emergency Room Visits for Asthma .............................................................................................. 300 ............................. <$1 

Acute bronchitis (children, ages 8–12) .......................................................................................... 2,200 .......................... <$1

Upper respiratory symptoms (asthmatic children, ages 9–11) ...................................................... 20,600 ........................ <$1 

Lower respiratory symptoms (children, ages 7–14) ...................................................................... 23,700 ........................ <$1 

Asthma attacks (asthmatics, all ages) a ......................................................................................... 20,600 ........................ <$1 

Work loss days (adults, ages 18–65) ............................................................................................ 181,300 ...................... $20

Minor restricted activity days (adults, ages 18–65) (adjusted to exclude asthma attacks) a ........ 944,400 ...................... $50 

Other health effects e ...................................................................................................................... U1+U2+U3+U4 ............. B1+B2+B3+B4

Monetized Total f ..................................................................................................................... ..................................... $7,880 + B 

aOzone-related benefits are not included, thus underestimating national benefits. Relative to PM related benefits, ozone benefits have typically 

accounted for only a small portion of total benefits. However, ozone reductions can have a significant impact on asthma attacks in asthma sufferers, as well as contributing to reductions in the overall number of minor restricted activity days. bThe value we are transferring assumes that some of the incidences of premature mortality related to PM exposures occur in a distributed 

fashion over the five years following exposure, and it embeds an annual three percent discount rate to the value of premature mortality occurring 

in years after our analysis year. c Incidences are rounded to the nearest 100. 

d Dollar values are rounded to the nearest 10 million. Monetary benefits account for growth in real GDP per capita through 2030. 

eThe Ui are the incidences and the Bi are the values for the unquantified category i. A detailed listing of unquantified PM, ozone, CO, and HC 

related health and welfare effects is provided in Table IX–E.2. Many of the HC emitted from these vehicles are also hazardous air pollutants listed in the Clean Air Act. fB is equal to the sum of all unmonetized categories, i.e., Ba+B1+B2+ * * * +Bn. gBased upon recent preliminary findings by the Health Effects Institute, the concentration-response functions used to estimate reductions in 

hospital admissions may over- or under-estimate the true concentration-response relationship. 

Total monetized benefits are driven 

primarily by the reduction in premature 

fatalities each year, which account for 

over 80 percent of total benefits. 

This table also indicates with a ‘‘B’’

those additional health and 

environmental benefits which could not 

be expressed in quantitative incidence 

and/or economic value terms. A full 

listing of the benefit categories that 

could not be quantified or monetized in 

our estimate are provided in Table IX.E–

2. The final rule may also provide some 

visibility improvements in Class I areas 

and near where people live, work, and 

recreate. A full appreciation of the 

overall economic consequences of the 

final standards requires consideration of 

all benefits and costs expected to result 

from the new standards, not just those 

benefits and costs which could be 

expressed here in dollar terms.

TABLE IX.E–2.—ADDITIONAL, NONMONETIZED BENEFITS OF THE LARGE

SI/RECREATIONAL VEHICLE STANDARDS

Pollutant Unquantified effects 

Ozone Health Premature mortality.a

Increased airway responsiveness to stimuli. 

Inflammation in the lung. 

Chronic respiratory damage. 

Premature aging of the 

lungs. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68329

TABLE IX.E–2.—ADDITIONAL, NONMONETIZED BENEFITS OF THE LARGE

SI/RECREATIONAL VEHICLE STANDARDS—Continued

Pollutant Unquantified effects 

Acute inflammation and respiratory cell damage. 

Increased susceptibility to 

respiratory infection. 

Non-asthma respiratory 

emergency room visits. 

Increased school absence 

rates 

Ozone Welfare Decreased yields for commercial forests (for example, Western US). 

Decreased yields for fruits 

and vegetables. 

Decreased yields for noncommercial crops. 

Damage to urban ornamental plants. 

Impacts on recreational demand from damaged forest aesthetics. 

Damage to ecosystem functions 

PM Health ...... Infant mortality. 

Low birth weight. 

Changes in pulmonary function. 

Chronic respiratory diseases 

other than chronic bronchitis. 

Cardiac endpoints. 

Morphological changes. 

Altered host defense mechanisms. 

Cancer. 

Non-asthma respiratory 

emergency room visits 

PM Welfare .... Visibility in Class I areas. 

Residential and recreational 

visibility in non-Class I 

areas. 

Soiling and materials damage. 

Damage to ecosystem functions 

Nitrogen and 

Sulfate Deposition Welfare.

Impacts of acidic sulfate and 

nitrate deposition on commercial forests 

Impacts of acidic deposition 

to commercial freshwater 

fishing. 

Impacts of acidic deposition 

to recreation in terrestrial 

ecosystems. 

Reduced existence values 

for currently healthy ecosystems. 

Impacts of nitrogen deposition on commercial fishing, 

agriculture, and forests. 

TABLE IX.E–2.—ADDITIONAL, NONMONETIZED BENEFITS OF THE LARGE

SI/RECREATIONAL VEHICLE STANDARDS—Continued

Pollutant Unquantified effects 

Impacts of nitrogen deposition on recreation in estuarine ecosystems. 

Damage to ecosystem functions 

CO Health ...... Premature mortalitya. 

Behavioral effects. 

Hospital admissions—respiratory, cardiovascular, 

and other. 

Other cardiovascular effects 

Developmental effects. 

Decreased time to onset of 

angina. 

Non-asthma respiratory ER 

visits 

HC Health b .... Cancer (benzene, 1,3-butadiene, formaldehyde, acetaldehyde). 

Anemia (benzene). 

Disruption of production of 

blood components 

(benzene). 

Reduction in the number of 

blood platelets (benzene). 

Excessive bone marrow formation (benzene). 

Depression of lymphocyte 

counts (benzene) 

Reproductive and developmental effects (1,3-butadiene). 

Irritation of eyes and mucus 

membranes 

(formaldehyde). 

Respiratory irritation 

(formaldehyde). 

Asthma attacks in 

asthmatics 

(formaldehyde). 

Asthma-like symptoms in 

non-asthmatics 

(formaldehyde). 

Irritation of the eyes, skin, 

and respiratory tract 

(acetaldehyde). 

Upper respiratory tract irritation and congestion 

(acrolein) 

TABLE IX.E–2.—ADDITIONAL, NONMONETIZED BENEFITS OF THE LARGE

SI/RECREATIONAL VEHICLE STANDARDS—Continued

Pollutant Unquantified effects 

HC Welfare .... Direct toxic effects to animals. 

Bioaccumulation in the food 

chain. 

Damage to ecosystem function 

aPremature mortality associated with ozone 

and carbon monoxide is not separately included in this analysis. In this analysis, we assume that the ACS/Krewski, et al. C–R function for premature mortality captures both PM 

mortality benefits and any mortality benefits 

associated with other air pollutants. A copy of 

Krewski, et al., can be found in Docket A–99–

06, Document No. IV–G–75. b Many of the key hydrocarbons related to 

this rule are also hazardous air pollutants listed in the Clean Air Act. 

In summary, EPA’s primary estimate 

of the benefits of the final rule is 

approximately $7.8 billion in 2030. This 

estimate accounts for growth in real 

gross domestic product (GDP) per capita 

between the present and 2030. 

The estimated social cost (measured 

as changes in consumer and producer 

surplus) in 2030 to implement the final 

rule from Table IX.D–1 above is $217 

million (2001$). The net social gain, 

considering fuel efficiency, is $554 

million. The monetized benefits are 

approximately $7.8 billion, and EPA 

believes there is considerable value to 

the public of the benefits it could not 

monetize. The net benefit that can be 

monetized is $8.4 billion. Therefore, 

implementation of the final rule is 

expected to provide society with a net 

gain in social welfare based on 

economic efficiency criteria. Table IX.E–

3 summarizes the costs, benefits, and 

net benefits. 

The net present value of the future 

benefits have been calculated using a 

3% discount rate over the 2002 to 2030 

time frame. The net present value of the 

social gains is $4,899 million and the 

net present value of the total annual 

benefits is $77,177 million + B. 

Consequently, the net present value of 

the monetized net benefits of this 

program is $82,076 million. If a 

discount rate of 7% is used, the values 

above change to $2,393 million for 

social gains and $40,070 million + B for 

total benefits, giving a total of $42,463 

million.

TABLE IX.E–3.—2030 ANNUAL MONETIZED COSTS, BENEFITS, AND NET BENEFITS FOR THE FINAL RULE

Millions of 2001 $ a

Social Gains f ..................................................................................................................................................... $550 

68330 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

TABLE IX.E–3.—2030 ANNUAL MONETIZED COSTS, BENEFITS, AND NET BENEFITS FOR THE FINAL RULE—Continued

Millions of 2001 $ a

Monetized PM-related benefits b,c ...................................................................................................................... $7,880 + BPM

Monetized Ozone-related benefits b,d ................................................................................................................. Not monetized (BOzone) 

HC-related benefits ............................................................................................................................................ Not monetized (BHC) 

CO-related benefits ............................................................................................................................................ Not monetized (BCO) 

Total annual benefits .......................................................................................................................................... $7,880 +BPM + BOzone + BHC + BCO

Monetized net benefits e ..................................................................................................................................... $8,430 + B 

aFor this section, all costs and benefits are rounded to the nearest 10 million. Thus, figures presented in this chapter may not exactly equal 

benefit and cost numbers presented in earlier sections of the chapter. b Not all possible benefits or disbenefits are quantified and monetized in this analysis. Potential benefit categories that have not been quantified 

and monetized are listed in Table IX–E.2. Unmonetized PM- and ozone-related benefits are indicated by BPM. and BOzone, respectively. cBased upon recent preliminary findings by the Health Effects Institute, the concentration-response functions used to estimate reductions in 

hospital admissions may over- or under-estimate the true concentration-response relationship. dThere are substantial uncertainties associated with the benefit estimates presented here, as compared to other EPA analyses that are supported by specific modeling. This analysis used a benefits transfer technique described in the RSD. eB is equal to the sum of all unmonetized benefits, including those associated with PM, ozone, CO, and HC. 

fThe social gains are equal to the fuel savings minus the combined loss in consumer and producer surplus. 

X. Public Participation 

A wide variety of interested parties 

participated in the rulemaking process 

that culminates with this final rule. This 

process provided several opportunities 

for public comment over a period of 

more than two years. An Advance 

Notice of Proposed Rulemaking (65 FR 

76797, December 7, 2000) announced 

our intent to address emissions from 

these engines. Comments received 

during this period were considered in 

the development of the proposal and are 

discussed in that document. These 

comments included information 

received from small businesses as a part 

of the inter-agency Small Business 

Advocacy Review Panel process which 

was completed before we published the 

proposal and is described below under 

the discussion of the Regulatory 

Flexibility Act. The formal comment 

period and public hearing associated 

with the proposal provided another 

opportunity for public input. We have 

also met with a variety of stakeholders 

at various points in the process, 

including state and environmental 

organizations, engine manufacturers, 

and equipment manufacturers. 

We have prepared a detailed 

Summary and Analysis of Comments 

document, which describes the 

comments we received on the proposal 

and our response to each of these 

comments. The Summary and Analysis 

of Comments is available in the docket 

for this rule and on the Office of 

Transportation and Air Quality internet 

home page at http://www.epa.gov/otaq/

. 

XI. Statutory and Executive Order 

Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review 

Under Executive Order 12866 (58 FR 

51735, October 4, 1993), the Agency 

must determine whether the regulatory 

action is ‘‘significant’’ and therefore 

subject to review by the Office of 

Management and Budget (OMB) and the 

requirements of this Executive Order. 

The Executive Order defines a 

‘‘significant regulatory action’’ as any 

regulatory action that is likely to result 

in a rule that may: 

• Have an annual effect on the 

economy of $100 million or more or 

adversely affect in a material way the 

economy, a sector of the economy, 

productivity, competition, jobs, the 

environment, public health or safety, or 

State, Local, or Tribal governments or 

communities; 

• Create a serious inconsistency or 

otherwise interfere with an action taken 

or planned by another agency; 

• Materially alter the budgetary 

impact of entitlements, grants, user fees, 

or loan programs, or the rights and 

obligations of recipients thereof; or 

• Raise novel legal or policy issues 

arising out of legal mandates, the 

President’s priorities, or the principles 

set forth in the Executive Order. 

A Final Regulatory Support Document 

has been prepared and is available in 

the docket for this rulemaking and at the 

internet address listed under ADDRESSES

above. This action was submitted to the 

Office of Management and Budget for 

review under Executive Order 12866. 

Annual initial costs of this rulemaking 

are estimated to be over $100 million 

per year but this is offset by operating 

cost savings of over $400 million dollars 

per year. Even so, this rule is considered 

economically significant. Written 

comments from OMB and responses 

from EPA to OMB comments are in the 

public docket for this rulemaking. 

B. Paperwork Reduction Act 

The information collection 

requirements (ICR) in this rule will be 

submitted for approval to the Office of 

Management and Budget (OMB) under 

the Paperwork Reduction Act, 44 U.S.C. 

3501 et seq.

The Agency may not conduct or 

sponsor an information collection, and 

a person is not required to respond to 

a request for information, unless the 

information collection request displays 

a currently valid OMB control number. 

The OMB control numbers for EPA’s 

regulations are listed in 40 CFR part 9 

and 48 CFR chapter 15. 

The reporting requirements in this 

final rule do not apply until the Office 

of Management has approved them. We 

will publish a document in the Federal 

Register announcing that the 

information-collection requirements are 

approved.

C. Regulatory Flexibility Act (RFA), as 

Amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (SBREFA), 5 U.S.C. 601 et seq. 

EPA has determined that it is not 

necessary to prepare a regulatory 

flexibility analysis in connection with 

this final rule. EPA has also determined 

that this rule will not have a significant 

economic impact on a substantial 

number of small entities. 

For purposes of assessing the impacts 

of this final rule on small entities, a 

small entity is defined as: (1) A small 

business that meet the definition for 

business based on SBA size standards; 

(2) a small governmental jurisdiction 

that is a government of a city, county, 

town, school district or special district 

with a population of less than 50,000; 

and (3) a small organization that is any 

not-for-profit enterprise which is 

independently owned and operated and 

is not dominant in its field. This 

rulemaking will affect only the small 

businesses. 

In accordance with section 609 of the 

RFA, EPA conducted an outreach to 

small entities and convened a Small 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68331

97 59 FR 31306 (July 17, 1994).

Business Advocacy Review (SBAR) 

Panel prior to proposing this rule, to 

obtain advice and recommendations of 

representatives of the small entities that 

potentially would be subject to the 

rule’s requirements. Through the Panel 

process, we gathered advice and 

recommendations from small-entity 

representatives who would be affected 

by the provisions in the rule relating to 

large SI engines and land-based 

recreational vehicles, and published the 

results in a Final Panel Report, dated 

July 17, 2001. EPA had previously 

convened a separate Panel for marine 

engines and vessels. This panel also 

produced a report, dated August 25, 

1999. We also prepared an Initial 

Regulatory Flexibility Analysis (IRFA) 

in accordance with section 603 of the 

Regulatory Flexibility Act. The IRFA is 

found in chapter 8 of the Draft 

Regulatory Support Document. Both 

Panel reports and the IRFA have been 

placed in the docket for this rulemaking 

(Public Docket A–2000–01, items II–A–

85, II–F–22, and III–B–01). 

EPA proposed the majority of the 

Panel recommendations, and took 

comments on these and other 

recommendations. The information we 

received during this rulemaking process 

indicated that fewer small entities 

would be significantly impacted by the 

rule than we had originally estimated. 

During the SBAR Panel process, a 

concern was raised that importers 

would have limited access to certified 

models for import. We received no 

comments regarding this concern and 

believe that the supply of four-stroke 

engines for ATVs and off-highway 

motorcycles will continue to increase. 

As a result, we believe all these 

companies should be able to find 

manufacturers that are able to supply 

them with compliant engines. These 

importers incur no development costs, 

and they are not involved in adding 

emission-control hardware or other 

variable costs to provide a finished 

product to market. We also expect that 

the vehicles they import would have 

fuel tanks and hoses that comply with 

the permeation standards. However, 

even if this were not the case, the 

additional two or three dollars that it 

would cost to make them compliant 

with the permeation standards is trifling 

in comparison with the normal selling 

price for these vehicles. They should 

therefore expect to buy and sell their 

products with the normal markup to 

cover their costs and profit. As noted 

below, we expect all 21 known smallbusiness importers to face compliance 

costs of less than one percent of their 

revenues. Thus, EPA has determined 

that this final rule will not have a 

significant economic impact on a 

substantial number of small entities. We 

also made some changes as a result of 

comments received on the proposal that 

we believe will further reduce the level 

of impact to small entities directly 

regulated by the rule. These can be 

found below in Section 5, ‘‘Steps Taken 

to Minimize the Impact on Small 

Entities.’’

Although this final rule will not have 

a significant impact on a substantial 

number of small entities, EPA has 

prepared a Small Business Flexibility 

Analysis that examines the impact of 

the rule on small entities, along with 

regulatory alternatives that could reduce 

that impact. This analysis would meet 

the requirements for a Final Regulatory 

Flexibility Analysis (FRFA), had that 

analysis been required. The Small 

Business Flexibility Analysis can be 

found in Chapter 8 of the Final 

Regulatory Support Document, which is 

available for review in the docket and is 

summarized below. The key elements of 

our Small Business Flexibility Analysis 

include:

—The need for, and objectives of, the 

rule. 

—The significant issues raised by public 

comments, a summary of the Agency’s 

assessment of those issues, and a 

statement of any changes made to the 

proposed rule as a result of those 

comments. 

—The types and number of small 

entities to which the rule will apply. 

—The reporting, record keeping and 

other compliance requirement of the 

rule. 

—The steps taken to minimize the 

impact of the rule on small entities, 

consistent with the stated objectives 

of the applicable statute.

A fuller discussion of each of these 

elements can be found in the Small 

Business Flexibility Analysis (Chapter 8 

of the Final Regulatory Support 

Document). 

1. The Need for and Objectives of This 

Rule 

EPA began a study of emissions from 

new and existing nonroad engines, 

equipment, and vehicles in 1991. In 

1994, EPA finalized its finding that 

nonroad engines as a whole ‘‘are 

significant contributors to ozone or 

carbon monoxide concentrations’’ in 

more than one ozone or carbon 

monoxide nonattainment area.97 Clean 

Air Act section 213 (a)(3) then requires 

EPA to establish standards for all classes 

and categories of new nonroad engines 

that cause or contribute to ozone or CO 

concentrations in more than one ozone 

or CO nonattainment area that achieve 

the greatest degree of emissions 

reductions achievable taking cost and 

other factors into account.

Since the finding in 1994, EPA has 

been engaged in the process of 

establishing programs to control 

emissions from nonroad engines used in 

many different applications. Nonroad 

categories already regulated include: 

• Land-based compression-ignition 

(CI) engines (such as farm and 

construction equipment), 

• Small land-based spark-ignition (SI) 

engines (such as lawn and garden 

equipment and string trimmers), 

• Marine engines (outboards, 

personal watercraft, commercial marine 

diesel, marine diesel engines under 37 

kW), 

• Locomotive engines.

EPA issued an Advance Notice of 

Proposed Rulemaking (ANPRM) on 

December 7, 2000, and a Notice of 

Proposed Rulemaking (NPRM) on 

September 14, 2001, which continued 

the process of establishing standards for 

nonroad engines and vehicles, with 

proposed new emission standards for 

recreational marine diesel engines, 

recreational vehicles, and other nonroad 

spark-ignition engines over 19 kW. This 

final rule includes emission standards 

and related requirements for these 

vehicles and engines that are consistent 

with the requirements of the Act. 

2. Summary of Significant Issues Raised 

by Public Comments 

We received comments from engine 

and equipment manufacturers and 

consumers, both during the SBAR Panel 

process and during the comment period 

after we issued the proposal. Smallvolume engine and equipment 

manufacturers commented on the 

financial hardships they would face in 

complying with the proposed 

regulations. Most requested that we 

consider hardship provisions, primarily 

an exemption from or a delay in the 

implementation of the proposed 

standards, or certain flexibilities in the 

certification process. Due to the wide 

variety of engines, vehicles, and 

equipment covered by this rulemaking, 

we decided that a variety of provisions 

were needed to address the concerns of 

the small entities involved. Changes to 

the proposal as a result of comments 

from small-entity representatives or 

others are noted below in Section 5 for 

each of the sectors affected by this rule. 

The NPRM proposed only exhaust 

emission controls for recreational 

vehicles. However, several commenters 

raised the issue of control of evaporative 

68332 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

emissions related to permeation from 

fuel tanks and fuel hoses. They 

maintained that our obligations under 

section 213 of the Clean Air Act 

included control of permeation 

emissions, and pointed to work done by 

the California ARB on emissions from 

plastic fuel tanks and rubber fuel line 

hoses, as well as from portable plastic 

fuel containers. Our own investigation 

into hydrocarbon emissions related to 

permeation of fuel tanks and fuel hoses 

from recreational land-based and marine 

applications also supported the 

concerns raised by the commenters. 

Therefore, on May 1, 2002, we 

published a notice in the Federal 

Register reopening the comment period 

and requesting comment on possible 

approaches to regulating permeation 

emissions from recreational vehicles. 

The notice also included the expected 

costs and emission reductions resulting 

from these approaches. Commenters 

were given thirty days from May 1, 2002 

to provide comments on the notice. We 

received comments from several 

affected businesses, including at least 

one small entity. These comments have 

been addressed in this final rulemaking, 

including several changes made to the 

provisions as a result of the comments. 

c. Numbers and Types of Small Entities 

Affected 

The following table provides an 

overview of the primary SBA small 

business categories potentially affected 

by this regulation.

TABLE XI.C–1: PRIMARY SBA SMALL BUSINESS CATEGORIES POTENTIALLY AFFECTED BY THIS REGULATION

Industry NAICSa Codes Defined by SBA as a 

small business if:b

Motorcycles and motorcycle parts manufacturers ........................................................................................ 336991 <500 employees. 

Snowmobile and ATV manufacturers ........................................................................................................... 336999 <500 employees. 

Independent Commercial Importers of Vehicles and parts .......................................................................... 421110 <100 employees. 

Nonroad SI engines ...................................................................................................................................... 333618 <1,000 employees. 

Internal Combustion Engines ....................................................................................................................... 333618 <1,000 employees. 

Boat Building and Repairing ......................................................................................................................... 336612 < 500 employees. 

Fuel Tank Manufacturers .............................................................................................................................. 336211 <1,000 employees. 

a North American Industry Classification System 

b According to SBA’s regulations (13 CFR part 121), businesses with no more than the listed number of employees or dollars in annual receipts are considered ‘‘small entities’’ for purposes of a regulatory flexibility analysis. 

The small entities directly regulated 

by this rule are the following:

a. Recreational Vehicles (ATVs, 

snowmobiles, and off-highway 

motorcycles). The ATV sector has the 

broadest assortment of manufacturers. 

There are seven large companies 

representing over 95 percent of total 

domestic ATV sales. The remaining 5 

percent come from small manufacturers 

or importers, who tend to import 

inexpensive, youth-oriented ATVs from 

China and other Asian nations. We have 

identified 21 small companies that offer 

off-highway motorcycles, ATVs, or both 

products. Annual unit sales for these 

companies can range from a few 

hundred to several thousand units per 

year. 

There are three small businesses 

manufacturing off-highway motorcycles 

in the U.S. Two of these make only 

competition models, so do not need to 

certify their products under this 

regulation. The remaining off-highway 

motorcycle manufacturer already offers 

engines that should be meeting the new 

emission standards, especially under 

our provisions allowing design-based 

certification. There is one small 

business manufacturing two separate 

youth ATV models. This company 

already uses four-stroke engines. Also, 

the standards are based on emissions 

per watt hour, which are less costly to 

meet for models with smalldisplacement engines. As a result, we 

expect both of these manufacturers to 

face compliance costs less than one 

percent of their revenues. 

We expect all 21 small-business 

importers to face compliance costs less 

than one percent of their revenues. 

These companies incur no development 

costs and they are not involved in 

adding emission-control hardware or 

other variable costs to provide a 

finished product to market. As a result, 

they should expect to buy and sell their 

products with the normal mark-up to 

cover their costs and profit. During the 

SBAR Panel process, the concern was 

raised that importers might have limited 

access to certified models for import. 

We received no comments confirming 

this concern and believe that the supply 

of four-stroke engines for ATVs and offhighway motorcycles will continue to 

increase; as a result all these companies 

should be able to find manufacturers 

that are able to supply compliant 

engines into the U.S. market. 

We further believe that compliance 

with the permeation standards will not 

place a significant burden on either the 

small manufacturers or on the 

importers. We have estimated the 

incremental cost of compliance for 

ATVs and off-highway motorcycles at 

roughly three dollars per vehicle. This 

estimate includes shipping, and is based 

on buying the necessary lowpermeability hoses and surface 

treatment for the fuel tanks from outside 

suppliers. Thus, no capital outlays are 

required, and the increase in vehicle 

cost is insignificant, so that it can easily 

be passed along to the ultimate 

consumer. However, to ensure that these 

requirements do not adversely affect 

small manufacturers, we are 

implementing, where they are 

applicable to permeation, the same 

flexibility options we proposed for the 

exhaust emission standards. 

Based on available industry 

information, four major manufacturers 

account for over 99 percent of all 

domestic snowmobile sales. The 

remaining one percent comes from very 

small manufacturers who tend to 

specialize in unique and highperformance designs. One potential 

manufacturer is not a small business, 

but hopes to produce snowmobiles 

within the next year. Most of these 

manufacturers build less than 50 units 

per year. We have identified three small 

manufacturers of snowmobiles who are 

still in business (of five originally 

identified). Two of these companies 

specialize in high-performance versions 

of standard recreational snowmobile 

types (i.e., travel and mountain sleds). 

The other manufacturer produces a 

unique design, which is a small scooterlike snowmobile designed to be ridden 

standing up. This manufacturer 

provided no response to repeated 

outreach efforts to determine potential 

economic effects of the final rule, but 

could be expected to use production 

engines certified to the Small SI 

standards. 

There are thus three small businesses 

currently producing snowmobiles for 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68333

the U.S. market. One of these currently 

makes a mix of two-stroke and fourstroke models and will likely rely on the 

provision allowing separate standards 

for certain manufacturers to produce 

low-emitting engines with a streamlined 

development effort. Estimated 

compliance costs for this company are 

less than one percent of revenues. Costs 

for the company producing the standup 

snowmobile should also be less than 

one percent. The third manufacturer 

sells a single snowmobile model in 

addition to a sizable business of 

supplying aftermarket parts for 

snowmobiles from other manufacturers. 

We don’t have revenue information for 

the whole company, but with such low 

sales volumes, we estimate that this 

company’s compliance costs could 

reach 4–10 percent of annual 

snowmobile revenues.

Control of permeation emissions was 

not part of the SBAR Panel process. We 

received comments from one small 

snowmobile manufacturer who stated 

that it would experience additional 

hardship due to the permeation 

standards, because they do not have the 

sales volume to install the barrier 

treatment for fuel tanks in-house. They 

also commented that if shipping and 

processing of fuel tanks took 3–4 

months, it would be difficult for a small 

business to tie up funds for so long. 

However, we believe that the 

permeation control requirements should 

be relatively easy for small businesses to 

meet, given the relatively low costs 

involved ($5 to $7 per sled, based on 

outside vendor costs). This is 

insignificant in comparison to the cost 

of the high-end sleds that this company 

produces and should not materially 

affect the company’s cash flow. We also 

believe it is not necessary, or costeffective, for a small entity to make the 

capital investments for in-house 

treatment facilities. Low permeation 

fuel hoses are available from vendors 

today, and we would expect that surface 

treatment would be applied through an 

outside company, rather than installing 

a treatment facility in house. In any 

event, to make sure that these 

requirements do not adversely affect 

small manufacturers, we are 

implementing, where they are 

applicable to permeation, the same 

flexibility options we proposed for the 

exhaust emission standards. 

b. Marine Vessels. Marine vessels 

include the boat, engine, and fuel 

system. Exhaust emission controls 

including NTE requirements, as 

addressed in the August 29, 1999 and 

July 17, 2001 SBAR Panel Reports, may 

affect the engine manufacturers and may 

affect boat builders. 

We have determined that at least 16 

companies manufacture marine diesel 

engines for recreational vessels. Nearly 

75 percent of diesel engines sales for 

recreational vessels in 2000 can be 

attributed to three large companies. Six 

of the 16 identified companies are 

considered small businesses as defined 

by SBA. Based on sales estimates for 

2000, these six companies represent 

approximately 4 percent of recreational 

marine diesel engine sales. The 

remaining companies each comprise 

between two and seven percent of sales 

for 2000. 

We are thus aware of six small 

businesses producing marine diesel 

engines that may be considered 

recreational. Three of these companies 

produce both commercial and 

recreational models without significant 

differences, so we expect them to meet 

the standards in this final rule with 

little more than the administrative 

expenses associated with including 

recreational models in their commercial 

engine families. High-performance 

recreational marine diesel engines 

already include technologies that help 

control NOX emissions, so our cost 

estimates include relatively modest 

development costs to add new 

technologies. Moreover, the smallbusiness provisions allowing substantial 

additional lead time provide an 

opportunity for these companies to 

spread development and certification 

costs over several years. As a result, we 

expect one small business to have 

compliance costs approaching one 

percent and one to have compliance 

costs between 1 and 3 percent. One very 

small business could have compliance 

costs of about four percent of annual 

revenues. 

c. Large Spark-ignition Engines. We 

are aware of two manufacturers of Large 

SI engines qualifying as small 

businesses. One of these companies 

plans to produce engines that meet the 

standards adopted by California ARB in 

2004, with the possible exception of one 

engine family. The other company is 

attempting to restart the production of 

engines from another failed company. 

This company did not exist during the 

SBAR Panel process associated with this 

rule. 

The established company will face 

relatively small compliance costs as a 

result of this rule, since Californiacompliant engines will need only a 

small amount of additional 

development effort to meet long-term 

standards. These costs should be less 

than one percent of revenues. 

The start-up company faces 

significant development costs, though 

much of this effort is required to 

improve the engine enough to sustain a 

market presence as other manufacturers 

continue to make improvements to 

competitive engines. Under the 

hardship provisions, we expect the 

start-up company to spread compliance 

costs over several years to reduce the 

impact of emission standards. We 

nevertheless estimate that the 

compliance costs associated with 

meeting EPA emission standards are 

about 5 percent of revenues. Since this 

manufacturer is operating in a niche 

market, with customers providing 

public comments citing the need for 

these engines, we expect that most of 

the increased cost of production will be 

recovered by increased revenues. 

d. Result for all Small Entities. For 

this regulation as a whole, we expect 32 

small businesses to have total 

compliance costs less than 1 percent of 

their annual revenues. We estimate that 

one company will have compliance 

costs between 1 and 3 percent of 

revenues. Three companies will likely 

have compliance costs exceeding 3 

percent of revenues, but at least one will 

likely be able to benefit from the relief 

provisions outlined below. These 

estimates include the costs for 

compliance with the permeation 

standards. 

4. Reporting, Record Keeping, and 

Compliance Requirements 

For any emission-control program, we 

need assurance that the regulated 

engines will meet the standards. 

Historically, EPA programs have 

assigned manufacturers the 

responsibility to provide these 

assurances. This final rule includes 

testing, reporting, and record keeping 

requirements. Testing requirements for 

some manufacturers include 

certification (including deterioration 

testing) and production-line testing. 

Reporting and record keeping 

requirements include test data and 

technical data on the engines, including 

defect reporting. 

5. Steps Taken To Minimize the Impact 

on Small Entities 

The two SBAR Panels considered a 

variety of provisions to reduce the 

burden of complying with new emission 

standards and related requirements. 

Some of these provisions (such as 

emission-credit programs) would apply 

to all companies, while others would be 

targeted at the unique circumstances 

faced by small businesses. A complete 

discussion of the regulatory alternatives 

recommended by the Panels can be 

found in the Final Panel Reports. 

Summaries of the Panels’ recommended 

alternatives for each of the sectors 

68334 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

subject to this action can also be found 

in their respective sections of the 

preamble. 

The following Panel 

recommendations are being finalized by 

the Agency, except for a few items as 

noted below:

(A) Related Federal Rules 

The Panel recommended that EPA 

continue to consult with the CPSC in 

developing the rule to better understand 

the scope of the Commission’s 

regulations as they may relate to the 

competition exemption. 

(B) Regulatory Flexibility Alternatives 

The Panel recommended that EPA 

consider and seek comments on a wide 

range of alternatives, including the 

flexibility options described below. As 

noted above, we issued a subsequent 

Federal Register notice dated May 1, 

2002 (67 FR 21613), seeking comment 

on applying permeation control 

standards for fuel tanks and fuel hoses 

used on recreational vehicles. The 

flexibilities listed below for recreational 

vehicles would generally also apply to 

those controls, which would effectively 

extend the panel recommendations to 

the permeation controls as well. 

(1) Large SI Engines 

The Panel recommended that EPA 

propose several possible provisions to 

address concerns that the new EPA 

standards could potentially place small 

businesses at a competitive 

disadvantage to larger entities in the 

industry. These provisions are described 

below. 

(a) Using Certification and Emission 

Standards From Other EPA Programs. 

The Panel made several 

recommendations for this provision. 

First, the Panel recommended that EPA 

temporarily expand this arrangement to 

allow small numbers of constant-speed 

engines up to 2.5 liters (up to 30kW) to 

be certified to the Small SI standards. 

Second, the Panel further recommended 

that EPA seek comment on the 

appropriateness of limiting the sales 

level of 300. Third, the Panel 

recommended that EPA request 

comment on the anticipated cap of 30 

kW on the special treatment provisions 

outlined above, or whether a higher cap 

on power rating is appropriate. Finally, 

the Panel recommended that EPA 

propose to allow small-volume 

manufacturers producing engines up to 

30kW to certify to the Small SI 

standards during the first 3 model years 

of the program. Thereafter, the 

standards and test procedures which 

could apply to other companies at the 

start of the program would apply to 

small businesses. We are not adopting 

this provision and are instead relying on 

the hardship provisions in the final rule, 

which will allow us to accomplish the 

objective of the proposed provision with 

more flexibility. 

(b) Delay of Emission Standards. The 

Panel recommended that EPA propose 

to delay the applicability of the longterm standards to small-volume 

manufacturers for three years beyond 

the date at which they would generally 

apply to accommodate the possibility 

that small companies need to undertake 

further design work to adequately 

optimize their designs and to allow 

them to recover the costs associated 

with the near-term emission standards. 

We are also folding this provision into 

the scope of the hardship provision, but 

have decided to increase the delay to up 

to four years, depending on the nature 

of the hardship involved. 

(c) Production-Line Testing. The 

Panel made several recommendations 

for this provision. First, the Panel 

recommended that EPA adopt 

provisions allowing more flexibility 

than is available under the California 

Large SI program or other EPA programs 

in general to address the concern that 

production-line testing is another area 

where small-volume manufacturers 

typically face a difficult testing burden. 

Second, the Panel recommended that 

EPA allow small-volume manufacturers 

to have a reduced testing rate if they 

have consistently good test results from 

testing production-line engines. Finally, 

the Panel recommended that EPA allow 

small-volume manufacturers to use 

alternative low-cost testing options to 

show that production-line engines meet 

emission standards. 

(d) Deterioration Factors. The Panel 

recommended that EPA allow smallvolume manufacturers to develop 

deterioration factors based on available 

emission measurements and good 

engineering judgment. 

(e) Hardship Provision. The Panel 

recommended that EPA propose two 

types of hardship provisions for Large SI 

engines. First the Panel recommended 

that EPA allow small businesses to 

petition EPA for up to three years of 

additional lead time to comply with the 

standards. Second, the Panel 

recommended that EPA allow small 

businesses to apply for hardship relief if 

circumstances outside their control 

cause the failure to comply (such as a 

supply contract broken by a parts 

supplier) and if the failure to sell the 

subject engines would have a major 

impact on the company’s solvency. 

(2) Off-Highway Motorcycles and ATVs 

The NPRM for this rule discussed 

several flexibility options for small 

businesses manufacturing recreational 

vehicles, based on the SBAR Panel 

process. When we reopened the 

comment period on May 1, 2002 to 

request comment on possible 

approaches to regulating permeation 

emissions from recreational vehicles, we 

did not specifically discuss small 

business issues. However, it is our 

intent that these provisions carry over to 

permeation controls as well. 

The Panel made the following 

recommendations for this subcategory: 

(a) General Recommendations. (1) The 

Panel recommended that EPA propose 

to apply the flexibilities described 

below to engines produced or imported 

by small entities with combined offhighway motorcycle and ATV annual 

sales of less than 5,000 units per model 

year. 

(2) The Panel recommended that EPA 

request comment on the appropriateness 

of the 5,000 unit per model year 

threshold. 

(3) The Panel recommended that EPA 

request comment on allowing small 

entities with sales in excess of 5,000 

units to certify using the flexible 

approaches described below for a 

number of engines equal to their 2000 

or 2001 sales level. 

(4) The Panel recommended that EPA 

describe and seek comment on the effect 

of the standards on these entities, 

including a request for any data and/or 

related studies to estimate the extent to 

which sales of their products are likely 

to be reduced as a result of changes in 

product price that are attributable to the 

emission standards. 

(5) The Panel recommended that, in 

the final rule, EPA assess any 

information received in response to this 

request for purposes of informing the 

final rule decision making process on 

whether additional flexibility (beyond 

that considered in this report) is 

warranted. 

(b) Additional Lead-Time To Meet 

Emission Standards. First, the Panel 

recommended that EPA propose at least 

a two-year delay, but seek comment on 

whether a larger time period is 

appropriate given the costs of 

compliance for small businesses and the 

relationship between importers and 

their suppliers. Second, the Panel 

recommended that EPA provide 

additional time for small-volume 

manufacturers to revise their 

manufacturing process, and would 

allow importers to change their supply 

chain to acquire complying products. 

Third, the Panel recommended that EPA 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68335

request comment on the appropriate 

length for a delay (lead-time). 

(c) Design Certification. The Panel 

recommended that EPA propose to 

permit small entities to use designbased certification. The Panel also 

recommended that EPA work with the 

small-entity representatives and other 

members of the industry to develop 

appropriate criteria for such designbased certification. 

(d) Broaden Engine Families. The 

Panel recommended that EPA request 

comment on engine family flexibility 

and conducting design-based 

certification emissions testing. 

(e) Production-Line Testing Waiver. 

The Panel recommended that EPA 

propose to provide small manufacturers 

and small importers a waiver from 

manufacturer production-line testing. 

The Panel also recommended that EPA 

request comment on whether limits or 

the scope of this waiver are appropriate. 

(f) Use of Assigned Deterioration 

Factors During Certification. The Panel 

recommended that EPA propose to 

provide small business with the option 

to use assigned deterioration factors. 

(g) Using Certification and Emission 

Standards from Other EPA Programs. 

The Panel recommended that EPA 

propose to provide small business with 

this flexibility through the fifth year of 

the program and request comment on 

which of the already established 

standards and programs are believed to 

be a useful certification option for the 

small businesses. 

(h) Averaging, Banking, and Trading. 

The Panel recommended that EPA 

propose to provide small business with 

the same averaging, banking, and 

trading program flexibilities that would 

apply for large manufacturers and 

request comment on how the provisions 

could be enhanced for small business to 

make them more useful. 

(i) Hardship Provisions. The Panel 

recommended that EPA propose two 

types of hardship program for offhighway motorcycles and ATVs: First, 

EPA should allow small manufacturers 

and small importers to petition EPA for 

limited additional lead-time to comply 

with the standards. Second, EPA should 

allow small manufacturers and small 

importers to apply for hardship relief if 

circumstances outside their control 

cause the failure to comply (such as a 

supply contract broken by a parts 

supplier) and if failure to sell the subject 

engines or vehicles would have a major 

impact on the company’s solvency.

The Panel also recommended that 

EPA propose both aspects of the 

hardship provisions for small offhighway motorcycle and ATV 

manufacturers and importers and seek 

comment on the implementation 

provisions. 

(3) Marine Vessels 

(a) Delay Standards for Five Years. 

The Panel recommended that EPA delay 

the standards for five years for small 

businesses. 

(b) Design-Based Certification. The 

Panel recommended that EPA allow 

manufacturers to certify by design and 

to be able use this to generate credits 

under this approach. The Panel also 

recommended that EPA provide 

adequately detailed design 

specifications and associated emission 

levels for several technology options 

that could be used to certify. Although 

we proposed this approach, we were 

unable to specify any technology 

options for diesel engines that could be 

used for design-based certification. We 

requested comment on such designs and 

received no comment. Therefore, we are 

not finalizing a design-based 

certification option. However, we are 

finalizing the engine dresser provisions 

and expanding these provisions to 

include water-cooled turbocharging. 

This will allow some engines to be 

exempt from the standards based on 

design. 

(c) Broadly Defined Product 

Certification Families. The Panel 

recommended that EPA take comment 

on the need for broadly defined 

emission families and how these 

families should be defined. 

(d) Hardship Provisions. The Panel 

recommended that EPA propose two 

types of hardship programs for marine 

engine manufacturers, boat builders and 

fuel tank manufacturers: First, that we 

should allow small businesses to 

petition us for additional lead time to 

comply with the standards. Second, 

EPA should allow small businesses to 

apply for hardship relief if 

circumstances outside their control 

cause the failure to comply (such as a 

supply contract broken by a parts 

supplier) and if the failure to sell the 

subject fuel tanks or boats would have 

a major impact on the company’s 

solvency. The Panel also recommended 

that EPA work with small 

manufacturers to develop these criteria 

and how they would be used. 

(e) Burden Reduction Approaches 

Designed for Small Marinizers of Marine 

Engines With Respect to NTE 

Provisions. The Panel recommended 

that EPA specifically include NTE in a 

design-based approach. 

(4) Snowmobiles 

As noted above, permeation standards 

were not part of the original NPRM for 

this rule, which incorporated 

recommendations from the SBAR Panel 

process. When we reopened the 

comment period on May 1, 2002 to 

request comment on possible 

approaches to regulating permeation 

emissions from recreational vehicles, 

which would apply to snowmobiles as 

well as to off-highway motorcycles and 

ATVs, we did not specifically discuss 

small business issues. However, it is our 

intent that the proposed flexibilities for 

exhaust emissions carry over to 

permeation controls for all three vehicle 

categories, to the extent that they are 

applicable. 

(a) Delay of Emission Standards. The 

Panel recommended that EPA propose 

to delay the standards for small 

snowmobile manufacturers by two years 

from the date at which other 

manufacturers would be required to 

comply. The Panel also recommended 

that EPA propose that the emission 

standards for small snowmobile 

manufacturers be phased in over an 

additional two year (four years to fully 

implement the standard). Thus, the 

2006 Phase 1 standards would be 

phased in at 50/100 percent in 2008/

2009, the Phase 2 standards would be 

phased in at 50/100 percent in 2012/

2013, and the Phase 3 standards would 

be phased in at 50/100 percent in 2014/

2015. 

(b) Design-Based Certification. The 

Panel recommended that EPA take 

comment on how design-based 

certification could be applied to small 

snowmobile manufacturers, and that 

EPA work with the small entities in the 

design and implementation of this 

concept. 

(c) Broader Engine Families. The 

Panel recommended that EPA propose a 

provision for small snowmobile 

manufactures that would use relaxed 

criteria for what constitutes an engine or 

vehicle family. 

(d) Elimination of Production-Line 

Testing Requirements. The Panel 

recommended that EPA propose that 

small snowmobile manufacturers not be 

subject to production-line testing 

requirements. 

(e) Use of Assigned DF During 

Certification. The Panel recommended 

that EPA propose to allow small 

snowmobile manufacturers to elect to 

use deterioration factors determined by 

EPA to demonstrate end of useful life 

emission levels, thus reducing 

development/testing burdens, rather 

than performing a durability 

demonstration for each engine family as 

part of the certification testing 

requirement. 

(f) Using Certification and Emission 

Standards From Other EPA Programs. 

The Panel recommended that EPA 

68336 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

propose to provide small business with 

the flexibility to use an engine certified 

to another EPA program without 

recertifying it in its new application 

provided that the manufacturer does not 

alter the engine in such a way as to 

cause it to exceed the emission 

standards it was originally certified to 

meet.

(g) Averaging, Banking and Trading. 

The Panel recommended that EPA 

propose an averaging, banking and 

trading program for snowmobiles, and 

seek comment on additional flexibilities 

related to emission credits that should 

be considered for small snowmobile 

manufacturers. 

(h) Hardship Provisions. The Panel 

recommended that EPA propose two 

types of hardship programs for small 

snowmobile manufacturers. First, EPA 

should allow small snowmobile 

manufacturers to petition EPA for 

additional lead time to comply with the 

standards. Second, EPA should allow 

small snowmobile manufacturers to 

apply for hardship relief if 

circumstances outside their control 

cause the failure to comply (such as a 

supply contract broken by a parts 

supplier) and if failure to sell the subject 

engines or vehicles would have a major 

impact on the company’s solvency. 

(i) Unique Snowmobile Engines. The 

Panel recommended that EPA seek 

comment on an additional provision, 

which would allow a small snowmobile 

manufacturer to petition EPA for 

relaxed standards for one or more 

engine families. The Panel also 

recommended that EPA allow a 

provision for EPA to set an alternative 

standard at a level between the 

prescribed standard and the baseline 

level until the engine family is retired 

or modified in such a way as to increase 

emission and for the provision to be 

extended for up to 300 engines per year 

per manufacturer would assure it is 

sufficiently available for those 

manufacturers for whom the need is 

greatest. However, we received 

comment that the limit of 300 is too 

restrictive to be of much assistance to 

small businesses. Based on this 

comment we are adopting a limit for 

this provision of 600 snowmobiles per 

year. Finally, the Panel recommended 

that EPA seek comment on initial and 

deadline dates for the submission of 

such petitions. We received no 

comments in this area, but for clarity 

have decided to require at least nine 

months lead time by the petitioner. 

(5) Conclusion 

In summary, considering both exhaust 

emission and permeation regulations, 

we have found that only three small 

entities are likely to be impacted by 

more than 3 percent of their sales, and 

the degree of impact is likely to be 

further reduced by the flexibilities that 

are being finalized in this rulemaking. 

Therefore, this final rule will not have 

a significant economic impact on a 

substantial number of small entities. 

D. Unfunded Mandates Reform Act 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA), Public 

Law 104–4, establishes requirements for 

federal agencies to assess the effects of 

their regulatory actions on state, local, 

and tribal governments and the private 

sector. Under section 202 of the UMRA, 

EPA generally must prepare a written 

statement, including a cost-benefit 

analysis, for proposed and final rules 

with ‘‘federal mandates’’ that may result 

in expenditures to state, local, and tribal 

governments, in the aggregate, or to the 

private sector, of $100 million or more 

in any one year. Before promulgating an 

EPA rule for which a written statement 

is needed, section 205 of the UMRA 

generally requires EPA to identify and 

consider a reasonable number of 

regulatory alternatives and adopt the 

least costly, most cost-effective, or least 

burdensome alternative that achieves 

the objectives of the rule. The 

provisions of section 205 do not apply 

when they are inconsistent with 

applicable law. Moreover, section 205 

allows EPA to adopt an alternative other 

than the least costly, most cost-effective, 

or least burdensome alternative if the 

Administrator publishes with the final 

rule an explanation of why that 

alternative was not adopted. 

Before EPA establishes any regulatory 

requirements that may significantly or 

uniquely affect small governments, 

including tribal governments, it must 

have developed under section 203 of the 

UMRA a small government agency plan. 

The plan must provide for notifying 

potentially affected small governments, 

enabling officials of affected small 

governments to have meaningful and 

timely input in the development of EPA 

regulatory proposals with significant 

federal intergovernmental mandates, 

and informing, educating, and advising 

small governments on compliance with 

the regulatory requirements. 

This rule contains no federal 

mandates for state, local, or tribal 

governments as defined by the 

provisions of Title II of the UMRA. The 

rule imposes no enforceable duties on 

any of these governmental entities. 

Nothing in the rule would significantly 

or uniquely affect small governments. 

EPA has determined that this rule 

contains federal mandates that may 

result in expenditures of more than 

$100 million to the private sector in any 

single year. EPA believes that this rule 

represents the least costly, most costeffective approach to achieve the air 

quality goals of the rule. The costs and 

benefits associated with the rule are 

discussed in Section IX and in the Small 

Business Support Document, as 

required by the UMRA. 

E. Executive Order 13132: Federalism 

Executive Order 13132, entitled 

‘‘Federalism’’ (64 FR 43255, August 10, 

1999), requires EPA to develop an 

accountable process to ensure 

‘‘meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications.’’ ‘‘Policies that have 

federalism implications’’ are defined in 

the Executive Order to include 

regulations that have ‘‘substantial direct 

effects on the States, on the relationship 

between the national government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government.’’

Under Section 6 of Executive Order 

13132, EPA may not issue a regulation 

that has federalism implications, that 

imposes substantial direct compliance 

costs, and that is not required by statute, 

unless the Federal government provides 

the funds necessary to pay the direct 

compliance costs incurred by State and 

local governments, or EPA consults with 

State and local officials early in the 

process of developing the regulation. 

EPA also may not issue a regulation that 

has federalism implications and that 

preempts State law, unless the Agency 

consults with State and local officials 

early in the process of developing the 

regulation. 

Section 4 of the Executive Order 

contains additional requirements for 

rules that preempt State or local law, 

even if those rules do not have 

federalism implications (i.e., the rules 

will not have substantial direct effects 

on the States, on the relationship 

between the national government and 

the states, or on the distribution of 

power and responsibilities among the 

various levels of government). Those 

requirements include providing all 

affected State and local officials notice 

and an opportunity for appropriate 

participation in the development of the 

regulation. If the preemption is not 

based on express or implied statutory 

authority, EPA also must consult, to the 

extent practicable, with appropriate 

State and local officials regarding the 

conflict between State law and 

Federally protected interests within the 

agency’s area of regulatory 

responsibility. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68337

This rule does not have federalism 

implications. It will not have substantial 

direct effects on the States, on the 

relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government, as specified in 

Executive Order 13132. 

Although Section 6 of Executive 

Order 13132 does not apply to this rule, 

EPA did consult with representatives of 

various State and local governments in 

developing this rule. EPA has also 

consulted representatives from 

STAPPA/ALAPCO, which represents 

state and local air pollution officials. 

F. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

Executive Order 13175, entitled 

‘‘Consultation and Coordination with 

Indian Tribal Governments’’ (65 FR 

67249, November 6, 2000), requires EPA 

to develop an accountable process to 

ensure ‘‘meaningful and timely input by 

tribal officials in the development of 

regulatory policies that have tribal 

implications.’’ ‘‘Policies that have tribal 

implications’’ is defined in the 

Executive Order to include regulations 

that have ‘‘substantial direct effects on 

one or more Indian tribes, on the 

relationship between the Federal 

government and the Indian tribes, or on 

the distribution of power and 

responsibilities between the Federal 

government and Indian tribes.’’

This rule does not have tribal 

implications. It will not have substantial 

direct effects on tribal governments, on 

the relationship between the Federal 

government and Indian tribes, or on the 

distribution of power and 

responsibilities between the Federal 

government and Indian tribes, as 

specified in Executive Order 13175. The 

emission standards and other related 

requirements for private businesses in 

this rule have national applicability and 

therefore do not uniquely affect the 

communities of Indian Tribal 

Governments. Further, no circumstances 

specific to such communities exist that 

would cause an impact on these 

communities beyond those discussed in 

the other sections of this rule. Thus, 

Executive Order 13175 does not apply 

to this rule. 

G. Executive Order 13045: Protection of 

Children From Environmental Health 

and Safety Risks 

Executive Order 13045, ‘‘Protection of 

Children from Environmental Health 

Risks and Safety Risks’’ (62 FR 19885, 

April 23, 1997) applies to any rule that 

(1) is determined to be ‘‘economically 

significant’’ as defined under Executive 

Order 12866, and (2) concerns an 

environmental health or safety risk that 

EPA has reason to believe may have a 

disproportionate effect on children. If 

the regulatory action meets both criteria, 

Section 5–501 of the Order directs the 

Agency to evaluate the environmental 

health or safety effects of the planned 

rule on children, and explain why the 

planned regulation is preferable to other 

potentially effective and reasonably 

feasible alternatives considered by the 

Agency. 

This rule is not subject to the 

Executive Order because it does not 

involve decisions on environmental 

health or safety risks that may 

disproportionately affect children. 

The effects of ozone and PM on 

children’s health were addressed in 

detail in EPA’s rulemaking to establish 

the NAAQS for these pollutants, and 

EPA is not revisiting those issues here. 

EPA believes, however, that the 

emission reductions from the strategies 

in this rulemaking will further reduce 

air toxics and the related adverse 

impacts on children’s health. 

H. Executive Order 13211: Actions That 

Significantly Affect Energy Supply, 

Distribution, or Use 

This rule is not a ‘‘significant energy 

action’’ as defined in Executive Order 

13211, ‘‘Actions Concerning Regulations 

That Significantly Affect Energy Supply, 

Distribution, or Use’’ (66 FR 28355 (May 

22, 2001)) because it is not likely to 

have a significant adverse effect on the 

supply, distribution or use of energy. 

The aim to reduce emissions from 

certain nonroad engines and have no 

effect on fuel formulation, distribution, 

or use. Generally, the final rule leads to 

reduced fuel usage due to the 

improvements in engine-based 

emission-control technologies.

I. National Technology Transfer and 

Advancement Act 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (‘‘NTTAA’’), Public Law 

104–113, section 12(d) (15 U.S.C. 272 

note) directs EPA to use voluntary 

consensus standards in its regulatory 

activities unless doing so would be 

inconsistent with applicable law or 

otherwise impractical. Voluntary 

consensus standards are technical 

standards (such as materials 

specifications, test methods, sampling 

procedures, and business practices) that 

are developed or adopted by voluntary 

consensus standards bodies. NTTAA 

directs EPA to provide Congress, 

through OMB, explanations when the 

Agency decides not to use available and 

applicable voluntary consensus 

standards. 

This rule involves technical 

standards. The following paragraphs 

describe how we specify testing 

procedures for engines subject to this 

rule. 

The International Organization for 

Standardization (ISO) has a voluntary 

consensus standard that can be used to 

test Large SI engines. However, the 

current version of that standard (ISO 

8178) is applicable only for steady-state 

testing, not for transient testing. As 

described in the Final Regulatory 

Support Document, transient testing is 

an important part of the emissioncontrol program for these engines. We 

are therefore not adopting the ISO 

procedures in this rulemaking. 

Underwriters Laboratories (UL) has 

adopted voluntary consensus standards 

for forklifts that are relevant to the new 

requirements for Large SI engines. UL 

sets a maximum temperature 

specification for gasoline and, for 

forklifts used in certain applications, 

defines requirements to avoid venting 

from gasoline fuel tanks. We are 

adopting a different temperature limit, 

because the maximum temperature 

specified by UL does not prevent fuel 

boiling. We are adopting separate 

measures to address venting of gasoline 

vapors, because of UL’s provisions to 

allow venting with an orifice up to 1.78 

mm (0.070 inches). We believe forklifts 

with such a vent would have 

unnecessarily high evaporative 

emissions. If the UL standard is revised 

to address these technical concerns, it 

would be appropriate to reference the 

UL standard in our regulations. An 

additional concern relates to the fact 

that the UL requirements apply only to 

forklifts (and not all forklifts in the case 

of the restriction on vapor venting). EPA 

regulations would therefore need to, at 

a minimum, extend any published UL 

standards to other engines and 

equipment to which the UL standards 

would otherwise not apply. 

The Gas Processors Association has 

adopted standards with fuel 

specifications for liquefied petroleum 

gas. However, there is no existing 

regulations requiring suppliers to meet 

these specifications. Comments received 

on the rule indicate a high level of 

concern that in-use fuel quality does not 

meet the published voluntary standards, 

so we are not relying on these fuel 

specifications to define fuels for 

certification testing. 

We are adopting requirements to test 

off-highway motorcycles and all-terrain 

vehicles with the Federal Test 

Procedure, a chassis-based transient 

test. There is no voluntary consensus 

68338 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

standard that would adequately address 

engine or vehicle operation for suitable 

emission measurement. Furthermore, 

we are interested in pursuing an enginebased test procedure for all-terrain 

vehicles. We intend to develop a new 

duty cycle for this, because there is no 

acceptable engine duty cycle today that 

would adequately represent the way 

these engines operate. For snowmobiles, 

we are adopting test procedures based 

on work that has been published, but 

not yet adopted as a voluntary 

consensus standard. 

For recreational marine diesel 

engines, we are adopting the same test 

procedures that we have established for 

commercial marine diesel engines (with 

a new duty cycle appropriate for 

recreational applications). We are again 

adopting these procedures in place of 

the ISO 8178 standard that would apply 

to these engines. We believe that ISO 

8178 relies too heavily on reference 

testing conditions. Because our test 

procedures need to represent in-use 

operation typical of operation in the 

field, they must be based on a range of 

ambient conditions. We determined that 

the ISO procedures are not broadly 

usable in their current form, and 

therefore should not be adopted by 

reference. We remain hopeful that 

future ISO test procedures will be 

developed that are usable and accurate 

for the broad range of testing needed, 

and that such procedures could then be 

adopted. We expect that any such 

development of revised test procedures 

will be done in accordance with ISO 

procedures and in a balanced and 

transparent manner that includes the 

involvement of all interested parties, 

including industry, U.S. EPA, foreign 

government organizations, state 

governments, and environmental 

groups. In so doing, we believe that the 

resulting procedures would be ‘‘global’’

test procedures that can facilitate the 

free flow of international commerce for 

these products. 

J. Congressional Review Act 

The Congressional Review Act, 5 

U.S.C. 801 et seq., as added by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996, generally provides 

that before a rule may take effect, the 

agency promulgating the rule must 

submit a rule report, which includes a 

copy of the rule, to each House of the 

Congress and to the Comptroller General 

of the United States. EPA will submit a 

report containing this rule and other 

required information to the U.S. Senate, 

the U.S. House of Representatives, and 

the Comptroller General of the United 

States prior to publication of the rule in 

the Federal Register. This rule is a 

‘‘major rule’’ as defined by 5 U.S.C. 

804(2). 

K. Plain Language 

This document follows the guidelines 

of the June 1, 1998 Executive 

Memorandum on Plain Language in 

Government Writing. To read the text of 

the regulations, it is also important to 

understand the organization of the Code 

of Federal Regulations (CFR). The CFR 

uses the following organizational names 

and conventions. 

Title 40—Protection of the Environment 

Chapter I—Environmental Protection 

Agency 

Subchapter C—Air Programs. This 

contains parts 50 to 99, where the 

Office of Air and Radiation has 

usually placed emission standards 

for motor vehicle and nonroad 

engines. 

Subchapter U—Air Programs 

Supplement. This contains parts 

1000 to 1299, where we intend to 

place regulations for air programs in 

future rulemakings. 

Part 1048—Control of Emissions from 

New, Large, Nonrecreational, 

Nonroad Spark-ignition Engines. 

Most of the provisions in this part 

apply only to engine manufacturers. 

Part 1051—Control of Emissions from 

Recreational Engines and Vehicles. 

Most of the provisions in this part 

apply only to vehicle 

manufacturers. 

Part 1065—General Test Procedures 

for Engine Testing. Provisions of 

this part apply to anyone who tests 

engines to show that they meet 

emission standards. 

Part 1068—General Compliance 

Provisions for Engine Programs. 

Provisions of this part apply to 

everyone. 

Each part in the CFR has several 

subparts, sections, and paragraphs. The 

following illustration shows how these 

fit together.

Part 1048 

Subpart A 

Section 1048.1

(a) 

(b) 

(1) 

(2) 

(i) 

(ii)

A cross reference to § 1048.1(b) in this 

illustration would refer to the parent 

paragraph (b) and all its subordinate 

paragraphs. A reference to § 1048.1(b) 

introductory text’’ would refer only to 

the single, parent paragraph (b).

List of Subjects 

40 CFR Part 89 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements, Research, Vessels, 

Warranties. 

40 CFR Part 90 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, Labeling, 

Reporting and recordkeeping 

requirements, Research, Warranties. 

40 CFR Part 91 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 94 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Penalties, Reporting and recordkeeping 

requirements, Vessels, Warranties. 

40 CFR Part 1048 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Research, Warranties. 

40 CFR Part 1051 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 1065 

Environmental protection, 

Administrative practice and procedure, 

Incorporation by reference, Reporting 

and recordkeeping requirements, 

Research. 

40 CFR Part 1068 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Motor vehicle pollution, 

Penalties, Reporting and recordkeeping 

requirements, Warranties.

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68339

Dated: September 13, 2002. 

Christine Todd Whitman, 

Administrator.

For the reasons set out in the 

preamble, title 40, chapter I of the Code 

of Federal Regulations is amended as set 

forth below.

PART 89—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES 

1. The authority for part 89 continues 

to read as follows:

Authority: 42 U.S.C. 7521, 7522, 7523, 

7524, 7525, 7541, 7542, 7543, 7545, 7547, 

7549, 7550, and 7601(a).

Subpart A—[Amended] 

2. Section 89.2 is amended by adding 

definitions for ‘‘Aircraft’’, ‘‘Sparkignition’’, and ‘‘United States’’ in 

alphabetic order and revising the 

definition of ‘‘Compression-ignition’’ to 

read as follows:

§ 89.2 Definitions.

* * * * *

Aircraft means any vehicle capable of 

sustained air travel above treetop 

heights.

* * * * *

Compression-ignition means relating 

to a type of reciprocating, internalcombustion engine that is not a sparkignition engine.

* * * * *

Spark-ignition means relating to a 

gasoline-fueled engine or other engines 

with a spark plug (or other sparking 

device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation.

* * * * *

United States means the States, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands.

* * * * *

Subpart B—[Amended] 

3. Section 89.106 is amended by 

revising paragraph (b) read as follows:

§ 89.106 Prohibited controls.

* * * * *

(b) You may not design your engines 

with emission-control devices, systems, 

or elements of design that cause or 

contribute to an unreasonable risk to 

public health, welfare, or safety while 

operating. For example, this would 

apply if the engine emits a noxious or 

toxic substance it would otherwise not 

emit that contributes to such an 

unreasonable risk.

PART 90—CONTROL OF EMISSIONS 

FROM NONROAD SPARK-IGNITION 

ENGINES AT OR BELOW 19 

KILOWATTS 

4. The heading to part 90 is revised 

to read as set forth above.

5. The authority for part 90 continues 

to read as follows:

Authority: 42 U.S.C. 7521, 7522, 7523, 

7524, 7525, 7541, 7542, 7543, 7547, 7549, 

7550, and 7601(a).

Subpart A—[Amended] 

6. Section 90.1 is revised to read as 

follows:

§ 90.1 Applicability. 

(a) This part applies to new nonroad 

spark-ignition engines and vehicles with 

gross power output at or below 19 

kilowatts (kW) used for any purpose, 

unless we exclude them under 

paragraph (d) of this section. 

(b) This part also applies to engines 

with a gross power output above 19 kW 

if the manufacturer uses the provisions 

of 40 CFR 1048.615 or 1051.145(a)(3) to 

exempt them from the requirements of 

40 CFR part 1048 or 1051, respectively. 

Compliance with the provisions of this 

part is a required condition of those 

exemptions. 

(c) [Reserved] 

(d) The following nonroad engines 

and vehicles are not subject to the 

provisions of this part: 

(1) Engines certified to meet the 

requirements of 40 CFR part 1051 (e.g.,

engines used in snowmobiles). This part 

nevertheless applies to engines used in 

recreational vehicles if the manufacturer 

uses the provisions of 40 CFR 

1051.145(a)(3) to exempt them from the 

requirements of 40 CFR part 1051. 

Compliance with the provisions of this 

part is a required condition of that 

exemption. 

(2) Engines used in highway 

motorcycles. See 40 CFR part 86, 

subpart E. 

(3) Propulsion marine engines. See 40 

CFR part 91. This part applies with 

respect to auxiliary marine engines. 

(4) Engines used in aircraft. See 40 

CFR part 87. 

(5) Engines certified to meet the 

requirements of 40 CFR part 1048. 

(6) Hobby engines. 

(7) Engines that are used exclusively 

in emergency and rescue equipment 

where no certified engines are available 

to power the equipment safely and 

practically, but not including 

generators, alternators, compressors or 

pumps used to provide remote power to 

a rescue tool. The equipment 

manufacturer bears the responsibility to 

ascertain on an annual basis and 

maintain documentation available to the 

Administrator that no appropriate 

certified engine is available from any 

source. 

(e) Engines subject to the provisions 

of this subpart are also subject to the 

provisions found in subparts B through 

N of this part, except that Subparts C, 

H, M and N of this part apply only to 

Phase 2 engines as defined in this 

subpart. 

(f) Certain text in this part is 

identified as pertaining to Phase 1 or 

Phase 2 engines. Such text pertains only 

to engines of the specified Phase. If no 

indication of Phase is given, the text 

pertains to all engines, regardless of 

Phase.

7. Section 90.2 is amended by adding 

a new paragraph (c) to read as follows:

§ 90.2 Effective dates.

* * * * *

(c) Notwithstanding paragraphs (a) 

and (b) of this section, engines used 

in recreational vehicles with engine 

rated speed greater than or equal to 

5,000 rpm and with no installed speed 

governor are not subject to the 

provisions of this part through the 2005 

model year. Starting with the 2006 

model year, all the requirements of this 

part apply to engines used in these 

vehicles if they are not included in the 

scope of 40 CFR part 1051.

8. Section 90.3 is amended by adding 

definitions for ‘‘Aircraft’’, ‘‘Hobby 

engines’’, ‘‘Marine engine’’, ‘‘Marine 

vessel’’, ‘‘Recreational’’, and ‘‘United 

States’’ in alphabetical order, to read as 

follows:

§ 90.3 Definitions.

* * * * *

Aircraft means any vehicle capable of 

sustained air travel above treetop 

heights.

* * * * *

Hobby engines means engines used in 

reduced-scale models of vehicles that 

are not capable of transporting a person 

(for example, model airplanes).

Marine engine means an engine that 

someone installs or intends to install on 

a marine vessel. There are two kinds of 

marine engines: 

(1) Propulsion marine engine means a 

marine engine that moves a vessel 

through the water or directs the vessel’s 

movement. 

(2) Auxiliary marine engine means a 

marine engine not used for propulsion. 

68340 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Marine vessel means a vehicle that is 

capable of operation in water but is not 

capable of operation out of water. 

Amphibious vehicles are not marine 

vessels.

* * * * *

Recreational means, for purposes of 

this part, relating to a vehicle intended 

by the vehicle manufacturer to be 

operated primarily for pleasure.

* * * * *

United States means the States, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands.

* * * * *

Subpart B—[Amended] 

9. Section 90.103 is amended by 

redesignating paragraph (a)(2)(v) as 

paragraph (a)(2)(vi) and adding a new 

paragraph (a)(2)(v) to read as follows:

§ 90.103 Exhaust emission standards. 

(a)* * * 

(2)* * * 

(v) The engine must be used in a 

recreational application, with a 

combined total vehicle dry weight 

under 20 kilograms;

* * * * *

10. Section 90.110 is amended by 

revising paragraph (b) to read as follows:

§ 90.110 Requirement of certification—

prohibited controls.

* * * * *

(b) You may not design your engines 

with emission-control devices, systems, 

or elements of design that cause or 

contribute to an unreasonable risk to 

public health, welfare, or safety while 

operating. For example, this would 

apply if the engine emits a noxious or 

toxic substance it would otherwise not 

emit that contributes to such an 

unreasonable risk.

PART 91—CONTROL OF EMISSIONS 

FROM MARINE SPARK–IGNITION 

ENGINES 

11. The authority for part 91 

continues to read as follows:

Authority: 42 U.S.C. 7521, 7522, 7523, 

7524, 7525, 7541, 7542, 7543, 7547, 7549, 

7550, and 7601(a).

Subpart A—[Amended] 

12. Section 91.3 is amended by 

adding the definition for ‘‘United 

States’’ in alphabetical order to read as 

follows:

§ 91.3 Definitions.

* * * * *

United States means the States, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands.

* * * * *

Subpart B—[Amended] 

13. Section 91.110 is amended by 

revising paragraph (b) to read as follows:

§ 91.110 Requirement of certification—

prohibited controls.

* * * * *

(b) You may not design your engines 

with emission-control devices, systems, 

or elements of design that cause or 

contribute to an unreasonable risk to 

public health, welfare, or safety while 

operating. For example, this would 

apply if the engine emits a noxious or 

toxic substance it would otherwise not 

emit that contributes to such an 

unreasonable risk.

Subpart E—[Amended] 

14. Section 91.419 is amended in 

paragraph (b) by revising the equations 

for MHCexh and Mexh to read as follows:

§ 91.419 Raw emission sampling 

calculations.

* * * * *

(b) * * *

MHCexh = 12.01 + 1.008 × a

* * * * *

M

 K)

 28

(1

exh = ×

+

×

+

×

+

×

+

×

+ ×−

+ ×

− − − − − − ×− 



 





M WHC WCO WCO

WNO WH

WHC WCO WCO WNO WH K

HC

x

x

exh

10

28 01

10

44 1

10

46 01

10

2 016

10

18 01 1

01

100

10 10

100

10

6 2

2

2

6

2

2

4 2 4 2

2

. .

. . . (

.

)

* * * * *

Subpart G—[Amended] 

15. Appendix A to Subpart G of part 

91 is amended by revising Table 1 to 

read as follows: 

Appendix A to Subpart G of Part 91—

Sampling Plans for Selective 

Enforcement Auditing of Marine 

Engines

TABLE 1.—SAMPLING PLAN CODE

LETTER

Annual engine family sales Code letter 

20–50 ..................................... AA1

TABLE 1.—SAMPLING PLAN CODE

LETTER—Continued

Annual engine family sales Code letter 

20–99 ..................................... A1

100–299 ................................. B 

300–499 ................................. C 

500 or greater ........................ D 

1A manufacturer may optionally use either 

the sampling plan for code letter ‘‘AA’’ or sampling plan for code letter ‘‘A’’ for Selective Enforcement Audits of engine families with annual sales between 20 and 50 engines. Additional, the manufacturers may switch between 

these plans during the audit. 

* * * * *

Subpart I—[Amended]

16. Section 91.803 is amended by 

revising paragraph (a) to read as follows:

§ 91.803 Manufacturer in-use testing 

program. 

(a) EPA shall annually identify engine 

families and those configurations within 

families which the manufacturers must 

then subject to in-use testing. For each 

model year, EPA may identify the 

following number of engine families for 

testing, based on the number of the 

manufacturer’s engine families to which 

this subpart is applicable produced in 

that model year: 


ER08NO02.001</MATH>
Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68341

(1) For manufactures with three or 

fewer engine families, EPA may identify 

a single engine family. 

(2) For manufacturers with four or 

more engine families, EPA may identify 

a number of engine families that is no 

greater than twenty-five percent of the 

number of engine families to which this 

subpart is applicable that are produced 

by the manufacturer in that model year.

* * * * *

PART 94—CONTROL OF EMISSIONS 

FROM MARINE COMPRESSIONIGNITION ENGINES 

17. The heading to part 94 is revised 

to read as set forth above. 

18. The authority citation for part 94 

continues to read as follows:

Authority: 42 U.S.C. 7522, 7523, 7524, 

7525, 7541, 7542, 7543, 7545, 7547, 7549, 

7550 and 7601(a).

Subpart A—[Amended]

19. Section 94.1 is revised to read as 

follows:

§ 94.1 Applicability. 

(a) Except as noted in paragraphs (b) 

and (c) of this section, the provisions of 

this part apply to manufacturers 

(including post-manufacture marinizers 

and dressers), rebuilders, owners and 

operators of: 

(1) Marine engines that are 

compression-ignition engines 

manufactured (or that otherwise become 

new) on or after January 1, 2004; 

(2) Marine vessels manufactured (or 

that otherwise become new) on or after 

January 1, 2004 and which include a 

compression-ignition marine engine. 

(b) Notwithstanding the provision of 

paragraph (c) of this section, the 

requirements and prohibitions of this 

part do not apply to three types of 

marine engines: 

(1) Category 3 marine engines; 

(2) Marine engines with rated power 

below 37 kW; or 

(3) Marine engines on foreign vessels. 

(c) The provisions of Subpart L of this 

part apply to everyone with respect to 

the engines identified in paragraph (a) 

of this section.

20. Section 94.2 is amended by 

revising paragraph (b) introductory text, 

removing the definition for 

‘‘Commercial marine engine’’, revising 

definitions for ‘‘Compression-ignition’’, 

‘‘Designated officer’’, ‘‘Passenger’’, 

‘‘Recreational marine engine’’, 

‘‘Recreational vessel’’, and ‘‘United 

States’’, and adding new definitions for 

‘‘Commercial’’, ‘‘Small-volume boat 

builder’’, ‘‘Small-volume 

manufacturer’’, and ‘‘Spark-ignition’’ in 

alphabetical order to read as follows:

§ 94.2 Definitions.

* * * * *

(b) As used in this part, all terms not 

defined in this section shall have the 

meaning given them in the Act:

* * * * *

Commercial means relating to an 

engine or vessel that is not a 

recreational marine engine or a 

recreational vessel.

* * * * *

Compression-ignition means relating 

to an engine that is not a spark-ignition 

engine.

* * * * *

Designated Officer means the 

Manager, Engine Programs Group 

(6403–J), U.S. Environmental Protection 

Agency, 1200 Pennsylvania Ave., 

Washington, DC 20460.

* * * * *

Passenger has the meaning given by 

46 U.S.C. 2101 (21) and (21a). In the 

context of commercial vessels, this 

generally means that a passenger is a 

person that pays to be on the vessel.

* * * * *

Recreational marine engine means a 

Category 1 propulsion marine engine 

that is intended by the manufacturer to 

be installed on a recreational vessel, and 

which is permanently labeled as 

follows: ‘‘THIS ENGINE IS 

CATEGORIZED AS A RECREATIONAL 

MARINE ENGINE UNDER 40 CFR PART 

94. INSTALLATION OF THIS ENGINE 

IN ANY NONRECREATIONAL VESSEL 

IS A VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY.’’. 

Recreational vessel has the meaning 

given in 46 U.S.C. 2101 (25), but 

excludes ‘‘passenger vessels’’ and 

‘‘small passenger vessels’’ as defined by 

46 U.S.C. 2101 (22) and (35) and 

excludes vessels used solely for 

competition. In general, for this part, 

‘‘recreational vessel’’ means a vessel 

that is intended by the vessel 

manufacturer to be operated primarily 

for pleasure or leased, rented or 

chartered to another for the latter’s 

pleasure, excluding the following 

vessels: 

(1) Vessels of less than 100 gross tons 

that carry more than 6 passengers (as 

defined in this section). 

(2) Vessels of 100 gross tons or more 

that carry one or more passengers (as 

defined in this section). 

(3) Vessels used solely for 

competition.

* * * * *

Small-volume boat builder means a 

boat manufacturer with fewer than 500 

employees and with annual U.S.-

directed production of fewer than 100 

boats. For manufacturers owned by a 

parent company, these limits apply to 

the combined production and number of 

employees of the parent company and 

all its subsidiaries. 

Small-volume manufacturer means a 

manufacturer with annual U.S.-directed 

production of fewer than 1,000 internal 

combustion engines (marine and 

nonmarine). For manufacturers owned 

by a parent company, the limit applies 

to the production of the parent company 

and all its subsidiaries. 

Spark-ignition means relating to a 

gasoline-fueled engine or other engines 

with a spark plug (or other sparking 

device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation.

* * * * *

United States means the States, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands.

* * * * *

21. Section 94.7 is amended by 

revising paragraphs (c), (d), and (e) to 

read as follows:

§ 94.7 General standards and 

requirements.

* * * * *

(c) You may not design your engines 

with emission-control devices, systems, 

or elements of design that cause or 

contribute to an unreasonable risk to 

public health, welfare, or safety while 

operating. For example, this would 

apply if the engine emits a noxious or 

toxic substance it would otherwise not 

emit that contributes to such an 

unreasonable risk. 

(d) All engines subject to the emission 

standards of this part shall be equipped 

with a connection in the engine exhaust 

system that is located downstream of 

the engine and before any point at 

which the exhaust contacts water (or 

any other cooling/scrubbing medium) 

for the temporary attachment of gaseous 

and/or particulate emission sampling 

equipment. This connection shall be 

internally threaded with standard pipe 

threads of a size not larger than one-half 

inch, and shall be closed by a pipe-plug 

when not in use. Equivalent 

connections are allowed. Engine 

manufacturers may comply with this 

requirement by providing vessel 

manufacturers with clear instructions 

explaining how to meet this 

requirement, and noting in the 

instructions that failure to comply may 

68342 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

invalidate a certificate and subject the 

vessel manufacturer to federal penalties. 

(e) Electronically controlled engines 

subject to the emission standards of this 

part shall broadcast on engine’s 

controller area networks engine torque 

(as percent of maximum torque at that 

speed) and engine speed.

22. Section 94.8 is amended by 

revising paragraphs (a), (e), (f) 

introductory text, and (f)(1) to read as 

follows:

§ 94.8 Exhaust emission standards. 

(a) Exhaust emissions from marine 

compression-ignition engines shall not 

exceed the applicable exhaust emission 

standards contained in Table A–1 as 

follows:

TABLE A–1.—PRIMARY TIER 2 EXHAUST EMISSION STANDARDS (G/KW-HR) 

Engine size

liters/cylinder, rated power Category Modelyeara

THC+NOX

g/kW-hr 

CO

g/kW-hr 

PM g/kWhr 

Disp. < 0.9 and ..........................................................................

power ≥ 37 kW ..........................................................................

Category 1, Commercial ......... 2005 7.5 5.0 0.40 

Category 1, Recreational ........ 2007 7.5 5.0 0.40 

0.9 ≤ disp. < 1.2 ........................................................................

All power levels .........................................................................

Category 1, Commercial ......... 2004 7.2 5.0 0.30 

Category 1, Recreational ........ 2006 7.2 5.0 0.30 

1.2 ≤ disp. < 2.5 ........................................................................

All power levels .........................................................................

Category 1, Commercial ......... 2004 7.2 5.0 0.20 

Category 1, Recreational ........ 2006 7.2 5.0 0.20 

2.5 ≤ disp. < 5.0 ........................................................................

All power levels .........................................................................

Category 1, Commercial ......... 2007 7.2 5.0 0.20 

Category 1, Recreational ........ 2009 7.2 5.0 0.20 

5.0 ≤ disp. < 15.0 ......................................................................

All power levels .........................................................................

Category 2 .............................. 2007 7.8 5.0 0.27 

15.0 ≤ disp. < 20.0 ....................................................................

Power < 3300 kW ......................................................................

Category 2 .............................. 2007 8.7 5.0 0.50 

15.0 ≤ disp. < 20.0 ....................................................................

Power < 3300 kW ......................................................................

Category 2 .............................. 2007 9.8 5.0 0.50 

20.0 ≤ disp. < 25.0 ....................................................................

All power levels .........................................................................

Category 2 .............................. 2009 9.8 5.0 0.50 

25.0 ≤ disp. < 30.0 ....................................................................

All power levels .........................................................................

Category 2 .............................. 2007 11.0 5.0 0.50 

aThe dates listed indicate the model years for which the specified standards start. 

* * * * *

(e) Exhaust emissions from 

propulsion engines subject to the 

standards (or FELs) in paragraph (a), (c), 

or (f) of this section shall not exceed: 

(1) Commercial marine engines. (i) 

1.20 times the applicable standards (or 

FELs) when tested in accordance with 

the supplemental test procedures 

specified in § 94.106 at loads greater 

than or equal to 45 percent of the 

maximum power at rated speed or 1.50 

times the applicable standards (or FELs) 

at loads less than 45 percent of the 

maximum power at rated speed. 

(ii) As an option, the manufacturer 

may choose to comply with limits of 

1.25 times the applicable standards (or 

FELs) when tested over the whole 

power range in accordance with the 

supplemental test procedures specified 

in § 94.106, instead of the limits in 

paragraph (e)(1)(i) of this section. 

(2) Recreational marine engines. (i) 

1.20 times the applicable standards (or 

FELs) when tested in accordance with 

the supplemental test procedures 

specified in § 94.106 at loads greater 

than or equal to 45 percent of the 

maximum power at rated speed and 

speeds less than 95 percent of maximum 

test speed, or 1.50 times the applicable 

standards (or FELs) at loads less than 45 

percent of the maximum power at rated 

speed, or 1.50 times the applicable 

standards (or FELs) at any loads for 

speeds greater than or equal to 95 

percent of the maximum test speed. 

(ii) As an option, the manufacturer 

may choose to comply with limits of 

1.25 times the applicable standards (or 

FELs) when tested over the whole 

power range in accordance with the 

supplemental test procedures specified 

in § 94.106, instead of the limits in 

paragraph (e)(2)(i) of this section. 

(f) The following defines the 

requirements for low-emitting Blue Sky 

Series engines: 

(1) Voluntary standards. Engines may 

be designated ‘‘Blue Sky Series’’ engines 

through the 2012 model year by meeting 

the voluntary standards listed in Table 

A–2, which apply to all certification and 

in-use testing, as follows:

TABLE A–2.—VOLUNTARY EMISSION STANDARDS (G/KW-HR) 

Rated brake power (kW) THC+NOX PM 

Power ≥37 kW, and displ.<0.9 ................................................................................................................................ 4.0 0.24 

0.9≤displ.<1.2 .......................................................................................................................................................... 4.0 0.18 

1.2≤displ.<2.5 .......................................................................................................................................................... 4.0 0.12 

2.5≤displ.<5 ............................................................................................................................................................. 5.0 0.12 

5≤displ.<15 .............................................................................................................................................................. 5.0 0.16 

15 ≤disp.< 20, and power < 3300 kW ..................................................................................................................... 5.2 0.30 

15 ≤disp.< 20, and power ≥ 3300 kW ..................................................................................................................... 5.9 0.30 

20 ≤disp.< 25 ........................................................................................................................................................... 5.9 0.30 

25 ≤disp.< 30 ........................................................................................................................................................... 6.6 0.30 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68343

* * * * *

23. Section 94.9 is amended by 

revising paragraphs (a) introductory text 

and (a)(1) to read as follows:

§ 94.9 Compliance with emission 

standards. 

(a) The general standards and 

requirements in § 94.7 and the emission 

standards in § 94.8 apply to each new 

engine throughout its useful life period. 

The useful life is specified both in years 

and in hours of operation, and ends 

when either of the values (hours of 

operation or years) is exceeded. 

(1) The minimum useful life is: 

(i) 10 years or 1,000 hours of 

operation for recreational Category 1 

engines; 

(i) 10 years or 10,000 hours of 

operation for commercial Category 1 

engines; 

(iii) 10 years or 20,000 hours of 

operation for Category 2 engines.

* * * * *

24. Section 94.12 is amended by 

revising the introductory text and 

paragraphs (a), (b)(1), and (e) and adding 

new paragraphs (f) and (g) to read as 

follows:

§ 94.12 Interim provisions. 

This section contains provisions that 

apply for a limited number of calendar 

years or model years. These provisions 

apply instead of the other provisions of 

this part. 

(a) Compliance date of standards.

Certain companies may delay 

compliance with emission standards. 

Companies wishing to take advantage of 

this provision must inform the 

Designated Officer of their intent to do 

so in writing before the date that 

compliance with the standards would 

otherwise be mandatory. 

(1) Post-manufacture marinizers may 

elect to delay the model year of the Tier 

2 standards for commercial engines as 

specified in § 94.8 by one year for each 

engine family. 

(2) Small-volume manufacturers may 

elect to delay the model year of the Tier 

2 standards for recreational engines as 

specified in § 94.8 by five years for each 

engine family. 

(b) Early banking of emission credits.

(1) A manufacturer may optionally 

certify engines manufactured before the 

date the Tier 2 standards take effect to 

earn emission credits under the 

averaging, banking, and trading 

program. Such optionally certified 

engines are subject to all provisions 

relating to mandatory certification and 

enforcement described in this part. 

Manufacturers may begin earning 

credits for recreational engines on 

December 9, 2002.

* * * * *

(e) Compliance date of NTE 

requirements (1) Notwithstanding the 

other provisions of this part, the 

requirements of § 94.8(e) for commercial 

marine engines start with 2010 model 

year engines for postmanufacture 

marinizers and 2007 model year engines 

for all other engine manufacturers.

(2) Notwithstanding the other 

provisions of this part, the requirements 

of § 94.8(e) for recreational marine 

engines start with 2012 model year 

engines for post-manufacture marinizers 

and 2009 model year engines for all 

other engine manufacturers. 

(f) Flexibility for small-volume boat 

builders. Notwithstanding the other 

provisions of this part, manufacturers 

may sell uncertified recreational engines 

to small-volume boat builders during 

the first five years for which the 

emission standards in § 94.8 apply, 

subject to the following provisions: 

(1) The U.S.-directed production 

volume of boats from any small-volume 

boat builder using uncertified engines 

during the total five-year period may not 

exceed 80 percent of the manufacturer’s 

average annual production for the three 

years prior to the general applicability 

of the recreational engine standards in 

§ 94.8, except as allowed in paragraph 

(f)(2) of this section. 

(2) Small-volume boat builders may 

exceed the production limits in 

paragraph (f)(1) of this section, provided 

they do not exceed 20 boats during the 

five-year period or 10 boats in any 

single calendar year. This does not 

apply to boats powered by engines with 

displacement greater than 2.5 liters per 

cylinder. 

(3) Small-volume boat builders must 

keep records of all the boats and engines 

produced under this paragraph (f), 

including boat and engine model 

numbers, serial numbers, and dates of 

manufacture. Records must also include 

information verifying compliance with 

the limits in paragraph (f)(1) or (f)(2) of 

this section. Keep these records until at 

least two full years after you no longer 

use the provisions in this paragraph (f). 

(4) Manufacturers must add a 

permanent, legible label, written in 

block letters in English, to a readily 

visible part of each engine exempted 

under this paragraph (f). This label must 

include at least the following items: 

(i) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your corporate name and 

trademark. 

(iii) Engine displacement (in liters), 

rated power, and model year of the 

engine or whom to contact for further 

information. 

(iv) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 94.12(f) FROM 

EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’. 

(g) Flexibility for engines over 560kW.

Notwithstanding the other provisions of 

this part, manufacturers may choose to 

delay certification of marine engines 

with less than 2.5 liters per cylinder and 

rated power above 560 kW, that are 

derived from a land-based nonroad 

engine with a rated power greater than 

560 kW, if they do all of the following: 

(1) Certify all of their applicable 

marine engines with less than 2.5 liters 

per cylinder and rated power above 560 

kW to a NOX standard of 6.4 g/kW-hr for 

model years 2008 through 2012. 

(2) Notify EPA in writing before 2004 

of their intent to use this provision. This 

notification must include a signed 

statement certifying that the 

manufacturer will comply with all the 

provisions of this paragraph (g). 

(3) Add a permanent, legible label, 

written in block letters in English, to a 

readily visible part of each engine 

exempted under this paragraph (f). This 

label must include at least the following 

items: 

(i) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your corporate name and 

trademark. 

(iii) Engine displacement (in liters), 

rated power, and model year of the 

engine or whom to contact for further 

information. 

(iv) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 94.12(g) 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’.

Subpart B—[Amended] 

25. Section 94.104 is amended by 

redesignating paragraph (c) as paragraph 

(d) and adding a new paragraph (c) to 

read as follows:

§ 94.104 Test procedures for Category 2 

marine engines.

* * * * *

(c) Conduct testing at ambient 

temperatures from 13° C to 30° C.

* * * * *

26. Section 94.105 is amended by 

revising paragraph (b) text preceding 

Table B–1, revising ‘‘#’’ to read ‘‘±’’ in 

footnotes 1 and 2 in the tables in 

paragraphs (b), (c)(1), (c)(2), and (d)(1), 

and adding a new paragraph (e) to read 

as follows:

§ 94.105 Duty cycles.

* * * * *

(b) General cycle. Propulsion engines 

that are used with (or intended to be 

68344 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

used with) fixed-pitch propellers, and 

any other engines for which the other 

duty cycles of this section do not apply, 

shall be tested using the duty cycle 

described in the following Table B–1:

* * * * *

(e) Recreational. For the purpose of 

determining compliance with the 

emission standards of § 94.8, 

recreational engines shall be tested 

using the duty cycle described in Table 

B–5, which follows:

TABLE B–5.—RECREATIONAL MARINE DUTY CYCLE

Mode No. 

Engine 

speed(1)

(percent of 

maximum test 

speed) 

Percent of 

maximum test 

power(2)

Minimum time 

in mode 

(minutes) 

Weighting factors 

1 ....................................................................................................................... 100 100 5.0 0.08 

2 ....................................................................................................................... 91 75 5.0 0.13 

3 ....................................................................................................................... 80 50 5.0 0.17 

4 ....................................................................................................................... 63 25 5.0 0.32 

5 ....................................................................................................................... idle 0 5.0 0.30 

1Engine speed: ±2 percent of point. 2Power: ±2 percent of engine maximum value. 

27. Section 94.106 is amended by 

revising paragraphs (b) introductory 

text, (b)(1) introductory text, (b)(2) 

introductory text, (b)(3) introductory 

text, and (b)(4) and adding a new 

paragraph (b)(5) to read as follows:

§ 94.106 Supplemental test procedures.

* * * * *

(b) The specified Not to Exceed Zones 

for marine engines are defined as 

follows. These Not to Exceed Zones 

apply, unless a modified zone is 

established under paragraph (c) of this 

section. 

(1) For commercial Category 1 engines 

certified using the duty cycle specified 

in § 94.105(b), the Not to Exceed zones 

are defined as follows:

* * * * *

(2) For Category 2 engines certified 

using the duty cycle specified in 

§ 94.105(b), the Not to Exceed zones are 

defined as follows:

* * * * *

(3) For engines certified using the 

duty cycle specified in § 94.105(c)(2), 

the Not to Exceed zones are defined as 

follows:

* * * * *

(4) For engines certified using the 

duty cycle specified in § 94.105(c)(1), 

the Not to Exceed zone is defined as any 

load greater than or equal to 25 percent 

of maximum power at rated speed, and 

any speed at which the engine operates 

in use. 

(5) For recreational marine engines 

certified using the duty cycle specified 

in § 94.105(e), the Not to Exceed zones 

are defined as follows: 

(i) The Not to Exceed zone is the 

region between the curves power = 1.15 

× SPD2 and power = 0.85 × SPD4, 

excluding all operation below 25% of 

maximum power at rated speed and 

excluding all operation below 63% of 

maximum test speed. 

(ii) This zone is divided into three 

subzones, one below 45% of maximum 

power at maximum test speed; one 

above 95% of maximum test speed; and 

a third area including all of the 

remaining area of the NTE zone. 

(iii) SPD in paragraph (b)(5)(i) of this 

section refers to percent of maximum 

test speed. 

(iv) See Figure B–4 for an illustration 

of this Not to Exceed zone as follows:

BILLING CODE 6560–50–P

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68345

BILLING CODE 6560–50–C 28. Section 94.108 is amended in 

paragraph (a)(1) by revising footnote 1 

in Table B–5 to read as follows:

§ 94.108 Test fuels. 

(a) * * * (1) * * *

TABLE B–5.—FEDERAL TEST FUEL SPECIFICATIONS

* * * * * * * 

1All ASTM procedures in this table have been incorporated by reference. See § 94.5. 

* * * * * * * 


ER08NO02.003</GPH>
68346 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

* * * * *

Subpart C—[Amended]

29. Section 94.203 is amended by 

revising paragraphs (d)(14) and (d)(16) 

to read as follows:

§ 94.203 Application for certification.

* * * * *

(d) * * * 

(14) A statement that all the engines 

included in the engine family comply 

with the Not To Exceed standards 

specified in § 94.8(e) when operated 

under all conditions which may 

reasonably be expected to be 

encountered in normal operation and 

use; the manufacturer also must provide 

a detailed description of all testing, 

engineering analyses, and other 

information which provides the basis 

for this statement.

* * * * *

(16) A statement indicating duty-cycle 

and application of the engine (e.g., used 

to propel planing vessels, use to propel 

vessels with variable-pitch propellers, 

constant-speed auxiliary, recreational, 

etc.).

* * * * *

30. Section 94.204 is amended by 

removing ‘‘and’’ at the end of paragraph 

(b)(9), adding ‘‘; and’’ at the end of 

paragraph (b)(10), adding a new 

paragraph (b)(11), and revising 

paragraph (e) to read as follows:

§ 94.204 Designation of engine families.

* * * * *

(b) * * * 

(11) Class (commercial or 

recreational).

* * * * *

(e) Upon request by the manufacturer, 

the Administrator may allow engines 

that would be required to be grouped 

into separate engine families based on 

the criteria in paragraph (b) or (c) of this 

section to be grouped into a single 

engine family if the manufacturer 

demonstrates that the engines will have 

similar emission characteristics; 

however, recreational and commercial 

engines may not be grouped in the same 

engine family. This request must be 

accompanied by emission information 

supporting the appropriateness of such 

combined engine families.

31. Section 94.209 is revised to read 

as follows:

§ 94.209 Special provisions for postmanufacture marinizers and small-volume 

manufacturers. 

(a) Broader engine families. Instead of 

the requirements of § 94.204, an engine 

family may consist of any engines 

subject to the same emission standards. 

This does not change any of the 

requirements of this part for showing 

that an engine family meets emission 

standards. To be eligible to use the 

provisions of this paragraph (a), the 

manufacturer must demonstrate one of 

the following: 

(1) It is a post-manufacture marinizer 

and that the base engines used for 

modification have a valid certificate of 

conformity issued under 40 CFR part 89 

or 40 CFR part 92 or the heavy-duty 

engine provisions of 40 CFR part 86. 

(2) It is a small-volume manufacturer. 

(b) Hardship relief. Post-manufacture 

marinizers, small-volume 

manufacturers, and small-volume boat 

builders may take any of the otherwise 

prohibited actions identified in 

§ 94.1103(a)(1) if approved in advance 

by the Administrator, subject to the 

following requirements: 

(1) Application for relief must be 

submitted to the Designated Officer in 

writing prior to the earliest date in 

which the applying manufacturer would 

be in violation of § 94.1103. The 

manufacturer must submit evidence 

showing that the requirements for 

approval have been met. 

(2) The conditions causing the 

impending violation must not be 

substantially the fault of the applying 

manufacturer. 

(3) The conditions causing the 

impending violation must jeopardize 

the solvency of the applying 

manufacturer if relief is not granted. 

(4) The applying manufacturer must 

demonstrate that no other allowances 

under this part will be available to avoid 

the impending violation. 

(5) Any relief may not exceed one 

year beyond the date relief is granted. 

(6) The Administrator may impose 

other conditions on the granting of relief 

including provisions to recover the lost 

environmental benefit. 

(7) The manufacturer must add a 

permanent, legible label, written in 

block letters in English, to a readily 

visible part of each engine exempted 

under this paragraph (b). 

This label must include at least the 

following items: 

(i) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your corporate name and 

trademark. 

(iii) Engine displacement (in liters), 

rated power, and model year of the 

engine or whom to contact for further 

information. 

(iv) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 94.209(b) 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’. 

(c) Extension of deadlines. Smallvolume manufacturers may use the 

provisions of 40 CFR 1068.250 to ask for 

an extension of a deadline to meet 

emission standards. We may require 

that you use available base engines that 

have been certified to emission 

standards for land-based engines until 

you are able to produce engines certified 

to the requirements of this part.

32. Section 94.212 is amended by 

revising paragraph (b)(10) to read as 

follows:

§ 94.212 Labeling.

* * * * *

(b) Engine labels. * * * 

(10) The application for which the 

engine family is certified. (For example: 

constant-speed auxiliary, variable-speed 

propulsion engines used with fixedpitch propellers, recreational, etc.)

* * * * *

33. Section 94.218 is amended by 

adding a new paragraph (d)(2)(iv) to 

read as follows:

§ 94.218 Deterioration factor 

determination.

* * * * *

(d) * * * 

(2) * * * 

(iv) Assigned deterioration factors.

Small-volume manufacturers may use 

deterioration factors established by EPA.

Subpart D—[Amended]

34. Section 94.304 is amended by 

revising paragraph (k) to read as follows:

§ 94.304 Compliance requirements.

* * * * *

(k) The following provisions limit 

credit exchanges between different 

types of engines: 

(1) Credits generated by Category 1 

engine families may be used for 

compliance by Category 1 or Category 2 

engine families. Credits generated from 

Category 1 engine families for use by 

Category 2 engine families must be 

discounted by 25 percent. 

(2) Credits generated by Category 2 

engine families may be used for 

compliance only by Category 2 engine 

families. 

(3) Credits may not be exchanged 

between recreational and commercial 

engines.

* * * * *

Subpart F—[Amended]

35. Section 94.501 is amended by 

revising paragraph (a) to read as follows:

§ 94.501 Applicability. 

(a) The requirements of this subpart 

are applicable to manufacturers of 

engines subject to the provisions of 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68347

Subpart A of this part, excluding smallvolume manufacturers.

* * * * *

36. Section 94.503 is amended by 

adding a new paragraph (d) to read as 

follows:

§ 94.503 General requirements.

* * * * *

(d) If you certify an engine family 

with carryover emission data, as 

described in § 94.206(c), and these 

equivalent engine families consistently 

pass the production-line testing 

requirements over the preceding twoyear period, you may ask for a reduced 

testing rate for further production-line 

testing for that family. The minimum 

testing rate is one engine per engine 

family. If we reduce your testing rate, 

we may limit our approval to any 

number of model years. In determining 

whether to approve your request, we 

may consider the number of engines 

that have failed the emission tests.

Subpart J—[Amended] 

37. Section 94.907 is amended by 

revising paragraphs (d) and (g) to read 

as follows:

§ 94.907 Engine dressing exemption.

* * * * *

(d) New marine engines that meet all 

the following criteria are exempt under 

this section: 

(1) You must produce it by marinizing 

an engine covered by a valid certificate 

of conformity from one of the following 

programs: 

(i) Heavy-duty highway engines (40 

CFR part 86). 

(ii) Land-based nonroad diesel 

engines (40 CFR part 89). 

(iii) Locomotive engines (40 CFR part 

92). 

(2) The engine must have the label 

required under 40 CFR part 86, 89, or 

92. 

(3) You must not make any changes to 

the certified engine that could 

reasonably be expected to increase its 

emissions. For example, if you make 

any of the following changes to one of 

these engines, you do not qualify for the 

engine dressing exemption: 

(i) Changing any fuel system 

parameters from the certified 

configuration. 

(ii) Replacing an original 

turbocharger, except that small-volume 

manufacturers of recreational engines 

may replace an original turbocharger 

with one that matches the performance 

of the original turbocharger. 

(iii) Modify or design the marine 

engine cooling or aftercooling system so 

that temperatures or heat rejection rates 

are outside the original engine 

manufacturer’s specified ranges. 

(4) You must make sure that fewer 

than 50 percent of the engine model’s 

total sales, from all companies, are used 

in marine applications.

* * * * *

(g) If your engines do not meet the 

criteria listed in paragraphs (d)(2) 

through (d)(4) of this section, they will 

be subject to the standards and 

prohibitions of this part. Marinization 

without a valid exemption or certificate 

of conformity would be a violation of 

§ 94.1103(a)(1) and/or the tampering 

prohibitions of the applicable landbased regulations (40 CFR part 86, 89, 

or 92).

* * * * *

Subpart L—[Amended] 

38. Section 94.1103 is amended by 

revising paragraph (a)(5) to read as 

follows:

§ 94.1103 Prohibited acts. 

(a) * * * 

(5) For a manufacturer of marine 

vessels to distribute in commerce, sell, 

offer for sale, or deliver for introduction 

into commerce a new vessel containing 

an engine not covered by a certificate of 

conformity applicable for an engine 

model year the same as or later than the 

calendar year in which the manufacture 

of the new vessel is initiated. This 

prohibition covers improper installation 

in a manner such that the installed 

engine would not be covered by the 

engine manufacturer’s certificate. 

Improper installation would include, 

but is not limited to, failure to follow 

the engine manufacturer’s instructions 

related to engine cooling, exhaust 

aftertreatment, emission sampling ports, 

or any other emission-related 

component, parameter, or setting. In 

general, you may use up your normal 

inventory of engines not certified to new 

emission standards if they were built 

before the date of the new standards. 

However, we consider stockpiling of 

these engines to be a violation of 

paragraph (a)(1)(i)(A) of this section. 

(Note: For the purpose of this paragraph 

(a)(5), the manufacture of a vessel is 

initiated when the keel is laid, or the 

vessel is at a similar stage of 

construction.)

* * * * *

39. A new subchapter U is added to 

chapter I, consisting of parts 1048, 1051, 

1065, and 1068, to read as follows:

SUBCHAPTER U—AIR POLLUTION 

CONTROLS

PART 1048—CONTROL OF EMISSIONS 

FROM NEW, LARGE NONROAD 

SPARK-IGNITION ENGINES

Subpart A—Determining How to Follow This 

Part 

Sec. 

1048.1 Does this part apply to me? 

1048.5 Which engines are excluded or 

exempted from this part’s requirements? 

1048.10 What main steps must I take to 

comply with this part? 

1048.15 Do any other regulation parts affect 

me? 

1048.20 What requirements from this part 

apply to my excluded engines?

Subpart B—Emission Standards and 

Related Requirements 

1048.101 What exhaust emission standards 

must my engines meet? 

1048.105 What evaporative emissions 

standards and requirements apply? 

1048.110 How must my engines diagnose 

malfunctions? 

1048.115 What other requirements must my 

engines meet? 

1048.120 What warranty requirements 

apply to me? 

1048.125 What maintenance instructions 

must I give to buyers? 

1048.130 What installation instructions 

must I give to equipment manufacturers? 

1048.135 How must I label and identify the 

engines I produce? 

1048.140 What are the provisions for 

certifying Blue Sky Series engines? 

1048.145 What provisions apply only for a 

limited time?

Subpart C—Certifying Engine Families 

1048.201 What are the general requirements 

for submitting a certification 

application? 

1048.205 What must I include in my 

application? 

1048.210 May I get preliminary approval 

before I complete my application? 

1048.215 What happens after I complete my 

application? 

1048.220 How do I amend the maintenance 

instructions in my application? 

1048.225 How do I amend my application 

to include new or modified engines? 

1048.230 How do I select engine families? 

1048.235 What emission testing must I 

perform for my application for a 

certificate of conformity? 

1048.240 How do I demonstrate that my 

engine family complies with exhaust 

emission standards? 

1048.245 How do I demonstrate that my 

engine family complies with evaporative 

emission standards? 

1048.250 What records must I keep and 

make available to EPA? 

1048.255 When may EPA deny, revoke, or 

void my certificate of conformity?

Subpart D—Testing Production-line 

Engines 

1048.301 When must I test my productionline engines? 

68348 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

1048.305 How must I prepare and test my 

production-line engines? 

1048.310 How must I select engines for 

production-line testing? 

1048.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

1048.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

1048.325 What happens if an engine family 

fails the production-line requirements? 

1048.330 May I sell engines from an engine 

family with a suspended certificate of 

conformity? 

1048.335 How do I ask EPA to reinstate my 

suspended certificate? 

1048.340 When may EPA revoke my 

certificate under this subpart and how 

may I sell these engines again? 

1048.345 What production-line testing 

records must I send to EPA? 

1048.350 What records must I keep?

Subpart E—Testing In-use Engines 

1048.401 What testing requirements apply 

to my engines that have gone into 

service? 

1048.405 How does this program work? 

1048.410 How must I select, prepare, and 

test my in-use engines? 

1048.415 What happens if in-use engines 

do not meet requirements? 

1048.420 What in-use testing information 

must I report to EPA? 

1048.425 What records must I keep?

Subpart F—Test Procedures 

1048.501 What procedures must I use to 

test my engines? 

1048.505 What steady-state duty cycles 

apply for laboratory testing? 

1048.510 What transient duty cycles apply 

for laboratory testing? 

1048.515 Field-testing procedures.

Subpart G—Compliance Provisions 

1048.601 What compliance provisions 

apply to these engines? 

1048.605 What are the provisions for 

exempting engines from the 

requirements of this part if they are 

already certified under the motor-vehicle 

program? 

1048.610 What are the provisions for 

producing nonroad equipment with 

engines already certified under the 

motor-vehicle program? 

1048.615 What are the provisions for 

exempting engines designed for lawn 

and garden applications? 

1048.620 What are the provisions for 

exempting large engines fueled by 

natural gas? 

1048.625 What special provisions apply to 

engines using noncommercial fuels?

Subpart H—[Reserved]

Subpart I—Definitions and Other Reference 

Information 

1048.801 What definitions apply to this 

part? 

1048.805 What symbols, acronyms, and 

abbreviations does this part use? 

1048.810 What materials does this part 

reference? 

1048.815 How should I request EPA to keep 

my information confidential? 

1048.820 How do I request a hearing? 

Appendix I to Part 1048—Large Sparkignition (SI) Transient Cycle for 

Constant-Speed Engines 

Appendix II to Part 1048—Large Sparkignition (SI) Composite Transient Cycle

Authority: 42 U.S.C. 7401–7671(q).

Subpart A—Determining How to Follow 

This Part

§ 1048.1 Does this part apply to me? 

(a) This part applies to you if you 

manufacture or import new, sparkignition, nonroad engines (defined in 

§ 1048.801) with maximum brake power 

above 19 kW, unless we exclude them 

under § 1048.5. See § 1048.20 for the 

requirements that apply to excluded 

engines. 

(b) If you manufacture or import 

engines with maximum brake power at 

or below 19 kW that would otherwise be 

covered by 40 CFR part 90, you may 

choose to meet the requirements of this 

part instead. In this case, all the 

provisions of this part apply for those 

engines. 

(c) As noted in subpart G of this part, 

40 CFR part 1068 applies to everyone, 

including anyone who manufactures, 

installs, owns, operates, or rebuilds any 

of the engines this part covers or 

equipment containing these engines. 

(d) You need not follow this part for 

engines you produce before January 1, 

2004, unless you certify voluntarily. See 

§§ 1048.101 through 1048.115 and 

§ 1048.145 and the definition of model 

year in § 1048.801 for more information 

about the timing of new requirements. 

(e) See §§ 1048.801 and 1048.805 for 

definitions and acronyms that apply to 

this part. The definition section 

contains significant regulatory 

provisions and it is very important that 

you read them.

§ 1048.5 Which engines are excluded or 

exempted from this part’s requirements? 

(a) This part does not apply to the 

following nonroad engines: 

(1) Engines certified to meet the 

requirements of 40 CFR part 1051 (for 

example, engines used in 

snowmobiles and all-terrain vehicles). 

(2) Propulsion marine engines. See 40 

CFR part 91. This part applies with 

respect to auxiliary marine engines. 

(b) See subpart G of this part and 40 

CFR part 1068, subpart C, for 

exemptions of specific engines. 

(c) Send the Designated Officer a 

written request if you want us to 

determine whether this part covers or 

excludes certain engines. Excluding 

engines from this part’s requirements 

does not affect other requirements that 

may apply to them.

Note: See 40 CFR part 87 for engines used 

in aircraft.)

(d) As defined in § 1048.801, 

stationary engines are not required to 

comply with this part (because they are 

not nonroad engines), except that you 

must meet the requirements in 

§ 1048.20. In addition, the prohibitions 

in 40 CFR 1068.101 restrict the use of 

stationary engines for non-stationary 

purposes.

§ 1048.10 What main steps must I take to 

comply with this part? 

(a) You must have a certificate of 

conformity from us for each engine 

family before you do any of the 

following with a new nonroad engine 

covered by this part: sell, offer for sale, 

introduce into commerce, distribute or 

deliver for introduction into commerce, 

or import it into the United States. 

‘‘New’’ engines may include some 

already placed in service (see the 

definition of ‘‘new nonroad engine’’ and 

‘‘new nonroad equipment’’ in 

§ 1048.801). You must get a new 

certificate of conformity for each new 

model year. 

(b) To get a certificate of conformity 

and comply with its terms, you must do 

six things: 

(1) Meet the emission standards and 

other requirements in subpart B of this 

part. 

(2) Perform preproduction emission 

tests. 

(3) Apply for certification (see subpart 

C of this part). 

(4) Do routine emission testing on 

production engines as required by 

subpart D of this part. 

(5) Do emission testing on in-use 

engines, as we direct under subpart E 

of this part. 

(6) Follow our instructions 

throughout this part. 

(c) Subpart F of this part describes 

how to test your engines (including 

references to other parts). 

(d) Subpart G of this part and 40 CFR 

part 1068 describe requirements and 

prohibitions that apply to engine 

manufacturers, equipment 

manufacturers, owners, operators, 

rebuilders, and all others.

§ 1048.15 Do any other regulation parts 

affect me? 

(a) Part 1065 of this chapter describes 

procedures and equipment 

specifications for testing engines. 

Subpart F of this part describes how to 

apply the provisions of part 1065 of this 

chapter to show you meet the emission 

standards in this part. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68349

(b) Part 1068 of this chapter describes 

general provisions, including these 

seven areas: 

(1) Prohibited acts and penalties for 

engine manufacturers, equipment 

manufacturers, and others. 

(2) Rebuilding and other aftermarket 

changes. 

(3) Exclusions and exemption for 

certain engines. 

(4) Importing engines. 

(5) Selective enforcement audits of 

your production. 

(6) Defect reporting and recall. 

(7) Procedures for hearings. 

(c) Other parts of this chapter affect 

you if referenced in this part.

§ 1048.20 What requirements from this 

part apply to my excluded engines? 

(a) Engine manufacturers producing 

an engine excluded under § 1048.5(d) 

must add a permanent label or tag 

identifying each engine. This applies 

equally to importers. To meet labeling 

requirements, you must do the 

following things: 

(1) Attach the label or tag in one piece 

so no one can remove it without 

destroying or defacing it. 

(2) Make sure it is durable and 

readable for the engine’s entire life. 

(3) Secure it to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(4) Write it in block letters in English. 

(5) Instruct equipment manufacturers 

that they must place a duplicate label as 

described in 40 CFR 1068.105 if they 

obscure the engine’s label. 

(b) Engine labels or tags required 

under this section must have the 

following information: 

(1) Include the heading ‘‘Emission 

Control Information’’. 

(2) Include your full corporate name 

and trademark. 

(3) State the engine displacement (in 

liters) and maximum brake power. 

(4) State: ‘‘THIS ENGINE IS 

EXCLUDED FROM THE 

REQUIREMENTS OF 40 CFR PART 

1048 AS A ‘‘STATIONARY ENGINE.’’

INSTALLING OR USING THIS ENGINE 

IN ANY OTHER APPLICATION MAY 

BE A VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY.’’.

Subpart B—Emission Standards and 

Related Requirements

§ 1048.101 What exhaust emission 

standards must my engines meet? 

Apply the exhaust emission standards 

in this section by model year. You may 

choose to certify engines earlier than we 

require. The Tier 1 standards apply only 

to steady-state testing, as described in 

paragraph (b) of this section. The Tier 2 

standards apply to steady-state, 

transient, and field testing, as described 

in paragraphs (a), (b), and (c) of this 

section. 

(a) Standards for transient testing.

Starting in the 2007 model year, Tier 2 

exhaust emission standards apply for 

transient measurement of emissions 

with the duty-cycle test procedures in 

subpart F of this part: 

(1) The Tier 2 HC+NOX standard is 

2.7 g/kW-hr and the Tier 2 CO standard 

is 4.4 g/kW-hr. For severe-duty engines, 

the Tier 2 HC+NOX standard is 2.7 g/

kW-hr and the Tier 2 CO standard is 

130.0 g/kW-hr. The standards in this 

paragraph (a) do not apply for transient 

testing of high-load engines. 

(2) You may optionally certify your 

engines according to the following 

formula instead of the standards in 

paragraph (a)(1) of this section: 

(HC+NOX) × CO 0.784 ≤ 8.57. The 

HC+NOX and CO emission levels you 

select to satisfy this formula, rounded to 

the nearest 0.1 g/kW-hr, become the 

emission standards that apply for those 

engines. You may not select an HC+NOX

emission standard higher than 2.7 g/kWhr or a CO emission standard higher 

than 20.6 g/kW-hr. The following table 

illustrates a range of possible values 

under this paragraph (a)(2):

TABLE 1 OF § 1048.101.—EXAMPLES

OF POSSIBLE TIER 2 DUTY-CYCLE

EMISSION STANDARDS

HC+NOX

(g/kW-hr) 

CO

(g/kW-hr) 

2.7 ............................................. 4.4 

2.2 ............................................. 5.6 

1.7 ............................................. 7.9 

1.3 ............................................. 11.1 

1.0 ............................................. 15.5 

0.8 ............................................. 20.6 

(b) Standards for steady-state testing.

Except as we allow in paragraph (d) of 

this section, the following exhaust 

emission standards apply for steadystate measurement of emissions with the 

duty-cycle test procedures in subpart F 

of this part: 

(1) The following table shows the Tier 

1 exhaust emission standards that apply 

to engines from 2004 through 2006 

model years:

TABLE 2 OF § 1048.101.—TIER 1 EMISSION STANDARDS (G/KW-HR) 

Testing 

General emission

standards 

Alternate emission

standards for severe-duty

engines 

HC+NOX CO HC+NOX CO 

Certification and production-line testing .......................................................................... 4.0 50.0 4.0 130.0 

In-use testing ................................................................................................................... 5.4 50.0 5.4 130.0 

(2) Starting in the 2007 model year, 

engines must meet the Tier 2 exhaust 

emission standards in paragraph (a) of 

this section for both steady-state and 

transient testing. See paragraph (d) of 

this section for alternate standards that 

apply for certain engines. 

(c) Standards for field testing. Starting 

in 2007, the following Tier 2 exhaust 

emission standards apply for emission 

measurements with the field-testing 

procedures in subpart F of this part: 

(1) The HC+NOX standard is 3.8 g/

kW-hr and the CO standard is 6.5 g/kWhr. For severe-duty engines, the 

HC+NOX standard is 3.8 g/kW-hr and 

the CO standard is 200.0 g/kW-hr. For 

natural gas-fueled engines, you are not 

required to measure nonmethane 

hydrocarbon emissions or total 

hydrocarbon emissions for testing to 

show that the engine meets the emission 

standards of this paragraph (c); that is, 

you may assume HC emissions are equal 

to zero. 

(2) You may apply the following 

formula to determine alternate emission 

standards that apply to your engines 

instead of the standards in paragraph 

(c)(1) of this section: (HC+NOX) ×

CO0.791 ≤ 16.78. HC+NOX emission 

levels may not exceed 3.8 g/kW-hr and 

CO emission levels may not exceed 31.0 

g/kW-hr. The following table illustrates 

a range of possible values under this 

paragraph (c)(2):

68350 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

TABLE 3 OF § 1048.101.—EXAMPLES

OF POSSIBLE TIER 2 FIELD-TESTING

EMISSION STANDARDS

HC+NOX

(g/kW-hr) 

CO

(g/kW-hr) 

3.8 ............................................. 6.5 

3.1 ............................................. 8.5 

2.4 ............................................. 11.7 

1.8 ............................................. 16.8 

1.4 ............................................. 23.1 

1.1 ............................................. 31.0 

(d) Engine protection. For engines that 

require enrichment at high loads to 

protect the engine, you may ask to meet 

alternate Tier 2 standards of 2.7 g/kWhr for HC+NOX and 31.0 g/kW-hr for CO 

instead of the emission standards 

described in paragraph (b)(2) of this 

section for steady-state testing. If we 

approve your request, you must still 

meet the transient testing standards in 

paragraph (a) of this section and the 

field-testing standards in paragraph (c) 

of this section. To qualify for this 

allowance, you must do all the 

following things:

(1) Show that enrichment is necessary 

to protect the engine from damage. 

(2) Show that you limit enrichment to 

operating modes that require additional 

cooling to protect the engine from 

damage. 

(3) Show in your application for 

certification that enrichment will rarely 

occur in use in the equipment in which 

your engines are installed. For example, 

an engine that is expected to operate 5 

percent of the time in use with 

enrichment would clearly not qualify. 

(4) Include in your installation 

instructions any steps necessary for 

someone installing your engines to 

prevent enrichment during normal 

operation (see § 1048.130). 

(e) Fuel types. Apply the exhaust 

emission standards in this section for 

engines using each type of fuel specified 

in 40 CFR part 1065, subpart C, for 

which they are designed to operate. You 

must meet the numerical emission 

standards for hydrocarbons in this 

section based on the following types of 

hydrocarbon emissions for engines 

powered by the following fuels: 

(1) Gasoline- and LPG-fueled engines: 

THC emissions. 

(2) Natural gas-fueled engines: NMHC 

emissions. 

(3) Alcohol-fueled engines: THCE 

emissions. 

(f) Small engines. Certain engines 

with total displacement at or below 

1000 cc may comply with the 

requirements of 40 CFR part 90 instead 

of complying with the requirements of 

this part, as described in § 1048.615. 

(g) Useful life. Your engines must 

meet the exhaust emission standards in 

paragraphs (a) through (c) of this section 

over their full useful life (§ 1048.240 

describes how to use deterioration 

factors to show this). The minimum 

useful life is 5,000 hours of operation or 

seven years, whichever comes first. 

(1) Specify a longer useful life in 

hours for an engine family under either 

of two conditions: 

(i) If you design, advertise, or market 

your engine to operate longer than the 

minimum useful life (your 

recommended hours until rebuild may 

indicate a longer design life). 

(ii) If your basic mechanical warranty 

is longer than the minimum useful life. 

(2) You may request a shorter useful 

life for an engine family if you have 

documentation from in-use engines 

showing that these engines will rarely 

operate longer than the alternate useful 

life. The useful life value may not be 

shorter than any of the following: 

(i) 1,000 hours of operation. 

(ii) Your recommended overhaul 

interval. 

(iii) Your mechanical warranty for the 

engine. 

(h) Applicability for testing. The 

standards in this subpart apply to all 

testing, including production-line and 

in-use testing, as described in subparts 

D and E of this part.

§ 1048.105 What evaporative emissions 

standards and requirements apply? 

(a) Starting in the 2007 model year, 

engines that run on a volatile liquid fuel 

(such as gasoline), must meet the 

following evaporative emissions 

standards and requirements: 

(1) Evaporative hydrocarbon 

emissions may not exceed 0.2 grams per 

gallon of fuel tank capacity when 

measured with the test procedures for 

evaporative emissions in subpart F of 

this part. 

(2) For nonmetallic fuel lines, you 

must specify and use products that meet 

the Category 1 specifications in SAE 

J2260 (incorporated by reference in 

§ 1048.810). 

(3) Liquid fuel in the fuel tank may 

not reach boiling during continuous 

engine operation in the final installation 

at an ambient temperature of 30° C. Note 

that gasoline with a Reid vapor pressure 

of 62 kPa (9 psi) begins to boil at about 

53° C. 

(b) Note that § 1048.245 allows you to 

use design-based certification instead of 

generating new emission data. 

(c) If other companies install your 

engines in their equipment, give them 

any appropriate instructions, as 

described in § 1048.130.

§ 1048.110 How must my engines 

diagnose malfunctions? 

(a) Equip your engines with a 

diagnostic system. Starting in the 2007 

model year, equip each engine with a 

diagnostic system that will detect 

significant malfunctions in its emissioncontrol system using one of the 

following protocols: 

(1) If your emission-control strategy 

depends on maintaining air-fuel ratios 

at stoichiometry, an acceptable 

diagnostic design would identify 

malfunction whenever the air-fuel ratio 

does not cross stoichiometry for one 

minute of intended closed-loop 

operation. You may use other diagnostic 

strategies if we approve them in 

advance. 

(2) If the protocol described in 

paragraph (a)(1) of this section does not 

apply to your engine, you must use an 

alternative approach that we approve in 

advance. Your alternative approach 

must generally detect when the 

emission-control system is not 

functioning properly.

(b) Use a malfunction-indicator light 

(MIL). The MIL must be readily visible 

to the operator; it may be any color 

except red. When the MIL goes on, it 

must display ‘‘Check Engine,’’ ‘‘Service 

Engine Soon,’’ or a similar message that 

we approve. You may use sound in 

addition to the light signal. The MIL 

must go on under each of these 

circumstances: 

(1) When a malfunction occurs, as 

described in paragraph (a) of this 

section. 

(2) When the diagnostic system 

cannot send signals to meet the 

requirement of paragraph (b)(1) of this 

section. 

(3) When the engine’s ignition is in 

the ‘‘key-on’’ position before starting or 

cranking. The MIL should go out after 

engine starting if the system detects no 

malfunction. 

(c) Control when the MIL can go out.

If the MIL goes on to show a 

malfunction, it must remain on during 

all later engine operation until servicing 

corrects the malfunction. If the engine is 

not serviced, but the malfunction does 

not recur for three consecutive engine 

starts during which the malfunctioning 

system is evaluated and found to be 

working properly, the MIL may stay off 

during later engine operation. 

(d) Store trouble codes in computer 

memory. Record and store in computer 

memory any diagnostic trouble codes 

showing a malfunction that should 

illuminate the MIL. The stored codes 

must identify the malfunctioning system 

or component as uniquely as possible. 

Make these codes available through the 

data link connector as described in 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68351

paragraph (g) of this section. You may 

store codes for conditions that do not 

turn on the MIL. The system must store 

a separate code to show when the 

diagnostic system is disabled (from 

malfunction or tampering). 

(e) Make data, access codes, and 

devices accessible. Make all required 

data accessible to us without any access 

codes or devices that only you can 

supply. Ensure that anyone servicing 

your engine can read and understand 

the diagnostic trouble codes stored in 

the onboard computer with generic tools 

and information. 

(f) Consider exceptions for certain 

conditions. Your diagnostic systems 

may disregard trouble codes for the first 

three minutes after engine starting. You 

may ask us to approve diagnosticsystem designs that disregard trouble 

codes under other conditions that 

would produce an unreliable reading, 

damage systems or components, or 

cause other safety risks. This might 

include operation at altitudes over 8,000 

feet. 

(g) Follow standard references for 

formats, codes, and connections. Follow 

conventions defined in the following 

documents (incorporated by reference in 

§ 1048.810) or ask us to approve using 

updated versions of (or variations from) 

these documents: 

(1) ISO 9141–2 Road vehiclesDiagnostic systems—Part 2: CARB 

requirements for interchange of digital 

information, February 1994. 

(2) ISO 14230–4 Road vehicles—

Diagnostic systems—Keyword Protocol 

2000—Part 4: Requirements for 

emission-related systems, June 2000.

§ 1048.115 What other requirements must 

my engines meet? 

Your engines must meet the following 

requirements: 

(a) Closed crankcase. Your engines 

may not vent crankcase emissions into 

the atmosphere throughout their useful 

life, with the following exception: your 

engines may vent crankcase emissions if 

you measure and include these 

crankcase emissions with all measured 

exhaust emissions. 

(b) Torque broadcasting.

Electronically controlled engines must 

broadcast their speed and output shaft 

torque (in newton-meters) on their 

controller area networks. Engines may 

alternatively broadcast a surrogate value 

for torque that can be read with a remote 

device. This information is necessary for 

testing engines in the field (see 40 CFR 

1065.515). This requirement applies 

beginning in the 2007 model year. 

Small-volume engine manufacturers 

may omit this requirement. 

(c) EPA access to broadcast 

information. If we request it, you must 

provide us any hardware or tools we 

would need to readily read, interpret, 

and record all information broadcast by 

an engine’s on-board computers and 

electronic control modules. If you 

broadcast a surrogate parameter for 

torque values, you must provide us 

what we need to convert these into 

torque units. We will not ask for 

hardware or tools if they are readily 

available commercially. 

(d) Emission sampling capability.

Produce all your engines to allow 

sampling of exhaust emissions in the 

field without damaging the engine or 

equipment. Show in your application 

for certification how this can be done in 

a way that prevents diluting the exhaust 

sample with ambient air. To do this, you 

might simply allow for extending the 

exhaust pipe by 20 cm; you might also 

install exhaust ports downstream of any 

aftertreatment devices. 

(e) Adjustable parameters. Engines 

that have adjustable parameters must 

meet all the requirements of this part for 

any adjustment in the physically 

adjustable range. 

(1) We do not consider an operating 

parameter adjustable if you permanently 

seal it or if ordinary tools cannot readily 

access it. 

(2) We may require that you set 

adjustable parameters to any 

specification within the adjustable range 

during certification testing, productionline testing, selective enforcement 

auditing, or any in-use testing. 

(f) Prohibited controls. You may not 

design your engines with emissioncontrol devices, systems, or elements of 

design that cause or contribute to an 

unreasonable risk to public health, 

welfare, or safety while operating. For 

example, this would apply if the engine 

emits a noxious or toxic substance it 

would otherwise not emit that 

contributes to such an unreasonable 

risk. 

(g) Defeat devices. You may not equip 

your engines with a defeat device. A 

defeat device is an auxiliary emissioncontrol device that reduces the 

effectiveness of emission controls under 

conditions you may reasonably expect 

the engine to encounter during normal 

operation and use. This does not apply 

to auxiliary emission-control devices 

you identify in your certification 

application if any of the following is 

true: 

(1) The conditions of concern were 

substantially included in your 

prescribed duty cycles. 

(2) You show your design is necessary 

to prevent catastrophic engine (or 

equipment) damage or accidents. 

(3) The reduced effectiveness applies 

only to starting the engine.

§ 1048.120 What warranty requirements 

apply to me? 

(a) General requirements. You must 

warrant to the ultimate buyer that the 

new nonroad engine meets two 

conditions: 

(1) It is designed, built, and equipped 

it to conform at the time of sale with the 

requirements of this part. 

(2) It is free from defects in materials 

and workmanship that may keep it from 

meeting these requirements.

(b) Warranty period. Your emissionrelated warranty must be valid for at 

least 50 percent of the engine’s useful 

life in hours of operation or at least 

three years, whichever comes first. In 

the case of a high-cost warranted part, 

the warranty must be valid for at least 

70 percent of the engine’s useful life in 

hours of operation or at least five years, 

whichever comes first. You may offer an 

emission-related warranty more 

generous than we require. This warranty 

may not be shorter than any published 

or negotiated warranty you offer for the 

engine or any of its components. If an 

engine has no hour meter, we base the 

warranty periods in this paragraph (b) 

only on the engine’s age (in years). 

(c) Components covered. The 

emission-related warranty must cover 

components whose failure would 

increase an engine’s emissions, 

including electronic controls, fuel 

injection (for liquid or gaseous fuels), 

exhaust-gas recirculation, 

aftertreatment, or any other system you 

develop to control emissions. We 

generally consider replacing or repairing 

other components to be the owner’s 

responsibility. 

(d) Scheduled maintenance. You may 

schedule emission-related maintenance 

for a component named in paragraph (c) 

of this section, subject to the restrictions 

of § 1048.125. You are not required to 

cover this scheduled maintenance under 

your warranty if the component meets 

either of the following criteria: 

(1) The component was in general use 

on similar engines, and was subject to 

scheduled maintenance, before January 

1, 2000. 

(2) Failure of the component would 

clearly degrade the engine’s 

performance enough that the operator 

would need to repair or replace it. 

(e) Limited applicability. You may 

deny warranty claims under this section 

if the operator caused the problem, as 

described in 40 CFR 1068.115. 

(f) Aftermarket parts. As noted 40 CFR 

1068.101, it is a violation of the Act to 

manufacture an engine part if one of its 

main effects is to reduce the 

68352 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

effectiveness of the engine’s emission 

controls. If you make an aftermarket 

part, you may—but do not have to—

certify that using the part will still allow 

engines to meet emission standards, as 

described in 40 CFR 85.2114.

§ 1048.125 What maintenance instructions 

must I give to buyers? 

Give the ultimate buyer of each new 

nonroad engine written instructions for 

properly maintaining and using the 

engine, including the emission-control 

system. The maintenance instructions 

also apply to service accumulation on 

your test engines, as described in 40 

CFR part 1065, subpart E. 

(a) Critical emission-related 

maintenance. Critical emission-related 

maintenance includes any adjustment, 

cleaning, repair, or replacement of airinduction, fuel-system, or ignition 

components, aftertreatment devices, 

exhaust gas recirculation systems, 

crankcase ventilation valves, sensors, or 

electronic control units. This may also 

include any other component whose 

only purpose is to reduce emissions or 

whose failure will increase emissions 

without significantly degrading engine 

performance. You may schedule critical 

emission-related maintenance on these 

components if you meet the following 

conditions: 

(1) You may ask us to approve critical 

emission-related maintenance only if it 

meets two criteria: 

(i) Operators are reasonably likely to 

do the maintenance you call for. 

(ii) Engines need the maintenance to 

meet emission standards. 

(2) We will accept scheduled 

maintenance as reasonably likely to 

occur in use if you satisfy any of four 

conditions: 

(i) You present data showing that, if 

a lack of maintenance increases 

emissions, it also unacceptably degrades 

the engine’s performance. 

(ii) You present survey data showing 

that 80 percent of engines in the field 

get the maintenance you specify at the 

recommended intervals. 

(iii) You provide the maintenance free 

of charge and clearly say so in 

maintenance instructions for the 

customer. 

(iv) You otherwise show us that the 

maintenance is reasonably likely to be 

done at the recommended intervals. 

(3) You may not schedule critical 

emission-related maintenance more 

frequently than the following intervals, 

except as specified in paragraph (a)(4) of 

this section: 

(i) For catalysts, fuel injectors, 

electronic control units, superchargers, 

and turbochargers: the useful life of the 

engine family. 

(ii) For gaseous fuel-system 

components (cleaning without 

disassembly only) and oxygen sensors: 

2,500 hours. 

(4) If your engine family has an 

alternate useful life shorter than the 

period specified in paragraph (a)(3)(ii) 

of this section, you may not schedule 

maintenance on those components more 

frequently than the alternate useful life 

(see § 1048.101(g)). 

(b) Recommended additional 

maintenance. You may recommend any 

additional amount of maintenance on 

the components listed in paragraph (a) 

of this section, as long as you make clear 

that these maintenance steps are not 

necessary to keep the emission-related 

warranty valid. If operators do the 

maintenance specified in paragraph (a) 

of this section, but not the 

recommended additional maintenance, 

this does not allow you to disqualify 

them from in-use testing or deny a 

warranty claim. 

(c) Special maintenance. You may 

specify more frequent maintenance to 

address problems related to special 

situations such as substandard fuel or 

atypical engine operation. For example, 

you may specify more frequent cleaning 

of fuel system components for engines 

you have reason to believe will be using 

fuel that causes substantially more 

engine performance problems than 

commercial fuels of the same type that 

are generally available across the United 

States. 

(d) Noncritical emission-related 

maintenance. For engine parts not listed 

in paragraph (a) of this section, you may 

schedule any amount of emissionrelated inspection or maintenance. But 

you must state clearly that these steps 

are not necessary to keep the emissionrelated warranty valid. Also, do not take 

these inspection or maintenance steps 

during service accumulation on your 

test engines. 

(e) Maintenance that is not emissionrelated. For maintenance unrelated to 

emission controls, you may schedule 

any amount of inspection or 

maintenance. You may also take these 

inspection or maintenance steps during 

service accumulation on your test 

vehicles or engines. This might include 

adding engine oil or changing air, fuel, 

or oil filters. 

(f) Source of parts and repairs. Print 

clearly on the first page of your written 

maintenance instructions that any repair 

shop or person may maintain, replace, 

or repair emission-control devices and 

systems. Your instructions may not 

require components or service identified 

by brand, trade, or corporate name. 

Also, do not directly or indirectly 

condition your warranty on a 

requirement that the vehicle be serviced 

by your franchised dealers or any other 

service establishments with which you 

have a commercial relationship. You 

may disregard the requirements in this 

paragraph (f) if you do one of two 

things: 

(1) Provide a component or service 

without charge under the purchase 

agreement. 

(2) Get us to waive this prohibition in 

the public’s interest by convincing us 

the engine will work properly only with 

the identified component or service.

§ 1048.130 What installation instructions 

must I give to equipment manufacturers? 

(a) If you sell an engine for someone 

else to install in a piece of nonroad 

equipment, give the buyer of the engine 

written instructions for installing it 

consistent with the requirements of this 

part. Include all information necessary 

to ensure that engines installed this way 

will meet emission standards. 

(b) Make sure these instructions have 

the following information: 

(1) Include the heading: ‘‘Emissionrelated installation instructions’’. 

(2) State: ‘‘Failing to follow these 

instructions when installing a certified 

engine in a piece of nonroad equipment 

violates federal law (40 CFR 

1068.105(b)), subject to fines or other 

penalties as described in the Clean Air 

Act.’’. 

(3) Describe any other instructions 

needed to install an exhaust 

aftertreatment device and to locate 

exhaust sampling ports consistent with 

your application for certification. 

(4) Describe the steps needed to 

control evaporative emissions, as 

described in §§ 1048.105 and 1048.245. 

(5) Describe any necessary steps for 

installing the diagnostic system 

described in § 1048.110.

(6) Describe any limits on the range of 

applications needed to ensure that the 

engine operates consistently with your 

application for certification. For 

example, if your engines are certified 

only for constant-speed operation, tell 

equipment manufacturers not to install 

the engines in variable-speed 

applications. Also, if you need to avoid 

sustained high-load operation to meet 

the field-testing emission standards we 

specify in § 1048.101(c) or to comply 

with the provisions of § 1048.101(d), 

describe how the equipment 

manufacturer must properly size the 

engines for a given application. 

(7) Describe any other instructions to 

make sure the installed engine will 

operate according to design 

specifications in your application for 

certification. 

(8) State: ‘‘If you install the engine in 

a way that makes the engine’s emission 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68353

control information label hard to read 

during normal engine maintenance, you 

must place a duplicate label on the 

vehicle, as described in 40 CFR 

1068.105.’’. 

(c) You do not need installation 

instructions for engines you install in 

your own equipment.

§ 1048.135 How must I label and identify 

the engines I produce? 

(a) Assign each production engine a 

unique identification number and 

permanently and legibly affix, engrave, 

or stamp it on the engine. 

(b) At the time of manufacture, add a 

permanent emission control information 

label identifying each engine. To meet 

labeling requirements, do four things: 

(1) Attach the label in one piece so it 

is not removable without being 

destroyed or defaced. 

(2) Design and produce it to be 

durable and readable for the engine’s 

entire life. 

(3) Secure it to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(4) Write it in block letters in English. 

(c) On your engine’s emission control 

information label, do 13 things: 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. 

(3) State: ‘‘THIS ENGINE IS 

CERTIFIED TO OPERATE ON [specify 

operating fuel or fuels].’’. 

(4) Identify the emission-control 

system; your identifiers must use names 

and abbreviations consistent with SAE 

J1930 (incorporated by reference in 

§ 1048.810). 

(5) List all requirements for fuel and 

lubricants. 

(6) State the date of manufacture 

(DAY (optional), MONTH, and YEAR); 

if you stamp this information on the 

engine and print it in the owner’s 

manual, you may omit it from the 

emission control information label. 

(7) State: ‘‘THIS ENGINE MEETS U.S. 

ENVIRONMENTAL PROTECTION 

AGENCY REGULATIONS FOR (MODEL 

YEAR) LARGE NONROAD SI 

ENGINES.’’. 

(8) Include EPA’s standardized 

designation for the engine family (and 

subfamily, where applicable). 

(9) State the engine’s displacement (in 

liters) and maximum brake power. 

(10) State the engine’s useful life (see 

§ 1048.101(g)). 

(11) List specifications and 

adjustments for engine tuneups; show 

the proper position for the transmission 

during tuneup and state which 

accessories should be operating. 

(12) Describe other information on 

proper maintenance and use. 

(13) Identify the emission standards to 

which you have certified the engine. 

(d) Some of your engines may need 

more information on the emission 

control information label. 

(1) If you have an engine family that 

has been certified only for constantspeed engines, add to the engine label 

‘‘CONSTANT-SPEED ONLY’’. 

(2) If you have an engine family that 

has been certified only for variablespeed engines, add to the engine label 

‘‘VARIABLE-SPEED ONLY’’. 

(3) If you have an engine family that 

has been certified only for high-load 

engines, add to the engine label ‘‘THIS 

ENGINE IS NOT INTENDED FOR 

OPERATION AT LESS THAN 75 

PERCENT OF FULL LOAD.’’. 

(4) If you certify an engine to the 

voluntary standards in § 1048.140, add 

to the engine label ‘‘BLUE SKY 

SERIES’’. 

(5) If you produce an engine we 

exempt from the requirements of this 

part, see subpart G of this part and 40 

CFR part 1068, subparts C and D, for 

more label information. 

(6) If you certify an engine family 

under § 1048.101(d) (and show in your 

application for certification that in-use 

engines will experience infrequent highload operation), add to the engine label 

‘‘THIS ENGINE IS NOT INTENDED FOR 

OPERATION AT MORE THAN l

PERCENT OF FULL LOAD.’’. Specify 

the appropriate percentage of full load 

based on the nature of the engine 

protection. You may add other 

statements to discourage operation in 

engine-protection modes. 

(e) Some engines may not have 

enough space for an emission control 

information label with all the required 

information. In this case, you may omit 

the information required in paragraphs 

(c)(3), (c)(4), (c)(5), and (c)(12) of this 

section if you print it in the owner’s 

manual instead. 

(f) If you are unable to meet these 

labeling requirements, you may ask us 

to modify them consistent with the 

intent of this section.

§ 1048.140 What are the provisions for 

certifying Blue Sky Series engines? 

This section defines voluntary 

standards for a recognized level of 

superior emission control for engines 

designated as ‘‘Blue Sky Series’’

engines. Blue Sky Series engines must 

meet one of the following standards: 

(a) For the 2003 model year, to receive 

a certificate of conformity, a ‘‘Blue Sky 

Series’’ engine family must meet all the 

requirements in this part that apply to 

2004 model year engines. This includes 

all testing and reporting requirements. 

(b) For the 2003 through 2006 model 

years, to receive a certificate of 

conformity, a ‘‘Blue Sky Series’’ engine 

family must meet all the requirements 

in this part that apply to 2007 model 

year engines. This includes all testing 

and reporting requirements. 

(c) For any model year, to receive a 

certificate of conformity as a ‘‘Blue Sky 

Series’’ engine family must meet all the 

requirements in this part, while 

certifying to the following exhaust 

emission standards: 

(1) 0.8 g/kW-hr HC+NOX and 4.4 g/

kW-hr CO using steady-state and 

transient test procedures, as described 

in subpart F of this part. 

(2) 1.1 g/kW-hr HC+NOX and 6.6 g/

kW-hr CO using field-testing 

procedures, as described in subpart F of 

this part. 

(d) If you certify an engine family 

under this section, it is subject to all the 

requirements of this part as if these 

voluntary standards were mandatory.

§ 1048.145 What provisions apply only for 

a limited time? 

The provisions in this section apply 

instead of other provisions in this part. 

This section describes when these 

interim provisions expire. 

(a) Family banking. You may certify 

an engine family to comply with Tier 1 

or Tier 2 standards earlier than 

necessary. For each model year of early 

compliance for an engine family, you 

may delay compliance with the same 

standards for an equal number of 

engines from another engine family (or 

families) for one model year. If you 

certify engines under the voluntary 

standards of § 1048.140, you may not 

use them in your calculation under this 

paragraph (a). Base your calculation on 

actual power-weighted nationwide sales 

for each family. You may delay 

compliance for up to three model years. 

For example, if you sell 1,000 engines 

with an average power rating of 60 kW 

certified a year early, you may delay 

certification to that tier of standards for 

up to 60,000 kW-engine-years in any of 

the following ways: 

(1) Delay certification of another 

engine family with an average power 

rating of 100 kW of up to 600 engines 

for one model year. 

(2) Delay certification of another 

engine family with an average power 

rating of 100 kW of up to 200 engines 

for three model years. 

(3) Delay certification of one engine 

family with an average power rating of 

100 kW of up to 400 engines for one 

model year and a second engine family 

with an average power rating of 200 kW 

of up to 50 engines for two model years.

(b) Hydrocarbon standards. For 2004 

through 2006 model years, engine 

manufacturers may use nonmethane 

68354 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

hydrocarbon measurements to 

demonstrate compliance with 

applicable emission standards. 

(c) Transient emission testing. 

Engines rated over 560 kW are exempt 

from the transient emission standards in 

§ 1048.101(a). 

(d) Tier 1 deterioration factors. For 

Tier 1 engines, base the deterioration 

factor from § 1048.240 on 3500 hours of 

operation. We may assign a 

deterioration factor for a Tier 1 engine 

family, but this would not affect your 

need to meet all emission standards that 

apply. 

(e) [Reserved] 

(f) Optional early field testing. You 

may optionally use the field-testing 

procedures in subpart F of this part for 

any in-use testing required under 

subpart E of this part to show that you 

meet Tier 1 standards. In this case, the 

same Tier 1 in-use emission standards 

apply to both steady-state testing in the 

laboratory and field testing. 

(g) Small-volume provisions. If you 

qualify for the hardship provisions in 

§ 1068.250 of this chapter, we may 

approve extensions of up to four years 

total. 

(h) 2004 certification. For the 2004 

model year, you may choose to have the 

emission standards and other 

requirements that apply to these engines 

in California serve as the emission 

standards and other requirements 

applicable under this part, instead of 

those in subpart A of this part. To ask 

for a certificate under this paragraph (h), 

send us the application for certification 

that you prepare for the California Air 

Resources Board instead of the 

information we otherwise require in 

§ 1048.205. 

(i) Recreational vehicles. Engines or 

vehicles identified in the scope of 40 

CFR part 1051 that are not yet regulated 

under that part are excluded from the 

requirements of this part. For example, 

snowmobiles produced in 2004 are not 

subject to the emission standards in this 

part. Once emission standards apply to 

these engines and vehicles, they are 

excluded from the requirements of this 

part under § 1048.5(a)(1).

Subpart C—Certifying Engine Families

§ 1048.201 What are the general 

requirements for submitting a certification 

application? 

(a) Send us an application for a 

certificate of conformity for each engine 

family. Each application is valid for 

only one model year. 

(b) The application must not include 

false or incomplete statements or 

information (see § 1048.255). 

(c) We may choose to ask you to send 

us less information than we specify in 

this subpart, but this would not change 

your recordkeeping requirements. 

(d) Use good engineering judgment for 

all decisions related to your application 

(see 40 CFR 1068.5). 

(e) An authorized representative of 

your company must approve and sign 

the application.

§ 1048.205 What must I include in my 

application? 

In your application, do all the 

following things unless we ask you to 

send us less information: 

(a) Describe the engine family’s 

specifications and other basic 

parameters of the engine’s design. List 

the types of fuel you intend to use to 

certify the engine family (for example, 

gasoline, liquefied petroleum gas, 

methanol, or natural gas). 

(b) Explain how the emission-control 

systems operate. 

(1) Describe in detail all the system 

components for controlling exhaust 

emissions, including auxiliary emissioncontrol devices and all fuel-system 

components you will install on any 

production or test engine. Explain why 

any auxiliary emission-control devices 

are not defeat devices (see 

§ 1048.115(g)). Do not include detailed 

calibrations for components unless we 

ask for them. 

(2) Describe the evaporative emission 

controls. 

(c) Explain how the engine diagnostic 

system works, describing especially the 

engine conditions (with the 

corresponding diagnostic trouble codes) 

that cause the malfunction-indicator 

light to go on. Propose what you 

consider to be extreme conditions under 

which the diagnostic system should 

disregard trouble codes, as described in 

§ 1048.110. 

(d) Describe the engines you selected 

for testing and the reasons for selecting 

them. 

(e) Describe any special or alternate 

test procedures you used (see 

§ 1048.501). 

(f) Describe how you operated the 

engine or vehicle prior to testing, 

including the duty cycle and the 

number of engine operating hours used 

to stabilize emission levels. Describe 

any scheduled maintenance you did. 

(g) List the specifications of the test 

fuel to show that it falls within the 

required ranges we specify in 40 CFR 

part 1065, subpart C. 

(h) Identify the engine family’s useful 

life. 

(i) Propose maintenance and use 

instructions for the ultimate buyer of 

each new nonroad engine (see 

§ 1048.125). 

(j) Propose emission-related 

installation instructions if you sell 

engines for someone else to install in a 

piece of nonroad equipment (see 

§ 1048.130). 

(k) Identify each high-cost warranted 

part and show us how you calculated its 

replacement cost, including the 

estimated retail cost of the part, labor 

rates, and labor hours to diagnose and 

replace defective parts. 

(l) Propose an emission control 

information label. 

(m) Present emission data to show 

that you meet emission standards. 

(1) Present exhaust emission data for 

HC, NOX, and CO on a test engine to 

show your engines meet the duty-cycle 

emission standards we specify in 

§ 1048.101(a) and (b). Show these 

figures before and after applying 

deterioration factors for each engine. 

Starting in the 2007 model year, identify 

the duty-cycle emission standards to 

which you are certifying engines in the 

engine family. Include test data for each 

type of fuel from 40 CFR part 1065, 

subpart C, on which you intend for 

engines in the engine family to operate 

(for example, gasoline, liquefied 

petroleum gas, methanol, or natural 

gas). If we specify more than one grade 

of any fuel type (for example, a summer 

grade and winter grade of gasoline), you 

only need to submit test data for one 

grade, unless the regulations of this part 

specify otherwise for your engine. Note 

that § 1048.235 allows you to submit an 

application in certain cases without new 

emission data. 

(2) If your engine family includes a 

volatile liquid fuel (and you do not use 

design-based certification under 

§ 1048.245) present evaporative test data 

to show your vehicles meet the 

evaporative emission standards we 

specify in subpart B of this part. Show 

these figures before and after applying 

deterioration factors, where applicable. 

(n) Report all test results, including 

those from invalid tests or from any 

nonstandard tests (such as 

measurements based on exhaust 

concentrations in parts per million). 

(o) Identify the engine family’s 

deterioration factors and describe how 

you developed them. Present any 

emission test data you used for this.

(p) Describe all adjustable operating 

parameters (see § 1048.115(e)), 

including the following: 

(1) The nominal or recommended 

setting. 

(2) The intended physically adjustable 

range, including production tolerances 

if they affect the range. 

(3) The limits or stops used to 

establish adjustable ranges. 

(q) Describe everything we need to 

read and interpret all the information 

broadcast by an engine’s onboard 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68355

computers and electronic control 

modules and state that you will give us 

any hardware or tools we would need to 

do this. You may reference any 

appropriate publicly released standards 

that define conventions for these 

messages and parameters. Format your 

information consistent with publicly 

released standards. 

(r) State whether your engine will 

operate in variable-speed applications, 

constant-speed applications, or both. If 

your certification covers only constantspeed or only variable-speed 

applications, describe how you will 

prevent use of these engines in the 

applications for which they are not 

certified. 

(s) Starting in the 2007 model year, 

state that all the engines in the engine 

family comply with the field-testing 

emission standards we specify in 

§ 1048.101(c) for all normal operation 

and use (see § 1048.515). Describe in 

detail any testing, engineering analysis, 

or other information on which you base 

this statement. 

(t) State that you operated your test 

engines according to the specified 

procedures and test parameters using 

the fuels described in the application to 

show you meet the requirements of this 

part. 

(u) State unconditionally that all the 

engines in the engine family comply 

with the requirements of this part, other 

referenced parts, and the Clean Air Act. 

(v) Include estimates of U.S.-directed 

production volumes. 

(w) Show us how to modify your 

production engines to measure 

emissions in the field (see 

§ 1048.115(d)). 

(x) Add other information to help us 

evaluate your application if we ask for 

it.

§ 1048.210 May I get preliminary approval 

before I complete my application? 

If you send us information before you 

finish the application, we will review it 

and make any appropriate 

determinations listed in § 1048.215(b)(1) 

through (7). Decisions made under this 

section are considered to be preliminary 

approval. We will generally not 

disapprove applications under 

§ 1048.215(b)(1) through (5) where we 

have given you preliminary approval, 

unless we find new and substantial 

information supporting a different 

decision. 

(a) If you request preliminary 

approval related to the upcoming model 

year or the model year after that, we will 

make a ‘‘best-efforts’’ attempt to make 

the appropriate determinations as soon 

as possible. We will generally not 

provide preliminary approval related to 

a future model year more than two years 

ahead of time. 

(b) You may consider full compliance 

with published guidance to be 

preliminary approval only if the 

guidance includes a statement that we 

intend you to consider it as such.

§ 1048.215 What happens after I complete 

my application? 

(a) If any of the information in your 

application changes after you submit it, 

amend it as described in § 1048.225. 

(b) We may deny your application 

(that is, determine that we cannot 

approve it without revision) if the 

engine family does not meet the 

requirements of this part or the Act. For 

example: 

(1) If you inappropriately use the 

provisions of § 1048.230(c) or (d) to 

define a broader or narrower engine 

family, we will require you to redefine 

your engine family. 

(2) If we determine you did not 

appropriately select the useful life 

under § 1048.101(g), we will require you 

to lengthen it. 

(3) If we determine you did not 

appropriately select deterioration factors 

under § 1048.240(c), we will require you 

to revise them. 

(4) If your diagnostic system is 

inadequate for detecting significant 

malfunctions in emission-control 

systems, as described in § 1048.110(b), 

we will require you to make the system 

more effective. 

(5) If your diagnostic system 

inappropriately disregards trouble codes 

under certain conditions, as described 

in § 1048.110(f), we will require you to 

change the system to operate under 

broader conditions. 

(6) If your proposed emission control 

information label is inconsistent with 

§ 1048.135, we will require you to 

change it (and tell you how, if possible). 

(7) If you require or recommend 

maintenance and use instructions 

inconsistent with § 1048.125, we will 

require you to change them. 

(8) If we find any other problem with 

your application, we will tell you what 

the problem is and what needs to be 

corrected. 

(c) If we determine your application is 

complete and shows that the engine 

family meets all the requirements of this 

part and the Act, we will issue a 

certificate of conformity for your engine 

family for that model year. If we deny 

the application, we will explain why in 

writing. You may then ask us to hold a 

hearing to reconsider our decision (see 

§ 1048.820).

§ 1048.220 How do I amend the 

maintenance instructions in my 

application? 

Send the Designated Officer a request 

to amend your application for 

certification for an engine family if you 

want to change the emission-related 

maintenance instructions in a way that 

could affect emissions. In your request, 

describe the proposed changes to the 

maintenance instructions. 

(a) If you are decreasing the specified 

level of maintenance, you may 

distribute the new maintenance 

instructions to your customers 30 days 

after we receive your request, unless we 

disapprove your request. We may 

approve a shorter time or waive this 

requirement. 

(b) If your requested change would 

not decrease the specified level of 

maintenance, you may distribute the 

new maintenance instructions anytime 

after you send your request. 

(c) If you are correcting or clarifying 

your maintenance instructions or if you 

are changing instructions for 

maintenance unrelated to emission 

controls, the requirements of this 

section do not apply.

§ 1048.225 How do I amend my application 

to include new or modified engines? 

(a) You must amend your application 

for certification before you take either of 

the following actions: 

(1) Add an engine to a certificate of 

conformity (this includes any changes 

you make in selecting emission 

standards under § 1048.205(m)(1)). 

(2) Make a design change for a 

certified engine family that may affect 

emissions or an emission-related part 

over the engine’s lifetime. 

(b) Send the Designated Officer a 

request to amend the application for 

certification for an engine family. In 

your request, do all of the following: 

(1) Describe the engine model or 

configuration you are adding or 

changing. 

(2) Include engineering evaluations or 

reasons why the original test engine is 

or is not still appropriate. 

(3) If the original test engine for the 

engine family is not appropriate to show 

compliance for the new or modified 

nonroad engine, include new test data 

showing that the new or modified 

nonroad engine meets the requirements 

of this part. 

(c) You may start producing the new 

or modified nonroad engine anytime 

after you send us your request. If we 

determine that the affected engines do 

not meet applicable requirements, we 

will require you to cease production of 

the engines and to recall and correct the 

engines at no expense to the owner. If 

68356 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

you choose to produce engines under 

this paragraph (c), we will consider that 

to be consent to recall all engines that 

we determine do not meet applicable 

standards or other requirements and to 

remedy the nonconformity at no 

expense to the owner. 

(d) You must give us test data within 

30 days if we ask for more testing, or 

stop producing the engine if you cannot 

do this. You may give us an engineering 

evaluation instead of test data if we 

agree that you can address our questions 

without test data. 

(e) If we determine that the certificate 

of conformity would not cover your new 

or modified nonroad engine, we will 

send you a written explanation of our 

decision. In this case, you may no 

longer produce these engines, though 

you may ask for a hearing for us to 

reconsider our decision (see § 1048.820).

§ 1048.230 How do I select engine 

families? 

(a) Divide your product line into 

families of engines that you expect to 

have similar emission characteristics. 

Your engine family is limited to a single 

model year. 

(b) Group engines in the same engine 

family if they are the same in all of the 

following aspects: 

(1) The combustion cycle. 

(2) The cooling system (water-cooled 

vs. air-cooled). 

(3) Configuration of the fuel system 

(for example, fuel injection vs. 

carburetion). 

(4) Method of air aspiration. 

(5) The number, location, volume, and 

composition of catalytic converters. 

(6) The number, arrangement, and 

approximate bore diameter of cylinders. 

(7) Evaporative emission controls. 

(c) In some cases you may subdivide 

a group of engines that is identical 

under paragraph (b) of this section into 

different engine families. To do so, you 

must show you expect emission 

characteristics to be different during the 

useful life or that any of the following 

engine characteristics are different: 

(1) Method of actuating intake and 

exhaust timing (poppet valve, reed 

valve, rotary valve, etc.). 

(2) Location or size of intake and 

exhaust valves or ports. 

(3) Configuration of the combustion 

chamber. 

(4) Cylinder stroke. 

(5) Exhaust system. 

(6) Type of fuel. 

(d) If your engines are not identical 

with respect to the things listed in 

paragraph (b) of this section, but you 

show that their emission characteristics 

during the useful life will be similar, we 

may approve grouping them in the same 

engine family. 

(e) If you cannot appropriately define 

engine families by the method in this 

section, we will define them based on 

features related to emission 

characteristics. 

(f) You may ask us to create separate 

families for exhaust emissions and 

evaporative emissions. If we do this, list 

both families on the emission control 

information label. 

(g) Where necessary, you may divide 

an engine family into sub-families to 

meet different emission standards, as 

specified in § 1048.101(a)(2). For issues 

related to compliance and prohibited 

actions, we will generally apply 

decisions to the whole engine family. 

For engine labels and other 

administrative provisions, we may 

approve your request for separate 

treatment of sub-families.

§ 1048.235 What emission testing must I 

perform for my application for a certificate 

of conformity? 

This section describes the emission 

testing you must perform to show 

compliance with the emission standards 

in §§ 1048.101(a) and (b) and 1048.105 

during certification. See § 1048.205(s) 

regarding emission testing related to the 

field-testing emission standards. 

(a) Test your emission-data engines 

using the procedures and equipment 

specified in subpart F of this part. For 

any testing related to evaporative 

emissions, use good engineering 

judgment to include a complete fuel 

system with the engine. 

(b) Select engine families according to 

the following criteria: 

(1) For exhaust testing, select from 

each engine family a test engine for each 

fuel type with a configuration that is 

most likely to exceed the exhaust 

emission standards, using good 

engineering judgment. Consider the 

emission levels of all exhaust 

constituents over the full useful life of 

the engine when operated in a piece of 

equipment. 

(2) For evaporative testing, select from 

each engine family a test fuel system for 

each fuel type with a configuration that 

is most likely to exceed the evaporative 

emission standards, using good 

engineering judgment. 

(c) You may use previously generated 

emission data in either of the following 

cases: 

(1) You may submit emission data for 

equivalent engine families from 

previous years instead of doing new 

tests, but only if the data show that the 

test engine would meet all the 

requirements for the latest engine 

models. We may require you to do new 

emission testing if we believe the latest 

engine models could be substantially 

different from the previously tested 

engine. 

(2) You may submit emission data for 

equivalent engine families performed to 

show compliance with other standards 

(such as California standards) instead of 

doing new tests, but only if the data 

show that the test engine would meet all 

of this part’s requirements.

(d) We may choose to measure 

emissions from any of your test engines 

(or other engines from the engine 

family). 

(1) If we do this, you must provide the 

test engine at the location we select. We 

may decide to do the testing at your 

plant or any other facility. If we choose 

to do the testing at your plant, you must 

schedule it as soon as possible and 

make available the instruments and 

equipment we need. 

(2) If we measure emissions on one of 

your test engines, the results of that 

testing become the official data for the 

engine. Unless we later invalidate this 

data, we may decide not to consider 

your data in determining if your engine 

family meets the emission standards. 

(3) Before we test one of your engines, 

we may set its adjustable parameters to 

any point within the physically 

adjustable ranges (see § 1048.115(e)). 

(4) Calibrate the test engine within 

normal production tolerances for 

anything we do not consider an 

adjustable parameter (see § 1048.205(p)).

§ 1048.240 How do I demonstrate that my 

engine family complies with exhaust 

emission standards? 

(a) For certification, your engine 

family is considered in compliance with 

the numerical emission standards in 

§ 1048.101 (a) and (b), if all emissiondata engines representing that family 

have test results showing emission 

levels at or below these standards. 

(b) Your engine family does not 

comply if any emission-data engine 

representing that family has test results 

showing emission levels above the 

standards from § 1048.101 (a) and (b) for 

any pollutant. 

(c) To compare emission levels from 

the test engine with the emission 

standards, apply deterioration factors to 

the measured emission levels. The 

deterioration factor is a number that 

shows the relationship between exhaust 

emissions at the end of useful life and 

at the low-hour test point. Specify the 

deterioration factors based on emission 

measurements using four significant 

figures, consistent with good 

engineering judgment. For example, 

deterioration factors must be consistent 

with emission increases observed from 

in-use testing with similar engines (see

subpart E of this part). Small-volume 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68357

engine manufacturers may use assigned 

deterioration factors that we establish. 

Apply the deterioration factors as 

follows: 

(1) For engines that use aftertreatment 

technology, such as catalytic converters, 

the deterioration factor is the ratio of 

exhaust emissions at the end of useful 

life to exhaust emissions at the low-hour 

test point. Adjust the official emission 

results for each tested engine at the 

selected test point by multiplying the 

measured emissions by the deterioration 

factor. If the factor is less than one, use 

one. 

(2) For engines that do not use 

aftertreatment technology, the 

deterioration factor is the difference 

between exhaust emissions at the end of 

useful life and exhaust emissions at the 

low-hour test point. Adjust the official 

emission results for each tested engine 

at the selected test point by adding the 

factor to the measured emissions. If the 

factor is less than zero, use zero. 

(d) After adjusting the emission levels 

for deterioration, round them to the 

same number of decimal places as the 

emission standard. Compare the 

rounded emission levels to the emission 

standard for each test engine.

§ 1048.245 How do I demonstrate that my 

engine family complies with evaporative 

emission standards? 

(a) For certification, your engine 

family is considered in compliance with 

the evaporative emission standards in 

subpart B of this part if you do either 

of the following: 

(1) You have test results showing that 

evaporative emissions in the family are 

at or below the standards throughout the 

useful life. 

(2) Where applicable, you comply 

with the design specifications in 

paragraph (e) of this section. 

(b) Your engine family does not 

comply if any fuel system representing 

that family has test results showing 

emission levels above the standards. 

(c) Use good engineering judgment to 

develop a test plan to establish 

deterioration factors to show how much 

emissions increase at the end of useful 

life. 

(d) If you adjust the emission levels 

for deterioration, round them to the 

same number of decimal places as the 

emission standard. Compare the 

rounded emission levels to the emission 

standard for each test fuel system. 

(e) You may demonstrate that your 

engine family complies with the 

evaporative emission standards by 

demonstrating that you use the 

following control technologies: 

(1) For certification to the standards 

specified in § 1048.105(a)(1), with the 

following technologies: 

(i) Use a tethered or self-closing gas 

cap on a fuel tank that stays sealed up 

to a positive pressure of 24.5 kPa (3.5 

psig) or a vacuum pressure of 10.5 kPa 

(1.5 psig). 

(ii) [Reserved] 

(2) For certification to the standards 

specified in § 1048.105(a)(3), 

demonstrating that you use design 

features to prevent fuel boiling under all 

normal operation. You may do this 

using fuel temperature data measured 

during normal operation. 

(3) We may establish additional 

options for design-based certification 

where we find that new test data 

demonstrate that a technology will 

ensure compliance with the emission 

standards in this section.

§ 1048.250 What records must I keep and 

make available to EPA? 

(a) Organize and maintain the 

following records to keep them readily 

available; we may review these records 

at any time: 

(1) A copy of all applications and any 

summary information you sent us. 

(2) Any of the information we specify 

in § 1048.205 that you did not include 

in your application. 

(3) A detailed history of each 

emission-data engine. In each history, 

describe all of the following: 

(i) The test engine’s construction, 

including its origin and buildup, steps 

you took to ensure that it represents 

production engines, any components 

you built specially for it, and all 

emission-related components. 

(ii) How you accumulated engine 

operating hours, including the dates and 

the number of hours accumulated. 

(iii) All maintenance (including 

modifications, parts changes, and other 

service) and the dates and reasons for 

the maintenance. 

(iv) All your emission tests, including 

documentation on routine and standard 

tests, as specified in part 40 CFR part 

1065, and the date and purpose of each 

test. 

(v) All tests to diagnose engine or 

emission-control performance, giving 

the date and time of each and the 

reasons for the test. 

(vi) Any other significant events. 

(b) Keep data from routine emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in paragraph (a) of 

this section for eight years after we issue 

your certificate. 

(c) Store these records in any format 

and on any media, as long as you can 

promptly send us organized, written 

records in English if we ask for them. 

(d) Send us copies of any engine 

maintenance instructions or 

explanations if we ask for them.

§ 1048.255 When may EPA deny, revoke, 

or void my certificate of conformity? 

(a) We may deny your application for 

certification if your engine family fails 

to comply with emission standards or 

other requirements of this part or the 

Act. Our decision may be based on any 

information available to us showing you 

do not meet emission standards or other 

requirements, including any testing that 

we conduct under paragraph (f) of this 

section. If we deny your application, we 

will explain why in writing. 

(b) In addition, we may deny your 

application or revoke your certificate if 

you do any of the following: 

(1) Refuse to comply with any testing 

or reporting requirements.

(2) Submit false or incomplete 

information (paragraph (d) of this 

section applies if this is fraudulent). 

(3) Render inaccurate any test data. 

(4) Deny us from completing 

authorized activities despite our 

presenting a warrant or court order (see 

40 CFR 1068.20). 

(5) Produce engines for importation 

into the United States at a location 

where local law prohibits us from 

carrying out authorized activities. 

(c) We may void your certificate if you 

do not keep the records we require or 

do not give us information when we ask 

for it. 

(d) We may void your certificate if we 

find that you intentionally submitted 

false or incomplete information. 

(e) If we deny your application or 

revoke or void your certificate, you may 

ask for a hearing (see § 1048.820). Any 

such hearing will be limited to 

substantial and factual issues. 

(f) We may conduct confirmatory 

testing of your engines as part of 

certification. We may deny your 

application for certification or revoke 

your certificate if your engines fail to 

comply with emission standards or 

other requirements during confirmatory 

testing.

Subpart D—Testing Production-line 

Engines

§ 1048.301 When must I test my 

production-line engines? 

(a) If you produce engines that are 

subject the requirements of this part, 

you must test them as described in this 

subpart. 

(b) We may suspend or revoke your 

certificate of conformity for certain 

engine families if your production-line 

engines do not meet the requirements of 

this part or you do not fulfill your 

68358 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

obligations under this subpart (see 

§§ 1048.325 and 1048.340). 

(c) Other requirements apply to 

engines that you produce. Other 

regulatory provisions authorize us to 

suspend, revoke, or void your certificate 

of conformity, or order recalls for 

engines families without regard to 

whether they have passed these 

production-line testing requirements. 

The requirements of this part do not 

affect our ability to do selective 

enforcement audits, as described in part 

1068 of this chapter. Individual engines 

in families that pass these productionline testing requirements must also 

conform to all applicable regulations of 

this part and part 1068 of this chapter. 

(d) You may ask to use an alternate 

program for testing production-line 

engines. In your request, you must show 

us that the alternate program gives equal 

assurance that your production-line 

engines meet the requirements of this 

part. If we approve your alternate 

program, we may waive some or all of 

this subpart’s requirements. 

(e) If you certify an engine family with 

carryover emission data, as described in 

§ 1048.235(c), and these equivalent 

engine families consistently pass the 

production-line testing requirements 

over the preceding two-year period, you 

may ask for a reduced testing rate for 

further production-line testing for that 

family. The minimum testing rate is one 

engine per engine family. If we reduce 

your testing rate, we may limit our 

approval to any number of model years. 

In determining whether to approve your 

request, we may consider the number of 

engines that have failed the emission 

tests. 

(f) We may ask you to make a 

reasonable number of production-line 

engines available for a reasonable time 

so we can test or inspect them for 

compliance with the requirements of 

this part.

§ 1048.305 How must I prepare and test my 

production-line engines? 

(a) Test procedures. Test your 

production-line engines using either the 

steady-state or transient testing 

procedures in subpart F of this part to 

show you meet the emission standards 

in § 1048.101(a) or (b), respectively. We 

may require you to test engines using 

the transient testing procedures to show 

you meet the emission standards in 

§ 1048.101(a). 

(b) Modifying a test engine. Once an 

engine is selected for testing (see 

§ 1048.310), you may adjust, repair, 

prepare, or modify it or check its 

emissions only if one of the following is 

true: 

(1) You document the need for doing 

so in your procedures for assembling 

and inspecting all your production 

engines and make the action routine for 

all the engines in the engine family. 

(2) This subpart otherwise specifically 

allows your action. 

(3) We approve your action in 

advance. 

(c) Engine malfunction. If an engine 

malfunction prevents further emission 

testing, ask us to approve your decision 

to either repair the engine or delete it 

from the test sequence.

(d) Setting adjustable parameters.

Before any test, we may adjust or 

require you to adjust any adjustable 

parameter to any setting within its 

physically adjustable range. 

(1) We may adjust idle speed outside 

the physically adjustable range as 

needed only until the engine has 

stabilized emission levels (see 

paragraph (e) of this section). We may 

ask you for information needed to 

establish an alternate minimum idle 

speed. 

(2) We may make or specify 

adjustments within the physically 

adjustable range by considering their 

effect on emission levels, as well as how 

likely it is someone will make such an 

adjustment with in-use engines. 

(e) Stabilizing emission levels. Before 

you test production-line engines, you 

may operate the engine to stabilize the 

emission levels. Using good engineering 

judgment, operate your engines in a way 

that represents the way production 

engines will be used. You may operate 

each engine for no more than the greater 

of two periods: 

(1) 50 hours. 

(2) The number of hours you operated 

your emission-data engine for certifying 

the engine family (see 40 CFR part 1065, 

subpart E). 

(f) Damage during shipment. If 

shipping an engine to a remote facility 

for production-line testing makes 

necessary an adjustment or repair, you 

must wait until after the after the initial 

emission test to do this work. We may 

waive this requirement if the test would 

be impossible or unsafe, or if it would 

permanently damage the engine. Report 

to us, in your written report under 

§ 1048.345, all adjustments or repairs 

you make on test engines before each 

test. 

(g) Retesting after invalid tests. You 

may retest an engine if you determine 

an emission test is invalid. Explain in 

your written report reasons for 

invalidating any test and the emission 

results from all tests. If you retest an 

engine and, within ten days after 

testing, ask to substitute results of the 

new tests for the original ones, we will 

answer within ten days after we receive 

your information.

§ 1048.310 How must I select engines for 

production-line testing? 

(a) Use test results from two engines 

for each engine family to calculate the 

required sample size for the model year. 

Update this calculation with each test. 

(b) Early in each calendar quarter, 

randomly select and test two engines 

from the end of the assembly line for 

each engine family. 

(c) Calculate the required sample size 

for each engine family. Separately 

calculate this figure for HC+NOX and for 

CO. The required sample size is the 

greater of these two calculated values. 

Use the following equation:

N

t

x = ×

−





 



 + ( )

(

95

2

σ

STD)

 1

Where:

N = Required sample size for the model year. 

t95 = 95% confidence coefficient, which 

depends on the number of tests 

completed, n, as specified in the table in 

paragraph (c)(1) of this section. It defines 

95% confidence intervals for a one-tail 

distribution. 

x = Mean of emission test results of the 

sample. 

STD = Emission standard. 

s = Test sample standard deviation (see 

paragraph (c)(2) of this section).

(1) Determine the 95% confidence 

coefficient, t95, from the following table:

n t95 nt95 nt95

2 6.31 12 1.80 22 1.72 

3 2.92 13 1.78 23 1.72 

4 2.35 14 1.77 24 1.71 

5 2.13 15 1.76 25 1.71 

6 2.02 16 1.75 26 1.71 

7 1.94 17 1.75 27 1.71 

8 1.90 18 1.74 28 1.70 

9 1.86 19 1.73 29 1.70 


ER08no02.004</MATH>
Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68359

n t95 nt95 nt95

10 1.83 20 1.73 30+ 1.70 

11 1.81 21 1.72 

(2) Calculate the standard deviation, 

s, for the test sample using the 

following formula:

σ = −

−

∑(X x)

n

i

2

1

Where: 

Xi = Emission test result for an individual 

engine. 

n = The number of tests completed in an 

engine family.

(d) Use final deteriorated test results 

to calculate the variables in the 

equations in paragraph (c) of this 

section (see § 1048.315(a)). 

(e) After each new test, recalculate the 

required sample size using the updated 

mean values, standard deviations, and 

the appropriate 95-percent confidence 

coefficient. 

(f) Distribute the remaining engine 

tests evenly throughout the rest of the 

year. You may need to adjust your 

schedule for selecting engines if the 

required sample size changes. Continue 

to randomly select engines from each 

engine family; this may involve testing 

engines that operate on different fuels. 

(g) Continue testing any engine family 

for which the sample mean, x, is greater 

than the emission standard. This applies 

if the sample mean for either HC+NOX

or for CO is greater than the emission 

standard. Continue testing until one of 

the following things happens: 

(1) The sample size, n, for an engine 

family is greater than the required 

sample size, N, and the sample mean, x, 

is less than or equal to the emission 

standard. For example, if N = 3.1 after 

the third test, the sample-size 

calculation does not allow you to stop 

testing. 

(2) The engine family does not 

comply according to § 1048.325. 

(3) You test 30 engines from the 

engine family. 

(4) You test one percent of your 

projected annual U.S.-directed 

production volume for the engine 

family. 

(5) You choose to declare that the 

engine family does not comply with the 

requirements of this subpart. 

(h) If the sample-size calculation 

allows you to stop testing for a 

pollutant, you must continue measuring 

emission levels of that pollutant for any 

additional tests required under this 

section. However, you need not 

continue making the calculations 

specified in this section for that 

pollutant. This paragraph (h) does not 

affect the requirements in section 

§ 1048.320. 

(i) You may elect to test more 

randomly chosen engines than we 

require. Include these engines in the 

sample-size calculations.

§ 1048.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

This section describes the pass/fail 

criteria for the production-line testing 

requirements. We apply this criteria on 

an engine-family basis. See § 1048.320 

for the requirements that apply to 

individual engines that fail a 

production-line test. 

(a) Calculate your test results. Round 

them to the number of decimal places in 

the emission standard expressed to one 

more decimal place. 

(1) Initial and final test results.

Calculate and round the test results for 

each engine. If you do several tests on 

an engine, calculate the initial test 

results, then add them together and 

divide by the number of tests and round 

for the final test results on that engine. 

(2) Final deteriorated test results.

Apply the deterioration factor for the 

engine family to the final test results 

(see § 1048.240(c)). 

(b) Construct the following CumSum 

Equation for each engine family (for 

HC+NOX and for CO emissions):

C X (STD ) i -1 i = +− + × Ci 0 25 . σ

Where:

Ci = The current CumSum statistic. 

Ci-1 = The previous CumSum statistic. 

For the first test, CumSum statistic 

is 0 (i.e. C1 = 0). 

Xi = The current emission test result for 

an individual engine. 

STD = Emission standard.

(c) Use final deteriorated test results 

to calculate the variables in the equation 

in paragraph (b) of this section (see 

§ 1048.315(a)). 

(d) After each new test, recalculate the 

CumSum statistic. 

(e) If you test more than the required 

number of engines, include the results 

from these additional tests in the 

CumSum Equation. 

(f) After each test, compare the 

current CumSum statistic, Ci, to the 

recalculated Action Limit, H, defined as 

H = 5.0 × s. 

(g) If the CumSum statistic exceeds 

the Action Limit in two consecutive 

tests, the engine family fails the 

production-line testing requirements of 

this subpart. Tell us within ten working 

days if this happens. 

(h) If you amend the application for 

certification for an engine family (see 

§ 1048.225), do not change any previous 

calculations of sample size or CumSum 

statistics for the model year.

§ 1048.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

If you have a production-line engine 

with final deteriorated test results 

exceeding one or more emission 

standards (see § 1048.315(a)), the 

certificate of conformity is automatically 

suspended for that failing engine. You 

must take the following actions before 

your certificate of conformity can cover 

that engine: 

(a) Correct the problem and retest the 

engine to show it complies with all 

emission standards. 

(b) Include in your written report a 

description of the test results and the 

remedy for each engine (see § 1048.345).

§ 1048.325 What happens if an engine 

family fails the production-line 

requirements? 

(a) We may suspend your certificate of 

conformity for an engine family if it fails 

under § 1048.315. The suspension may 

apply to all facilities producing engines 

from an engine family, even if you find 

noncompliant engines only at one 

facility. 

(b) We will tell you in writing if we 

suspend your certificate in whole or in 

part. We will not suspend a certificate 

until at least 15 days after the engine 

family fails. The suspension is effective 

when you receive our notice. 

(c) Up to 15 days after we suspend the 

certificate for an engine family, you may 

ask for a hearing (see § 1048.820). If we 

agree before a hearing that we used 

erroneous information in deciding to 

suspend the certificate, we will reinstate 

the certificate. 

(d) Section § 1048.335 specifies steps 

you must take to remedy the cause of 

the production-line failure. All the 

engines you have produced since the 

end of the last test period are presumed 

noncompliant and should be addressed 

in your proposed remedy. We may 

require you to apply the remedy to 

engines produced earlier if we 

determine that the cause of the failure 

is likely to have affected the earlier 

engines.


ER08no02.005</MATH> ER08no02.006</MATH>
68360 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

§ 1048.330 May I sell engines from an 

engine family with a suspended certificate 

of conformity? 

You may sell engines that you 

produce after we suspend the engine 

family’s certificate of conformity under 

§ 1048.315 only if one of the following 

occurs: 

(a) You test each engine you produce 

and show it complies with emission 

standards that apply. 

(b) We conditionally reinstate the 

certificate for the engine family. We may 

do so if you agree to recall all the 

affected engines and remedy any 

noncompliance at no expense to the 

owner if later testing shows that the 

engine family still does not comply.

§ 1048.335 How do I ask EPA to reinstate 

my suspended certificate? 

(a) Send us a written report asking us 

to reinstate your suspended certificate. 

In your report, identify the reason for 

noncompliance, propose a remedy for 

the engine family, and commit to a date 

for carrying it out. In your proposed 

remedy include any quality control 

measures you propose to keep the 

problem from happening again. 

(b) Give us data from production-line 

testing that shows the remedied engine 

family complies with all the emission 

standards that apply.

§ 1048.340 When may EPA revoke my 

certificate under this subpart and how may 

I sell these engines again? 

(a) We may revoke your certificate for 

an engine family in the following cases: 

(1) You do not meet the reporting 

requirements. 

(2) Your engine family fails to comply 

with the requirements of this subpart 

and your proposed remedy to address a 

suspended certificate under § 1048.325 

is inadequate to solve the problem or 

requires you to change the engine’s 

design or emission-control system. 

(b) To sell engines from an engine 

family with a revoked certificate of 

conformity, you must modify the engine 

family and then show it complies with 

the requirements of this part. 

(1) If we determine your proposed 

design change may not control 

emissions for the engine’s full useful 

life, we will tell you within five working 

days after receiving your report. In this 

case we will decide whether 

production-line testing will be enough 

for us to evaluate the change or whether 

you need to do more testing. 

(2) Unless we require more testing, 

you may show compliance by testing 

production-line engines as described in 

this subpart. 

(3) We will issue a new or updated 

certificate of conformity when you have 

met these requirements.

§ 1048.345 What production-line testing 

records must I send to EPA? 

Do all the following things unless we 

ask you to send us less information: 

(a) Within 30 calendar days of the end 

of each calendar quarter, send us a 

report with the following information: 

(1) Describe any facility used to test 

production-line engines and state its 

location. 

(2) State the total U.S.-directed 

production volume and number of tests 

for each engine family. 

(3) Describe how you randomly 

selected engines. 

(4) Describe your test engines, 

including the engine family’s 

identification and the engine’s model 

year, build date, model number, 

identification number, and number of 

hours of operation before testing for 

each test engine. 

(5) Identify where you accumulated 

hours of operation on the engines and 

describe the procedure and schedule 

you used. 

(6) Provide the test number; the date, 

time and duration of testing; test 

procedure; initial test results before and 

after rounding; final test results; and 

final deteriorated test results for all 

tests. Provide the emission results for all 

measured pollutants. Include 

information for both valid and invalid 

tests and the reason for any 

invalidation. 

(7) Describe completely and justify 

any nonroutine adjustment, 

modification, repair, preparation, 

maintenance, or test for the test engine 

if you did not report it separately under 

this subpart. Include the results of any 

emission measurements, regardless of 

the procedure or type of equipment. 

(8) Provide the CumSum analysis 

required in § 1048.315 for each engine 

family.

(9) Report on each failed engine as 

described in § 1048.320. 

(10) State the date the calendar 

quarter ended for each engine family. 

(b) We may ask you to add 

information to your written report, so 

we can determine whether your new 

nonroad engines conform with the 

requirements of this subpart. 

(c) An authorized representative of 

your company must sign the following 

statement:

We submit this report under Sections 208 

and 213 of the Clean Air Act. Our 

production-line testing conformed 

completely with the requirements of 40 CFR 

part 1048. We have not changed production 

processes or quality-control procedures for 

the engine family in a way that might affect 

the emission control from production 

engines. All the information in this report is 

true and accurate, to the best of my 

knowledge. I know of the penalties for 

violating the Clean Air Act and the 

regulations. (Authorized Company 

Representative)

(d) Send electronic reports of 

production-line testing to the 

Designated Officer using an approved 

information format. If you want to use 

a different format, send us a written 

request with justification for a waiver. 

(e) We will send copies of your 

reports to anyone from the public who 

asks for them. See § 1048.815 for 

information on how we treat 

information you consider confidential.

§ 1048.350 What records must I keep? 

(a) Organize and maintain your 

records as described in this section. We 

may review your records at any time, so 

it is important to keep required 

information readily available. 

(b) Keep paper records of your 

production-line testing for one full year 

after you complete all the testing 

required for an engine family in a model 

year. You may use any additional 

storage formats or media if you like. 

(c) Keep a copy of the written reports 

described in § 1048.345. 

(d) Keep the following additional 

records: 

(1) A description of all test equipment 

for each test cell that you can use to test 

production-line engines. 

(2) The names of supervisors involved 

in each test. 

(3) The name of anyone who 

authorizes adjusting, repairing, 

preparing, or modifying a test engine 

and the names of all supervisors who 

oversee this work. 

(4) If you shipped the engine for 

testing, the date you shipped it, the 

associated storage or port facility, and 

the date the engine arrived at the testing 

facility. 

(5) Any records related to your 

production-line tests that are not in the 

written report. 

(6) A brief description of any 

significant events during testing not 

otherwise described in the written 

report or in this section. 

(7) Any information specified in 

§ 1048.345 that you do not include in 

your written reports. 

(e) If we ask, you must give us 

projected or actual production figures 

for an engine family. We may ask you 

to divide your production figures by 

maximum brake power, displacement, 

fuel type, or assembly plant (if you 

produce engines at more than one 

plant). 

(f) Keep a list of engine identification 

numbers for all the engines you produce 

under each certificate of conformity. 

Give us this list within 30 days if we ask 

for it. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68361

(g) We may ask you to keep or send 

other information necessary to 

implement this subpart.

Subpart E—Testing In-use Engines

§ 1048.401 What testing requirements 

apply to my engines that have gone into 

service? 

(a) If you produce engines that are 

subject to the requirements of this part, 

you must test them as described in this 

subpart. This generally involves testing 

engines in the field or removing them 

for measurement in a laboratory. 

(b) We may approve an alternate plan 

for showing that in-use engines comply 

with the requirements of this part if one 

of the following is true: 

(1) You produce 200 or fewer engines 

per year in the selected engine family. 

(2) Removing the engine from most of 

the applications for that engine family 

causes significant, irreparable damage to 

the equipment. 

(3) You identify a unique aspect of 

your engine applications that keeps you 

from doing the required in-use testing. 

(c) We may void your certificate of 

conformity for an engine family if you 

do not meet your obligations under this 

part. 

(d) Independent of your responsibility 

to test in-use engines, we may choose at 

any time to do our own testing of your 

in-use engines. 

(e) If in-use testing shows that engines 

fail to meet emission standards or other 

requirements of this part, we may 

pursue a recall or other remedy as 

allowed by the Act (see § 1048.415).

§ 1048.405 How does this program work? 

(a) You must test in-use engines, for 

exhaust emissions, from the families we 

select. We may select up to 25 percent 

of your engine families in any model 

year—or one engine family if you have 

three or fewer families. We will select 

engine families for testing before the 

end of the model year. When we select 

an engine family for testing, we may 

specify that you preferentially test 

engines based on fuel type or equipment 

type. In addition, we may identify 

specific modes of operation or sampling 

times. You may choose to test additional 

engine families that we do not select. 

(b) Send us an in-use testing plan 

within 12 calendar months after we 

direct you to test a particular engine 

family. Complete the testing within 24 

calendar months after we approve your 

plan. 

(c) You may need to test engines from 

more than one model year at a given 

time.

§ 1048.410 How must I select, prepare, and 

test my in-use engines? 

(a) You may make arrangements to 

select representative test engines from 

your own fleet or from other 

independent sources. 

(b) For the selected engine families, 

select engines that you or your 

customers have—

(1) Operated for at least 50 percent of 

the engine family’s useful life (see 

§ 1048.101(d)); 

(2) Not maintained or used in an 

abnormal way; and 

(3) Documented in terms of total 

hours of operation, maintenance, 

operating conditions, and storage. 

(c) Use the following methods to 

determine the number of engines you 

must test in each engine family: 

(1) Test at least two engines if you 

produce 2,000 or fewer engines in the 

model year from all engine families, or 

if you produce 500 or fewer engines 

from the selected engine family. 

Otherwise, test at least four engines. 

(2) If you successfully complete an inuse test program on an engine family 

and later certify an equivalent engine 

family with carryover emission data, as 

described in § 1048.235(c), then test at 

least one engine instead of the testing 

rates in paragraph (c)(1) of this section. 

(3) If you test the minimum required 

number of engines and all comply fully 

with emission standards, you may stop 

testing. 

(4) For each engine that fails any 

applicable standard, test two more. 

Regardless of measured emission levels, 

you do not have to test more than ten 

engines in an engine family. You may 

do more tests than we require. 

(5) You may concede that the engine 

family does not comply before testing a 

total of ten engines. 

(d) You may do minimal maintenance 

to set components of a test engine to 

specifications for anything we do not 

consider an adjustable parameter (see 

§ 1048.205(p)). Limit maintenance to 

what is in the owner’s instructions for 

engines with that amount of service and 

age. Document all maintenance and 

adjustments. 

(e) Do at least one valid exhaust 

emission test for each test engine. 

(f) For a test program on an engine 

family, choose one of the following 

methods to test your engines: 

(1) Remove the selected engines for 

testing in a laboratory. Use the 

applicable steady-state and transient 

procedures in subpart F of this part to 

show compliance with the duty-cycle 

standards in § 1048.101(a) and (b). We 

may direct you to measure emissions on 

the dynamometer using the 

supplemental test procedures in 

§ 1048.515 to show compliance with the 

field-testing standards in § 1048.101(c). 

(2) Test the selected engines while 

they remain installed in the equipment. 

Use the field testing procedures in 

subpart F of this part. Measure 

emissions during normal operation of 

the equipment to show compliance with 

the field-testing standards in 

§ 1048.101(c). We may direct you to 

include specific areas of normal 

operation. 

(g) You may ask us to waive parts of 

the prescribed test procedures if they 

are not necessary to determine in-use 

compliance. 

(h) Calculate the average emission 

levels for an engine family from the 

results for the set of tested engines. 

Round them to the number of decimal 

places in the emission standards 

expressed to one more decimal place.

§ 1048.415 What happens if in-use engines 

do not meet requirements? 

(a) Determine the reason each in-use 

engine exceeds the emission standards. 

(b) If the average emission levels 

calculated in § 1048.410(h) exceed any 

of the emission standards that apply, 

notify us within fifteen days of 

completing testing on this family. 

Otherwise follow the reporting 

instructions in § 1048.420. 

(c) We will consider failure rates, 

average emission levels, and any 

defects—among other things—to decide 

on taking remedial action under this 

subpart (see 40 CFR 1068.505). We may 

consider the results from any voluntary 

additional testing you conduct. We may 

also consider information related to 

testing from other engine families 

showing that you designed them to 

exceed the minimum requirements for 

controlling emissions. We may order a 

recall before or after you complete 

testing of an engine family if we 

determine a substantial number of 

engines do not conform to section 213 

of the Act or to this part. 

(d) If in-use testing reveals a design or 

manufacturing defect that prevents 

engines from meeting the requirements 

of this part, you must correct the defect 

as soon as possible for any future 

production for engines in every family 

affected by the defect. 

(e) You may voluntarily recall an 

engine family for emission failures, as 

described in 40 CFR 1068.535, unless 

we have ordered a recall for that family 

under 40 CFR 1068.505. 

(f) You have the right to a hearing 

before we order you to recall your 

engines or implement an alternative 

remedy (see § 1048.820).

68362 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

§ 1048.420 What in-use testing information 

must I report to EPA? 

(a) In a report to us within three 

months after you finish testing an 

engine family, do all the following: 

(1) Identify the engine family, model, 

serial number, and date of manufacture. 

(2) For each engine inspected or 

considered for testing, identify whether 

the diagnostic system was functioning. 

(3) Describe the specific reasons for 

disqualifying any engines for not being 

properly maintained or used. 

(4) For each engine selected for 

testing, include the following 

information: 

(i) Estimate the hours each engine was 

used before testing. 

(ii) Describe all maintenance, 

adjustments, modifications, and repairs 

to each test engine. 

(5) State the date and time of each test 

attempt. 

(6) Include the results of all emission 

testing, including incomplete or 

invalidated tests, if any. 

(b) Send electronic reports of in-use 

testing to the Designated Officer using 

an approved information format. If you 

want to use a different format, send us 

a written request with justification for a 

waiver. 

(c) We will send copies of your 

reports to anyone from the public who 

asks for them. See § 1048.815 for 

information on how we treat 

information you consider confidential. 

(d) We may ask for more information.

§ 1048.425 What records must I keep? 

(a) Organize and maintain your 

records as described in this section. We 

may review your records at any time, so 

it is important to keep required 

information readily available. 

(b) Keep paper records of your in-use 

testing for one full year after you 

complete all the testing required for an 

engine family in a model year. You may 

use any additional storage formats or 

media if you like. 

(c) Keep a copy of the written reports 

described in § 1048.420. 

(d) Keep any additional records 

related to the procurement process.

Subpart F—Test Procedures

§ 1048.501 What procedures must I use to 

test my engines? 

(a) Use the equipment and procedures 

for spark-ignition engines in 40 CFR 

part 1065 to show your engines meet the 

duty-cycle emission standards in 

§ 1048.101(a) and (b). Measure HC, NOX, 

CO, and CO2 emissions using the fullflow dilute sampling procedures in 40 

CFR part 1065. Use the applicable duty 

cycles in §§ 1048.505 and 1048.510. 

(b) We describe in § 1048.515 the 

supplemental procedures for showing 

that your engines meet the field-testing 

emission standards in § 1048.101(c). 

(c) Use the fuels specified in 40 CFR 

part 1065, subpart C, for all the testing 

we require in this part, except as noted 

in § 1048.515. Use these test fuels or any 

commercially available fuel for service 

accumulation. 

(d) To test engines for evaporative 

emissions, use the equipment and 

procedures specified for testing diurnal 

emissions in 40 CFR 86.107–96 and 

86.133–96 with fuel meeting the 

specifications in 40 CFR part 1065, 

subpart C. Measure emissions from a 

test engine with a complete fuel system. 

Reported emission levels must be based 

on the highest emissions from three 

successive 24-hour periods of cycling 

temperatures. Note that you may not be 

required to test for evaporative 

emissions during certification if you 

certify by design, as specified in 

§ 1048.245. 

(e) You may use special or alternate 

procedures, as described in 40 CFR 

1065.10. 

(f) We may reject data you generate 

using alternate procedures if later 

testing with the procedures in 40 CFR 

part 1065 shows contradictory emission 

data.

§ 1048.505 What steady-state duty cycles 

apply for laboratory testing? 

(a) Measure emissions by testing the 

engine on a dynamometer with one or 

more of the following sets of steadystate duty cycles to show that the engine 

meets the steady-state standards in 

§ 1048.101(b): 

(1) Use the 7-mode duty cycle 

described in the following table for 

engines from an engine family that will 

be used only in variable-speed 

applications:

TABLE 1 OF § 1048.505—7-MODE DUTY CYCLE 1

Mode No. Engine speed Observed 

torque 2

Minimum 

time in 

mode 

(minutes) 

Weighting 

factors 

1 .................................................. Maximum test speed ...................................................................... 25 3.0 0.06 

2 .................................................. Intermediate test speed .................................................................. 100 3.0 0.02 

3 .................................................. Intermediate test speed .................................................................. 75 3.0 0.05 

4 .................................................. Intermediate test speed .................................................................. 50 3.0 0.32 

5 .................................................. Intermediate test speed .................................................................. 25 3.0 0.30 

6 .................................................. Intermediate test speed .................................................................. 10 3.0 0.10 

7 .................................................. Idle .................................................................................................. 0 3.0 0.15 

1This duty cycle is analogous to the C2 cycle specified in ISO 8178–4. 2The percent torque is relative to the maximum torque at the given engine speed. 

(2) Use the 5-mode duty cycle described in the following table if you certify an engine family for operation only at a 

single, rated speed:

TABLE 2 OF § 1048.505—5-MODE DUTY CYCLE FOR CONSTANT-SPEED ENGINES 1

Mode No. Engine speed Torque 2

Minimum 

time in 

mode

(minutes) 

Weighting 

factors 

1 .................................................. Maximum test ................................................................................. 100 3.0 0.05 

2 .................................................. Maximum test ................................................................................. 75 3.0 0.25 

3 .................................................. Maximum test ................................................................................. 50 3.0 0.30 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68363

TABLE 2 OF § 1048.505—5-MODE DUTY CYCLE FOR CONSTANT-SPEED ENGINES 1

Mode No. Engine speed Torque 2

Minimum 

time in 

mode

(minutes) 

Weighting 

factors 

4 .................................................. Maximum test ................................................................................. 25 3.0 0.30 

5 .................................................. Maximum test ................................................................................. 10 3.0 0.10 

1This duty cycle is analogous to the D2 cycle specified in ISO 8178–4. 2The percent torque is relative to the maximum torque at maximum test speed. 

(3) Use both of the duty cycles described in paragraphs (a)(1) and (a)(2) of this section if you will not restrict an engine 

family to constant-speed or variable-speed applications. 

(4) Use only the duty cycle specified in paragraph (a)(2) of this section for all severe-duty engines. 

(5) Use the 2-mode duty cycle described in the following table for high-load engines instead of the other duty cycles 

in this paragraph (a):

TABLE 3 OF § 1048.505—2-MODE DUTY CYCLE FOR HIGH-LOAD ENGINES 1

Mode No. Engine speed Torque 2

Minimum 

time in 

mode 

(minutes) 

Weighting 

factors 

1 .................................................. Maximum test ................................................................................. 100 3.0 0.50 

2 .................................................. Maximum test ................................................................................. 75 3.0 0.50 

1This duty cycle is derived from the D1 cycle specified in ISO 8178–4. 2The percent torque is relative to the maximum torque at maximum test speed. 

(b) If we test an engine to confirm that 

it meets the duty-cycle emission 

standards, we will use the steady-state 

duty cycles that apply for that engine 

family. 

(c) During idle mode, operate the 

engine with the following parameters: 

(1) Hold the speed within your 

specifications. 

(2) Keep the throttle at the idle-stop 

position. 

(3) Keep engine torque under 5 

percent of the peak torque value at 

maximum test speed. 

(d) For the full-load operating mode, 

operate the engine at wide-open throttle. 

(e) See 40 CFR part 1065 for detailed 

specifications of tolerances and 

calculations. 

(f) In the normal test sequence 

described in 40 CFR part 1065, subpart 

F, steady-state testing generally follows 

the transient test. For those cases where 

we do not require transient testing, 

perform the steady-state test after an 

appropriate warm-up period, consistent 

with good engineering judgment.

§ 1048.510 What transient duty cycles 

apply for laboratory testing? 

(a) Starting with the 2007 model year, 

measure emissions by testing the engine 

on a dynamometer with one of the 

following transient duty cycles to show 

that the engine meets the transient 

emission standards in § 1048.101(a): 

(1) If you certify an engine family for 

constant-speed operation only, use the 

transient duty-cycle described in 

Appendix I of this part. 

(2) For all other engines, use the 

transient duty-cycle described in 

Appendix II of this part. 

(b) If we test an engine to confirm that 

it meets the duty-cycle emission 

standards, we will use the transient 

duty cycle that applies for that engine 

family. 

(c) Warm up the test engine as 

follows: 

(1) Operate the engine for the first 180 

seconds of the appropriate duty cycle, 

then allow it to idle without load for 30 

seconds. At the end of the 30-second 

idling period, start measuring emissions 

as the engine operates over the 

prescribed duty cycle. For severe-duty 

engines, this engine warm-up procedure 

may include up to 15 minutes of 

operation over the appropriate duty 

cycle. 

(2) If the engine was already operating 

before a test, use good engineering 

judgment to let the engine cool down 

enough so measured emissions during 

the next test will accurately represent 

those from an engine starting at room 

temperature. For example, if an engine 

starting at room temperature warms up 

enough in three minutes to start closedloop operation and achieve full catalyst 

activity, then minimal engine cooling is 

necessary before starting the next test. 

(3) You are not required to measure 

emissions while the engine is warming 

up. However, you must design your 

emission-control system to start working 

as soon as possible after engine starting. 

In your application for certification, 

describe how your engine meets this 

objective (see § 1048.205(b)).

§ 1048.515 Field-testing procedures. 

(a) This section describes the 

procedures to determine whether your 

engines meet the field-testing emission 

standards in § 1048.101(c). These 

procedures may include any normal 

engine operation and ambient 

conditions that the engines may 

experience in use. Paragraph (b) of this 

section defines the limits of what we 

will consider normal engine operation 

and ambient conditions. Use the test 

procedures we specify in § 1048.501, 

except for the provisions we specify in 

this section. Measure emissions with 

one of the following procedures: 

(1) Remove the selected engines for 

testing in a laboratory. You can use an 

engine dynamometer to simulate normal 

operation, as described in this section. 

(2) Test the selected engines while 

they remain installed in the equipment. 

In 40 CFR part 1065, subpart J, we 

describe the equipment and sampling 

methods for testing engines in the field. 

Use fuel meeting the specifications of 40 

CFR 1065.210 or a fuel typical of what 

you would expect the engine to use in 

service. 

(b) An engine’s emissions may not 

exceed the levels we specify in 

§ 1048.101(c) for any continuous 

sampling period of at least 120 seconds 

68364 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

under the following ranges of operation 

and operating conditions: 

(1) Engine operation during the 

emission sampling period may include 

any normal operation, subject to the 

following restrictions: 

(i) Average power must be over 5 

percent of maximum brake power. 

(ii) Continuous time at idle must not 

be greater than 120 seconds. 

(iii) The sampling period may not 

begin until the engine has reached 

stable operating temperatures. For 

example, this would exclude engine 

operation after starting until the 

thermostat starts modulating coolant 

temperature. 

(iv) The sampling period may not 

include engine starting. 

(v) For engines that qualify for the 

alternate Tier 2 emission standards in 

§ 1048.101(d), operation at 90 percent or 

more of maximum power must be less 

than 10 percent of the total sampling 

time. You may request our approval for 

a different power threshold. 

(2) Engine testing may occur under 

any normal conditions without 

correcting measured emission levels, 

subject to the following restrictions: 

(i) Barometric pressure must be 

between 80.0 and 103.3 kPa (600 and 

775 mm Hg). 

(ii) Ambient air temperature must be 

between 13° and 35° C.

Subpart G—Compliance Provisions

§ 1048.601 What compliance provisions 

apply to these engines? 

Engine and equipment manufacturers, 

as well as owners, operators, and 

rebuilders of these engines, and all other 

persons, must observe the requirements 

and prohibitions in 40 CFR part 1068 

and the requirements of the Act. The 

compliance provisions in this subpart 

apply only to the engines we regulate in 

this part.

§ 1048.605 What are the provisions for 

exempting engines from the requirements 

of this part if they are already certified 

under the motor-vehicle program? 

(a) This section applies to you if you 

are an engine manufacturer. See 

§ 1048.610 if you are not an engine 

manufacturer. 

(b) The only requirements or 

prohibitions from this part that apply to 

an engine that is exempt under this 

section are in this section. 

(c) If you meet all the following 

criteria and requirements regarding your 

new nonroad engine, it is exempt under 

this section: 

(1) You must produce it by modifying 

an engine covered by a valid certificate 

of conformity under 40 CFR part 86. 

(2) Do not make any changes to the 

certified engine that we could 

reasonably expect to increase its exhaust 

or evaporative emissions. For example, 

if you make any of the following 

changes to one of these engines, you do 

not qualify for this exemption: 

(i) Change any fuel system or 

evaporative system parameters from the 

certified configuration (this does not 

apply to refueling emission controls). 

(ii) Change any other emission-related 

components. 

(iii) Modify or design the engine 

cooling system so that temperatures or 

heat rejection rates are outside the 

original engine manufacturer’s specified 

ranges. 

(3) Demonstrate that fewer than 50 

percent of the engine model’s total sales, 

from all companies, are used in nonroad 

applications. 

(4) The engine must have the label we 

require under 40 CFR part 86. 

(5) Add a permanent supplemental 

label to the engine in a position where 

it will remain clearly visible after 

installation in the equipment. In your 

engine’s emission control information 

label, do the following: 

(i) Include the heading: ‘‘Nonroad 

Engine Emission Control Information’’. 

(ii) Include your full corporate name 

and trademark. 

(iii) State: ‘‘THIS ENGINE WAS 

ADAPTED FOR NONROAD USE 

WITHOUT AFFECTING ITS EMISSION 

CONTROLS.’’. 

(iv) State the date you finished 

modifying the engine (month and year). 

(6) The original and supplemental 

labels must be readily visible after the 

engine is installed in the equipment or, 

if the equipment obscures the engine’s 

emission control information label, the 

equipment manufacturer must attach 

duplicate labels, as described in 40 CFR 

1068.105. 

(7) Send the Designated Officer a 

signed letter by the end of each calendar 

year (or less often if we tell you) with 

all the following information: 

(i) Identify your full corporate name, 

address, and telephone number. 

(ii) List the engine models you expect 

to produce under this exemption in the 

coming year. 

(iii) State: ‘‘We produce each listed 

engine model for nonroad application 

without making any changes that could 

increase its certified emission levels, as 

described in 40 CFR 1048.605.’’. 

(d) If your engines do not meet the 

criteria listed in paragraph (c) of this 

section, they will be subject to the 

standards and prohibitions of this part. 

Producing these engines without a valid 

exemption or certificate of conformity 

would violate the prohibitions in 40 

CFR 1068.101. 

(e) If you are the original engine 

manufacturer of both the highway and 

nonroad versions of an exempted 

engine, you must send us emission test 

data on the applicable nonroad duty 

cycle(s). You may include the data in 

your application for certification or in 

your letter requesting the exemption. 

(f) If you are the original engine 

manufacturer of an exempted engine 

that is modified by another company 

under this exemption, we may require 

you to send us emission test data on the 

applicable nonroad duty cycle(s). If we 

ask for this data, we will allow a 

reasonable amount of time to collect it. 

(g) The engine exempted under this 

section must meet all applicable 

requirements from 40 CFR part 86. This 

applies to engine manufacturers, 

equipment manufacturers who use these 

engines, and all other persons as if these 

engines were used in a motor vehicle.

§ 1048.610 What are the provisions for 

producing nonroad equipment with engines 

already certified under the motor-vehicle 

program? 

If you are not an engine manufacturer, 

you may produce nonroad equipment 

from complete or incomplete motor 

vehicles with the motor vehicle engine 

if you meet three criteria: 

(a) The engine or vehicle is certified 

to 40 CFR part 86. 

(b) The engine is not adjusted outside 

the engine manufacturer’s specifications 

(see § 1048.605(c)(2)). 

(c) The engine or vehicle is not 

modified in any way that may affect its 

emission control. This applies to 

exhaust and evaporative emission 

controls, but not refueling emission 

controls.

§ 1048.615 What are the provisions for 

exempting engines designed for lawn and 

garden applications? 

This section is intended for engines 

designed for lawn and garden 

applications, but it applies to any 

engines meeting the size criteria in 

paragraph (a) of this section. 

(a) If an engine meets all the following 

criteria, it is exempt from the 

requirements of this part: 

(1) The engine must have a total 

displacement of 1,000 cc or less. 

(2) The engine must have a maximum 

brake power of 30 kW or less. 

(3) The engine must be in an engine 

family that has a valid certificate of 

conformity showing that it meets 

emission standards for Class II engines 

under 40 CFR part 90. 

(b) The only requirements or 

prohibitions from this part that apply to 

an engine that meets the criteria in 

paragraph (a) of this section are in this 

section. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68365

(c) If your engines do not meet the 

criteria listed in paragraph (a) of this 

section, they will be subject to the 

provisions of this part. Producing these 

engines without a valid exemption or 

certificate of conformity would violate 

the prohibitions in 40 CFR 1068.101. 

(d) Engines exempted under this 

section are subject to all the 

requirements affecting engines under 40 

CFR part 90. The requirements and 

restrictions of 40 CFR part 90 apply to 

anyone manufacturing these engines, 

anyone manufacturing equipment that 

uses these engines, and all other persons 

in the same manner as if these engines 

had a total maximum brake power at or 

below 19 kW.

§ 1048.620 What are the provisions for 

exempting large engines fueled by natural 

gas? 

(a) If an engine meets all the following 

criteria, it is exempt from the 

requirements of this part: 

(1) The engine must operate solely on 

natural gas. 

(2) The engine must have maximum 

brake power 250 kW or higher. 

(3) The engine must be in an engine 

family that has a valid certificate of 

conformity showing that it meets 

emission standards for engines of that 

power rating under 40 CFR part 89. 

(b) The only requirements or 

prohibitions from this part that apply to 

an engine that is exempt under this 

section are in this section. 

(c) If your engines do not meet the 

criteria listed in paragraph (a) of this 

section, they will be subject to the 

provisions of this part. Producing these 

engines without a valid exemption or 

certificate of conformity would violate 

the prohibitions in 40 CFR 1068.101.

(d) Engines exempted under this 

section are subject to all the 

requirements affecting engines under 40 

CFR part 89. The requirements and 

restrictions of 40 CFR part 89 apply to 

anyone manufacturing these engines, 

anyone manufacturing equipment that 

uses these engines, and all other persons 

in the same manner as if these were 

nonroad diesel engines. 

(e) You may request an exemption 

under this section by submitting an 

application for certification for the 

engines under 40 CFR part 89.

§ 1048.625 What special provisions apply 

to engines using noncommercial fuels? 

If you are unable to meet this part’s 

requirements with engines using 

noncommercial fuels (such as unrefined 

natural gas released by oil wells), the 

following provisions apply for those 

engines: 

(a) Create a separate engine family. 

(b) Disregard the limits on adjustable 

parameters in § 1048.115(e), but make 

sure the engines meet emission 

standards with normal settings when 

the engine is using fuel meeting the 

specifications of 40 CFR part 1065, 

subpart C. 

(c) Add the following information to 

the emission control information label 

specified in § 1048.135: 

(1) Include instructions describing 

how to adjust the engine to operate in 

a way that maintains the effectiveness of 

the emission-control system. 

(2) State: ‘‘THIS ENGINE IS 

CERTIFIED TO OPERATE IN 

APPLICATIONS USING 

NONCOMMERCIAL FUEL. USING IT IN 

AN APPLICATION INVOLVING ONLY 

COMMERCIAL FUELS MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY.’’. 

(d) Keep records to document the 

destinations and quantities of engines 

produced under this section.

Subpart H—[Reserved]

Subpart I—Definitions and Other 

Reference Information

§ 1048.801 What definitions apply to this 

part? 

The following definitions apply to 

this part. The definitions apply to all 

subparts unless we note otherwise. All 

undefined terms have the meaning the 

Act gives to them. The definitions 

follow: 

Act means the Clean Air Act, as 

amended, 42 U.S.C. 7401 et seq.

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust (including those 

which are difficult to access) and that, 

if adjusted, may affect emissions or 

engine performance during emission 

testing or normal in-use operation. You 

may ask us to exclude a parameter that 

is difficult to access if it cannot be 

adjusted to affect emissions without 

significantly degrading performance, or 

if you otherwise show us that it will not 

be adjusted in a way that affects 

emissions during in-use operation. 

Aftertreatment means relating to any 

system, component, or technology 

mounted downstream of the exhaust 

valve or exhaust port whose design 

function is to reduce exhaust emissions. 

Aircraft means any vehicle capable of 

sustained air travel above treetop 

heights. 

All-terrain vehicle has the meaning 

we give in 40 CFR 1051.801. 

Auxiliary emission-control device

means any element of design that senses 

temperature, engine rpm, motive speed, 

transmission gear, atmospheric 

pressure, manifold pressure or vacuum, 

or any other parameter to activate, 

modulate, delay, or deactivate the 

operation of any part of the emissioncontrol system. This also includes any 

other feature that causes in-use 

emissions to be higher than those 

measured under test conditions, except 

as we allow under this part. 

Blue Sky Series engine means an 

engine meeting the requirements of 

§ 1048.140. 

Brake power means the usable power 

output of the engine, not including 

power required to operate fuel pumps, 

oil pumps, or coolant pumps. 

Broker means any entity that 

facilitates a trade of emission credits 

between a buyer and seller. 

Calibration means the set of 

specifications and tolerances specific to 

a particular design, version, or 

application of a component or assembly 

capable of functionally describing its 

operation over its working range. 

Certification means obtaining a 

certificate of conformity for an engine 

family that complies with the emission 

standards and requirements in this part. 

Compression-ignition means relating 

to a type of reciprocating, internalcombustion engine that is not a sparkignition engine. 

Constant-speed engine means an 

engine governed to operate at a single 

speed. 

Crankcase emissions means airborne 

substances emitted to the atmosphere 

from any part of the engine crankcase’s 

ventilation or lubrication systems. The 

crankcase is the housing for the 

crankshaft and other related internal 

parts. 

Designated Officer means the 

Manager, Engine Programs Group 

(6405–J), U.S. Environmental Protection 

Agency, 1200 Pennsylvania Ave., 

Washington, DC 20460. 

Emission-control system means any 

device, system, or element of design that 

controls or reduces the regulated 

emissions from an engine. 

Emission-data engine means an 

engine that is tested for certification. 

Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emissions deterioration. 

Engine family means a group of 

engines with similar emission 

characteristics, as specified in 

§ 1048.230. 

Engine manufacturer means the 

manufacturer of the engine. See the 

definition of ‘‘manufacturer’’ in this 

section. 

Fuel system means all components 

involved in transporting, metering, and 

mixing the fuel from the fuel tank to the 

68366 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

combustion chamber(s), including the 

fuel tank, fuel tank cap, fuel pump, fuel 

filters, fuel lines, carburetor or fuelinjection components, and all fuelsystem vents. 

Good engineering judgment has the 

meaning we give in 40 CFR 1068.5. 

High-cost warranted part means a 

component covered by the emissionrelated warranty with a replacement 

cost (at the time of certification) 

exceeding $400 (in 1998 dollars). Adjust 

this value using the most recent annual 

average consumer price index 

information published by the U.S. 

Bureau of Labor Statistics. For this 

definition, replacement cost includes 

the retail cost of the part plus labor and 

standard diagnosis. 

High-load engine means an engine for 

which the engine manufacturer can 

provide clear evidence that operation 

below 75 percent of maximum load in 

it’s final application will be rare. 

Hydrocarbon (HC) means the 

hydrocarbon group on which the 

emission standards are based for each 

fuel type. For gasoline- and LPG-fueled 

engines, HC means total hydrocarbon 

(THC). For natural gas-fueled engines, 

HC means nonmethane hydrocarbon 

(NMHC). For alcohol-fueled engines, HC 

means total hydrocarbon equivalent 

(THCE).

Identification number means a unique 

specification (for example, model 

number/serial number combination) 

that allows someone to distinguish a 

particular engine from other similar 

engines. 

Intermediate test speed has the 

meaning we give in 40 CFR 1065.515. 

Manufacturer has the meaning given 

in section 216(1) of the Act. In general, 

this term includes any person who 

manufactures an engine, vehicle, or 

piece of equipment for sale in the 

United States or otherwise introduces a 

new nonroad engine into commerce in 

the United States. This includes 

importers who import engines, 

equipment, or vehicles for resale. 

Marine engine means an engine that 

someone installs or intends to install on 

a marine vessel. There are two kinds of 

marine engines: 

(1) Propulsion marine engine means a 

marine engine that moves a vessel 

through the water or directs the vessel’s 

movement. 

(2) Auxiliary marine engine means a 

marine engine not used for propulsion. 

Marine vessel means a vehicle that is 

capable of operation in water but is not 

capable of operation out of water. 

Amphibious vehicles are not marine 

vessels. 

Maximum brake power means the 

maximum brake power an engine 

produces at maximum test speed. 

Maximum test speed has the meaning 

we give in 40 CFR 1065.515. 

Maximum test torque has the meaning 

we give in 40 CFR 1065.1001. 

Model year means one of the 

following things: 

(1) For freshly manufactured engines 

(see definition of ‘‘new nonroad 

engine,’’ paragraph (1)), model year 

means one of the following: 

(i) Calendar year. 

(ii) Your annual new model 

production period if it is different than 

the calendar year. This must include 

January 1 of the calendar year for which 

the model year is named. It may not 

begin before January 2 of the previous 

calendar year and it must end by 

December 31 of the named calendar 

year. 

(2) For an engine that is converted to 

a nonroad engine after being placed into 

service in a motor vehicle, model year 

means the calendar year in which the 

engine was originally produced (see 

definition of ‘‘new nonroad engine,’’

paragraph (2)). 

(3) For a nonroad engine excluded 

under § 1048.5 that is later converted to 

operate in an application that is not 

excluded, model year means the 

calendar year in which the engine was 

originally produced (see definition of 

‘‘new nonroad engine,’’ paragraph (3)). 

(4) For engines that are not freshly 

manufactured but are installed in new 

nonroad equipment, model year means 

the calendar year in which the engine is 

installed in the new nonroad 

equipment. This installation date is 

based on the time that final assembly of 

the equipment is complete (see 

definition of ‘‘new nonroad engine,’’

paragraph (4)). 

(5) For an engine modified by an 

importer (not the original engine 

manufacturer) who has a certificate of 

conformity for the imported engine (see 

definition of ‘‘new nonroad engine,’’

paragraph (5)), model year means one of 

the following: 

(i) The calendar year in which the 

importer finishes modifying and 

labeling the engine. 

(ii) Your annual production period for 

producing engines if it is different than 

the calendar year; follow the guidelines 

in paragraph (1)(ii) of this definition. 

(6) For an engine you import that does 

not meet the criteria in paragraphs (1) 

through (5) of the definition of ‘‘new 

nonroad engine,’’ model year means the 

calendar year in which the engine 

manufacturer completed the original 

assembly of the engine. In general, this 

applies to used equipment that you 

import without conversion or major 

modification. 

Motor vehicle has the meaning we 

give in 40 CFR 85.1703(a). In general, 

motor vehicle means a self-propelled 

vehicle that can transport one or more 

people or any material, but doesn’t 

include any of the following: 

(1) Vehicles having a maximum 

ground speed over level, paved surfaces 

no higher than 40 km per hour (25 miles 

per hour). 

(2) Vehicles that lack features usually 

needed for safe, practical use on streets 

or highways—for example, safety 

features required by law, a reverse gear 

(except for motorcycles), or a 

differential. 

(3) Vehicles whose operation on 

streets or highways would be unsafe, 

impractical, or highly unlikely. 

Examples are vehicles with tracks 

instead of wheels, very large size, or 

features associated with military 

vehicles, such as armor or weaponry. 

New nonroad engine means any of the 

following things: 

(1) A freshly manufactured nonroad 

engine for which the ultimate buyer has 

never received the equitable or legal 

title. This kind of vehicle might 

commonly be thought of as ‘‘brand 

new.’’ In the case of this paragraph (1), 

the engine is no longer new when the 

ultimate buyer receives this title or the 

product is placed into service, 

whichever comes first. 

(2) An engine originally manufactured 

as a motor vehicle engine that is later 

intended to be used in a piece of 

nonroad equipment. In this case, the 

engine is no longer a motor vehicle 

engine and becomes a ‘‘new nonroad 

engine’’. The engine is no longer new 

when it is placed into nonroad service. 

(3) A nonroad engine that has been 

previously placed into service in an 

application we exclude under § 1048.5, 

where that engine is installed in a piece 

of equipment for which these exclusions 

do not apply. The engine is no longer 

new when it is placed into nonroad 

service. For example, this would apply 

to a stationary engine that is no longer 

used in a stationary application. 

(4) An engine not covered by 

paragraphs (1) through (3) of this 

definition that is intended to be 

installed in new nonroad equipment. 

The engine is no longer new when the 

ultimate buyer receives a title for the 

equipment or the product is placed into 

service, whichever comes first. This 

generally includes installation of used 

engines in new equipment. 

(5) An imported nonroad engine 

covered by a certificate of conformity 

issued under this part, where someone 

other than the original engine 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68367

manufacturer modifies the engine after 

its initial assembly and holds the 

certificate. The engine is no longer new 

when it is placed into nonroad service. 

(6) An imported nonroad engine that 

is not covered by a certificate of 

conformity issued under this part at the 

time of importation. This addresses 

uncertified engines and vehicles that 

have been placed into service in other 

countries and that someone seeks to 

import into the United States. 

Importation of this kind of new nonroad 

engine (or vehicle containing such an 

engine) is generally prohibited by 40 

CFR part 1068. 

New nonroad equipment means either 

of the following things: 

(1) A nonroad vehicle or other piece 

of equipment for which the ultimate 

buyer has never received the equitable 

or legal title. The product is no longer 

new when the ultimate buyer receives 

this title or the product is placed into 

service, whichever comes first. 

(2) An imported nonroad piece of 

equipment with an engine not covered 

by a certificate of conformity issued 

under this part at the time of 

importation and manufactured after the 

date for applying the requirements of 

this part. 

Noncommercial fuel means a fuel that 

is not marketed or sold as a commercial 

product. For example, this includes 

methane produced and released from 

landfills or oil wells. 

Noncompliant engine means an 

engine that was originally covered by a 

certificate of conformity, but is not in 

the certified configuration or otherwise 

does not comply with the conditions of 

the certificate. 

Nonconforming engine means an 

engine not covered by a certificate of 

conformity that would otherwise be 

subject to emission standards. 

Nonmethane hydrocarbon means the 

difference between the emitted mass of 

total hydrocarbons and the emitted mass 

of methane. 

Nonroad means relating to nonroad 

engines or equipment that includes 

nonroad engines. 

Nonroad engine has the meaning 

given in 40 CFR 1068.30. In general this 

means all internal-combustion engines 

except motor vehicle engines, stationary 

engines, or engines used solely for 

competition. This part does not apply to 

all nonroad engines (see § 1048.5). 

Off-highway motorcycle has the 

meaning we give in 40 CFR 1051.801. 

(Note: highway motorcycles are 

regulated under 40 CFR part 86.) 

Oxides of nitrogen has the meaning 

given it in 40 CFR part 1065

Placed into service means used for its 

intended purpose. 

Point of first retail sale means the 

location at which the retail sale occurs. 

This generally means a dealership. 

Revoke means to discontinue the 

certificate for an engine family. If we 

revoke a certificate, you must apply for 

a new certificate before continuing to 

produce the affected vehicles or 

engines. This does not apply to vehicles 

or engines you no longer possess. 

Round means to round numbers 

according to ASTM E29–02 

(incorporated by reference in 

§ 1048.810), unless otherwise specified. 

Scheduled maintenance means 

adjusting, repairing, removing, 

disassembling, cleaning, or replacing 

components or systems that is 

periodically needed to keep a part from 

failing or malfunctioning. It also may 

mean actions you expect are necessary 

to correct an overt indication of failure 

or malfunction for which periodic 

maintenance is not appropriate. 

Severe-duty application includes 

concrete saws, concrete pumps, and any 

other application where an engine 

manufacturer can provide clear 

evidence that the majority of 

installations need air-cooled engines as 

a result of operation in a severe-duty 

environment. 

Severe-duty engine means an engine 

from an engine family in which the 

majority of engines are installed in 

severe-duty applications. 

Small-volume engine manufacturer

means a company with fewer than 200 

employees. This includes any 

employees working for parent or 

subsidiary companies. 

Snowmobile has the meaning we give 

in 40 CFR 1051.801. 

Spark-ignition means relating to a 

gasoline-fueled engine or any other type 

of engine with a spark plug (or other 

sparking device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation. 

Stationary engine means an internal 

combustion engine that is neither a 

nonroad engine, nor a motor-vehicle 

engine, nor an engine used solely for 

competition (see the definition of 

nonroad engine in 40 CFR 1068.30). In 

general this includes fixed engines and 

all portable or transportable engines that 

stay in a single site at a building, 

structure, facility, or installation for at 

least a full year; this does not include 

an engine installed in equipment that 

has the ability to propel itself. For yearround sources, a full year is 12 

consecutive months. For seasonal 

sources, a full year is a full annual 

operating period of at least three 

months. A seasonal source is a site with 

engines operating only part of the year 

for at least two consecutive years. If you 

replace an engine with one that does the 

same or similar work in the same place, 

you may apply the previous engine’s 

service to your calculation for residence 

time. If you move a stationary engine 

anytime in its life after it has been in 

place for at least a full year, it becomes 

a nonroad engine subject to emission 

standards unless it stays at the new 

location for a full year. 

Stoichiometry means the proportion 

of a mixture of air and fuel such that the 

fuel is fully oxidized with no remaining 

oxygen. For example, stoichiometric 

combustion in gasoline engines 

typically occurs at an air-fuel mass ratio 

of about 14.7. 

Suspend means to temporarily 

discontinue the certificate for an engine 

family. If we suspend a certificate, you 

may not sell vehicles or engines from 

that engine family unless we reinstate 

the certificate or approve a new one. 

Test engine means an engine in a test 

sample. 

Test sample means the collection of 

engines selected from the population of 

an engine family for emission testing. 

Total hydrocarbon means the 

combined mass organic compounds 

measured by our total hydrocarbon test 

procedure, expressed as a hydrocarbon 

with a hydrogen-to-carbon mass ratio of 

1.85:1. 

Total hydrocarbon equivalent means 

the sum of the carbon mass 

contributions of non-oxygenated 

hydrocarbons, alcohols and aldehydes, 

or other organic compounds that are 

measured separately as contained in a 

gas sample, expressed as petroleumfueled engine hydrocarbons. The 

hydrogen-to-carbon ratio of the 

equivalent hydrocarbon is 1.85:1. 

Tier 1 means relating to the emission 

standards and other requirements that 

apply beginning with the 2004 model 

year. 

Tier 2 means relating to the emission 

standards and other requirements that 

apply beginning with the 2007 model 

year. 

Ultimate buyer means ultimate 

purchaser. 

Ultimate purchaser means, with 

respect to any new nonroad equipment 

or new nonroad engine, the first person 

who in good faith purchases such new 

nonroad equipment or new nonroad 

engine for purposes other than resale. 

United States means the States, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

68368 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands. 

Upcoming model year means for an 

engine family the model year after the 

one currently in production.

U.S.-directed production volume

means the number of engine units, 

subject to the requirements of this part, 

produced by a manufacturer for which 

the manufacturer has a reasonable 

assurance that sale was or will be made 

to ultimate buyers in the United States. 

Useful life means the period during 

which the engine is designed to 

properly function in terms of reliability 

and fuel consumption, without being 

remanufactured, specified as a number 

of hours of operation or calendar years. 

It is the period during which a new 

nonroad engine is required to comply 

with all applicable emission standards. 

See § 1048.101(g). 

Variable-speed engine means an 

engine that is not a constant-speed 

engine. 

Void means to invalidate a certificate 

or an exemption. If we void a certificate, 

all the vehicles produced under that 

engine family for that model year are 

considered noncompliant, and you are 

liable for each vehicle produced under 

the certificate and may face civil or 

criminal penalties or both. If we void an 

exemption, all the vehicles produced 

under that exemption are considered 

uncertified (or nonconforming), and you 

are liable for each vehicle produced 

under the exemption and may face civil 

or criminal penalties or both. You may 

not produce any additional vehicles 

using the voided exemption. 

Volatile liquid fuel means any fuel 

other than diesel or biodiesel that is a 

liquid at atmospheric pressure. 

Wide-open throttle means maximum 

throttle opening. Unless this is specified 

at a given speed, it refers to maximum 

throttle opening at maximum speed. For 

electronically controlled or other 

engines with multiple possible fueling 

rates, wide-open throttle also means the 

maximum fueling rate at maximum 

throttle opening under test conditions.

§ 1048.805 What symbols, acronyms, and 

abbreviations does this part use? 

The following symbols, acronyms, 

and abbreviations apply to this part:

°C degrees Celsius. 

ASTM American Society for Testing and 

Materials. 

cc cubic centimeters. 

CFR Code of Federal Regulations. 

cm centimeter. 

CO carbon monoxide. 

CO2 carbon dioxide. 

EPA Environmental Protection Agency. 

g/kW-hr grams per kilowatt-hour. 

HC hydrocarbon. 

ISO International Organization for 

Standardization. 

kPa kilopascals. 

kW kilowatts. 

LPG liquefied petroleum gas. 

m meters. 

MIL malfunction-indicator light. 

mm Hg millimeters of mercury. 

NMHC nonmethane hydrocarbons. 

NOX oxides of nitrogen (NO and NO2). 

psi pounds per square inch of absolute 

pressure. 

psig pounds per square inch of gauge 

pressure. 

rpm revolutions per minute. 

SAE Society of Automotive Engineers. 

SI spark-ignition. 

THC total hydrocarbon. 

THCE total hydrocarbon equivalent. 

U.S.C. United States Code.

§ 1048.810 What materials does this part 

reference? 

We have incorporated by reference 

the documents listed in this section. 

The Director of the Federal Register 

approved the incorporation by reference 

as prescribed in 5 U.S.C. 552(a) and 1 

CFR part 51. Anyone may inspect copies 

at the U.S. EPA, Air and Radiation 

Docket and Information Center, 1301 

Constitution Ave., NW., Room B102, 

EPA West Building, Washington, DC 

20460 or the Office of the Federal 

Register, 800 N. Capitol St., NW., 7th 

Floor, Suite 700, Washington, DC. 

(a) ASTM material. Table 1 of 

§ 1048.810 lists material from the 

American Society for Testing and 

Materials that we have incorporated by 

reference. The first column lists the 

number and name of the material. The 

second column lists the sections of this 

part where we reference it. Anyone may 

purchase copies of these materials from 

the American Society for Testing and 

Materials, 100 Barr Harbor Dr., West 

Conshohocken, PA 19428. Table 1 

follows:

TABLE 1 OF § 1048.810.—ASTM MATERIALS

Document number and name Part 1048 

reference 

ASTM E29–02, Standard Practice for Using Significant Digits in Test Data to Determine Conformance with Specifications .............. 1048.801 

(b) SAE material. Table 2 of 

§ 1048.810 lists material from the 

Society of Automotive Engineering that 

we have incorporated by reference. The 

first column lists the number and name 

of the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096. Table 2 follows:

TABLE 2 OF § 1048.810.—SAE MATERIALS

Document number and name Part 1048 

reference 

SAE J1930, Electrical/Electronic Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms, May 1998 .......................... 1048.135 

SAE J2260, Nonmetallic Fuel System Tubing with One or More Layers, November 1996 ................................................................... 1048.105 

(c) ISO material. Table 3 of § 1048.810 

lists material from the International 

Organization for Standardization that 

we have incorporated by reference. The 

first column lists the number and name 

of the material. The second column lists 

the section of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

International Organization for 

Standardization, Case Postale 56, CH–

1211 Geneva 20, Switzerland. Table 3 

follows:

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68369

TABLE 3 OF § 1048.810.—ISO MATERIALS

Document number and name Part 1048 

reference 

ISO 9141–2 Road vehicles—Diagnostic systems—Part 2: CARB requirements for interchange of digital information, February 

1994 ..................................................................................................................................................................................................... 1048.110 

ISO 14230–4 Road vehicles—Diagnostic systems—Keyword Protocol 2000—Part 4: Requirements for emission-related systems, 

June 2000 ............................................................................................................................................................................................ 1048.110 

§ 1048.815 How should I request EPA to 

keep my information confidential? 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. 

(b) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(c) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in 40 CFR 

2.204.

§ 1048.820 How do I request a hearing? 

See 40 CFR part 1068, subpart G, for 

information related to hearings. 

Appendix I to Part 1048—Large Sparkignition (SI) Transient Cycle for 

Constant-Speed Engines 

The following table shows the 

transient duty-cycle for constant-speed 

engines, as described in § 1048.510:

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

1 .................... 58 5 

2 .................... 58 5 

3 .................... 58 5 

4 .................... 58 5 

5 .................... 58 5 

6 .................... 58 5 

7 .................... 58 5 

8 .................... 58 5 

9 .................... 58 5 

10 .................. 58 5 

11 .................. 58 5 

12 .................. 65 8 

13 .................. 72 9 

14 .................. 79 12 

15 .................. 86 14 

16 .................. 93 16 

17 .................. 93 16 

18 .................. 93 16 

19 .................. 93 16 

20 .................. 93 16 

21 .................. 93 16 

22 .................. 93 16 

23 .................. 93 16 

24 .................. 93 31 

25 .................. 93 30 

26 .................. 93 27 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

27 .................. 93 23 

28 .................. 93 24 

29 .................. 93 21 

30 .................. 93 20 

31 .................. 93 18 

32 .................. 93 16 

33 .................. 93 18 

34 .................. 93 16 

35 .................. 93 17 

36 .................. 93 20 

37 .................. 93 20 

38 .................. 93 22 

39 .................. 93 20 

40 .................. 93 17 

41 .................. 93 17 

42 .................. 93 17 

43 .................. 93 16 

44 .................. 93 18 

45 .................. 93 18 

46 .................. 93 21 

47 .................. 93 21 

48 .................. 93 18 

49 .................. 94 24 

50 .................. 93 28 

51 .................. 93 23 

52 .................. 93 19 

53 .................. 93 20 

54 .................. 93 20 

55 .................. 93 29 

56 .................. 93 23 

57 .................. 93 25 

58 .................. 93 23 

59 .................. 93 23 

60 .................. 93 23 

61 .................. 93 22 

62 .................. 93 21 

63 .................. 93 22 

64 .................. 93 30 

65 .................. 93 33 

66 .................. 93 25 

67 .................. 93 29 

68 .................. 93 27 

69 .................. 93 23 

70 .................. 93 21 

71 .................. 93 21 

72 .................. 93 19 

73 .................. 93 20 

74 .................. 93 24 

75 .................. 93 23 

76 .................. 93 21 

77 .................. 93 44 

78 .................. 93 34 

79 .................. 93 28 

80 .................. 93 37 

81 .................. 93 29 

82 .................. 93 27 

83 .................. 93 33 

84 .................. 93 28 

85 .................. 93 22 

86 .................. 96 30 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

87 .................. 95 25 

88 .................. 95 17 

89 .................. 95 13 

90 .................. 95 10 

91 .................. 95 9 

92 .................. 95 8 

93 .................. 95 7 

94 .................. 95 7 

95 .................. 95 6 

96 .................. 95 6 

97 .................. 93 37 

98 .................. 93 35 

99 .................. 93 29 

100 ................ 93 23 

101 ................ 93 23 

102 ................ 93 21 

103 ................ 93 20 

104 ................ 93 29 

105 ................ 93 27 

106 ................ 93 26 

107 ................ 93 35 

108 ................ 93 43 

109 ................ 95 35 

110 ................ 95 24 

111 ................ 95 17 

112 ................ 95 13 

113 ................ 95 10 

114 ................ 95 9 

115 ................ 95 8 

116 ................ 95 7 

117 ................ 95 7 

118 ................ 95 6 

119 ................ 93 36 

120 ................ 93 30 

121 ................ 93 25 

122 ................ 93 21 

123 ................ 93 22 

124 ................ 93 19 

125 ................ 93 34 

126 ................ 93 36 

127 ................ 93 31 

128 ................ 93 26 

129 ................ 93 27 

130 ................ 93 22 

131 ................ 93 22 

132 ................ 93 18 

133 ................ 93 18 

134 ................ 93 19 

135 ................ 93 19 

136 ................ 93 23 

137 ................ 93 22 

138 ................ 93 20 

139 ................ 93 23 

140 ................ 93 20 

141 ................ 93 18 

142 ................ 93 18 

143 ................ 93 16 

144 ................ 93 19 

145 ................ 94 25 

146 ................ 93 30 

68370 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

147 ................ 93 29 

148 ................ 93 23 

149 ................ 93 24 

150 ................ 93 22 

151 ................ 94 20 

152 ................ 93 17 

153 ................ 93 16 

154 ................ 93 16 

155 ................ 93 15 

156 ................ 93 17 

157 ................ 93 18 

158 ................ 93 20 

159 ................ 93 21 

160 ................ 93 18 

161 ................ 93 17 

162 ................ 92 54 

163 ................ 93 38 

164 ................ 93 29 

165 ................ 93 24 

166 ................ 93 24 

167 ................ 93 24 

168 ................ 93 23 

169 ................ 93 20 

170 ................ 93 20 

171 ................ 93 18 

172 ................ 93 19 

173 ................ 93 19 

174 ................ 93 16 

175 ................ 93 16 

176 ................ 93 16 

177 ................ 93 18 

178 ................ 93 21 

179 ................ 93 20 

180 ................ 93 20 

181 ................ 93 17 

182 ................ 93 19 

183 ................ 93 17 

184 ................ 93 18 

185 ................ 93 16 

186 ................ 93 16 

187 ................ 93 16 

188 ................ 93 17 

189 ................ 93 16 

190 ................ 93 17 

191 ................ 93 18 

192 ................ 93 17 

193 ................ 93 16 

194 ................ 93 17 

195 ................ 93 17 

196 ................ 93 22 

197 ................ 93 19 

198 ................ 93 19 

199 ................ 95 21 

200 ................ 95 16 

201 ................ 95 12 

202 ................ 95 10 

203 ................ 96 8 

204 ................ 96 7 

205 ................ 95 7 

206 ................ 96 7 

207 ................ 95 6 

208 ................ 96 6 

209 ................ 96 6 

210 ................ 88 6 

211 ................ 89 48 

212 ................ 93 34 

213 ................ 93 27 

214 ................ 93 26 

215 ................ 93 25 

216 ................ 93 22 

217 ................ 93 23 

218 ................ 93 21 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

219 ................ 93 21 

220 ................ 93 23 

221 ................ 93 23 

222 ................ 93 23 

223 ................ 93 23 

224 ................ 93 23 

225 ................ 93 22 

226 ................ 93 22 

227 ................ 93 24 

228 ................ 93 23 

229 ................ 93 23 

230 ................ 93 21 

231 ................ 93 20 

232 ................ 93 20 

233 ................ 93 20 

234 ................ 93 22 

235 ................ 93 26 

236 ................ 93 22 

237 ................ 93 20 

238 ................ 93 18 

239 ................ 93 22 

240 ................ 93 20 

241 ................ 94 27 

242 ................ 93 22 

243 ................ 93 23 

244 ................ 93 21 

245 ................ 93 22 

246 ................ 95 22 

247 ................ 95 16 

248 ................ 95 12 

249 ................ 95 10 

250 ................ 95 9 

251 ................ 95 8 

252 ................ 96 7 

253 ................ 95 7 

254 ................ 95 6 

255 ................ 92 42 

256 ................ 93 36 

257 ................ 93 33 

258 ................ 92 60 

259 ................ 93 48 

260 ................ 93 36 

261 ................ 93 30 

262 ................ 93 28 

263 ................ 93 24 

264 ................ 93 24 

265 ................ 93 23 

266 ................ 93 23 

267 ................ 93 25 

268 ................ 93 27 

269 ................ 93 29 

270 ................ 93 26 

271 ................ 93 26 

272 ................ 93 21 

273 ................ 93 23 

274 ................ 93 23 

275 ................ 94 23 

276 ................ 93 40 

277 ................ 94 67 

278 ................ 93 46 

279 ................ 93 38 

280 ................ 93 29 

281 ................ 93 28 

282 ................ 93 27 

283 ................ 93 29 

284 ................ 93 28 

285 ................ 94 34 

286 ................ 93 31 

287 ................ 93 30 

288 ................ 94 42 

289 ................ 93 31 

290 ................ 93 29 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

291 ................ 93 27 

292 ................ 93 23 

293 ................ 93 23 

294 ................ 93 20 

295 ................ 93 20 

296 ................ 93 23 

297 ................ 93 23 

298 ................ 93 24 

299 ................ 93 25 

300 ................ 93 20 

301 ................ 93 25 

302 ................ 93 23 

303 ................ 93 23 

304 ................ 93 24 

305 ................ 93 28 

306 ................ 93 23 

307 ................ 93 24 

308 ................ 93 34 

309 ................ 93 31 

310 ................ 93 35 

311 ................ 93 31 

312 ................ 93 32 

313 ................ 93 31 

314 ................ 93 30 

315 ................ 93 23 

316 ................ 93 23 

317 ................ 93 36 

318 ................ 93 32 

319 ................ 93 25 

320 ................ 93 31 

321 ................ 93 33 

322 ................ 93 31 

323 ................ 93 27 

324 ................ 93 24 

325 ................ 93 19 

326 ................ 96 21 

327 ................ 96 16 

328 ................ 95 12 

329 ................ 95 10 

330 ................ 95 8 

331 ................ 95 8 

332 ................ 95 7 

333 ................ 95 7 

334 ................ 95 6 

335 ................ 95 6 

336 ................ 95 6 

337 ................ 87 6 

338 ................ 57 6 

339 ................ 58 6 

340 ................ 58 6 

341 ................ 58 6 

342 ................ 58 6 

343 ................ 58 6 

344 ................ 58 6 

345 ................ 58 6 

346 ................ 58 6 

347 ................ 58 6 

348 ................ 58 6 

349 ................ 58 6 

350 ................ 58 6 

351 ................ 58 6 

352 ................ 95 73 

353 ................ 93 65 

354 ................ 93 52 

355 ................ 93 38 

356 ................ 93 30 

357 ................ 93 31 

358 ................ 93 26 

359 ................ 93 21 

360 ................ 93 22 

361 ................ 93 26 

362 ................ 93 23 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68371

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

363 ................ 93 19 

364 ................ 93 27 

365 ................ 93 42 

366 ................ 93 29 

367 ................ 94 25 

368 ................ 94 26 

369 ................ 94 29 

370 ................ 93 28 

371 ................ 93 23 

372 ................ 93 21 

373 ................ 93 26 

374 ................ 93 23 

375 ................ 93 20 

376 ................ 94 23 

377 ................ 93 18 

378 ................ 93 19 

379 ................ 93 23 

380 ................ 93 19 

381 ................ 93 16 

382 ................ 93 25 

383 ................ 93 22 

384 ................ 93 20 

385 ................ 93 25 

386 ................ 94 28 

387 ................ 93 23 

388 ................ 93 23 

389 ................ 93 25 

390 ................ 93 23 

391 ................ 93 20 

392 ................ 93 19 

393 ................ 93 24 

394 ................ 93 20 

395 ................ 93 18 

396 ................ 93 21 

397 ................ 95 22 

398 ................ 96 16 

399 ................ 96 12 

400 ................ 95 10 

401 ................ 96 9 

402 ................ 95 8 

403 ................ 96 7 

404 ................ 96 7 

405 ................ 96 6 

406 ................ 96 6 

407 ................ 95 6 

408 ................ 91 6 

409 ................ 58 6 

410 ................ 58 6 

411 ................ 58 6 

412 ................ 58 6 

413 ................ 58 6 

414 ................ 58 6 

415 ................ 58 6 

416 ................ 58 6 

417 ................ 58 6 

418 ................ 58 6 

419 ................ 58 6 

420 ................ 58 6 

421 ................ 58 6 

422 ................ 58 6 

423 ................ 58 6 

424 ................ 58 6 

425 ................ 58 6 

426 ................ 58 6 

427 ................ 58 6 

428 ................ 58 6 

429 ................ 58 6 

430 ................ 58 6 

431 ................ 58 6 

432 ................ 58 6 

433 ................ 58 6 

434 ................ 58 6 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

435 ................ 58 6 

436 ................ 58 6 

437 ................ 58 6 

438 ................ 58 6 

439 ................ 58 6 

440 ................ 58 6 

441 ................ 58 6 

442 ................ 58 6 

443 ................ 93 66 

444 ................ 93 48 

445 ................ 93 40 

446 ................ 93 34 

447 ................ 93 28 

448 ................ 93 23 

449 ................ 93 28 

450 ................ 93 27 

451 ................ 93 23 

452 ................ 93 19 

453 ................ 93 25 

454 ................ 93 24 

455 ................ 93 22 

456 ................ 93 31 

457 ................ 93 36 

458 ................ 93 28 

459 ................ 93 25 

460 ................ 93 35 

461 ................ 93 34 

462 ................ 93 29 

463 ................ 93 37 

464 ................ 93 36 

465 ................ 93 38 

466 ................ 93 31 

467 ................ 93 29 

468 ................ 93 34 

469 ................ 93 36 

470 ................ 93 34 

471 ................ 93 31 

472 ................ 93 26 

473 ................ 93 21 

474 ................ 94 16 

475 ................ 96 19 

476 ................ 96 15 

477 ................ 95 11 

478 ................ 96 10 

479 ................ 95 8 

480 ................ 95 7 

481 ................ 95 7 

482 ................ 96 7 

483 ................ 96 6 

484 ................ 96 6 

485 ................ 95 6 

486 ................ 85 6 

487 ................ 56 74 

488 ................ 93 52 

489 ................ 93 42 

490 ................ 93 36 

491 ................ 93 35 

492 ................ 93 33 

493 ................ 93 38 

494 ................ 93 40 

495 ................ 93 29 

496 ................ 93 23 

497 ................ 93 23 

498 ................ 93 24 

499 ................ 93 24 

500 ................ 93 20 

501 ................ 93 19 

502 ................ 93 16 

503 ................ 93 21 

504 ................ 93 23 

505 ................ 93 24 

506 ................ 93 22 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

507 ................ 93 18 

508 ................ 93 21 

509 ................ 95 18 

510 ................ 95 20 

511 ................ 95 15 

512 ................ 96 11 

513 ................ 95 10 

514 ................ 96 8 

515 ................ 95 7 

516 ................ 95 7 

517 ................ 95 7 

518 ................ 95 6 

519 ................ 96 6 

520 ................ 96 6 

521 ................ 83 6 

522 ................ 56 6 

523 ................ 58 6 

524 ................ 72 54 

525 ................ 94 51 

526 ................ 93 42 

527 ................ 93 42 

528 ................ 93 31 

529 ................ 93 25 

530 ................ 93 21 

531 ................ 93 17 

532 ................ 93 15 

533 ................ 93 15 

534 ................ 93 16 

535 ................ 93 15 

536 ................ 93 14 

537 ................ 93 15 

538 ................ 93 16 

539 ................ 94 15 

540 ................ 93 45 

541 ................ 93 45 

542 ................ 93 41 

543 ................ 93 33 

544 ................ 93 26 

545 ................ 93 21 

546 ................ 93 20 

547 ................ 93 17 

548 ................ 93 16 

549 ................ 93 17 

550 ................ 93 16 

551 ................ 93 14 

552 ................ 93 16 

553 ................ 93 15 

554 ................ 93 14 

555 ................ 93 16 

556 ................ 93 15 

557 ................ 93 14 

558 ................ 93 13 

559 ................ 93 14 

560 ................ 93 14 

561 ................ 93 15 

562 ................ 93 17 

563 ................ 93 17 

564 ................ 93 22 

565 ................ 93 22 

566 ................ 93 19 

567 ................ 93 19 

568 ................ 93 20 

569 ................ 93 18 

570 ................ 93 20 

571 ................ 93 20 

572 ................ 93 42 

573 ................ 93 32 

574 ................ 93 25 

575 ................ 93 26 

576 ................ 93 23 

577 ................ 93 21 

578 ................ 93 23 

68372 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

579 ................ 93 19 

580 ................ 93 21 

581 ................ 93 20 

582 ................ 93 20 

583 ................ 93 20 

584 ................ 93 18 

585 ................ 93 18 

586 ................ 93 21 

587 ................ 93 19 

588 ................ 93 21 

589 ................ 93 19 

590 ................ 93 19 

591 ................ 93 18 

592 ................ 93 18 

593 ................ 93 17 

594 ................ 93 16 

595 ................ 93 16 

596 ................ 93 15 

597 ................ 93 16 

598 ................ 93 19 

599 ................ 93 52 

600 ................ 93 45 

601 ................ 95 39 

602 ................ 95 39 

603 ................ 95 39 

604 ................ 95 39 

605 ................ 94 30 

606 ................ 95 30 

607 ................ 95 29 

608 ................ 95 24 

609 ................ 94 30 

610 ................ 95 28 

611 ................ 94 25 

612 ................ 94 29 

613 ................ 95 32 

614 ................ 95 33 

615 ................ 95 44 

616 ................ 99 37 

617 ................ 98 27 

618 ................ 98 19 

619 ................ 98 13 

620 ................ 98 11 

621 ................ 98 9 

622 ................ 98 7 

623 ................ 98 7 

624 ................ 98 6 

625 ................ 98 6 

626 ................ 98 6 

627 ................ 98 5 

628 ................ 69 6 

629 ................ 49 5 

630 ................ 51 5 

631 ................ 51 5 

632 ................ 51 5 

633 ................ 51 6 

634 ................ 51 6 

635 ................ 51 6 

636 ................ 51 6 

637 ................ 51 5 

638 ................ 51 5 

639 ................ 51 5 

640 ................ 51 5 

641 ................ 51 6 

642 ................ 51 6 

643 ................ 51 6 

644 ................ 51 6 

645 ................ 51 5 

646 ................ 51 6 

647 ................ 51 5 

648 ................ 51 6 

649 ................ 51 5 

650 ................ 96 35 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

651 ................ 95 29 

652 ................ 95 26 

653 ................ 95 31 

654 ................ 95 34 

655 ................ 95 29 

656 ................ 95 29 

657 ................ 95 30 

658 ................ 95 24 

659 ................ 95 19 

660 ................ 95 23 

661 ................ 95 21 

662 ................ 95 22 

663 ................ 95 19 

664 ................ 95 18 

665 ................ 95 20 

666 ................ 94 60 

667 ................ 95 48 

668 ................ 95 39 

669 ................ 95 36 

670 ................ 95 27 

671 ................ 95 22 

672 ................ 95 19 

673 ................ 95 22 

674 ................ 95 19 

675 ................ 94 17 

676 ................ 95 27 

677 ................ 95 24 

678 ................ 98 19 

679 ................ 98 19 

680 ................ 98 14 

681 ................ 98 11 

682 ................ 98 9 

683 ................ 98 8 

684 ................ 98 7 

685 ................ 98 6 

686 ................ 98 6 

687 ................ 98 6 

688 ................ 98 6 

689 ................ 98 5 

690 ................ 81 5 

691 ................ 49 5 

692 ................ 78 48 

693 ................ 95 37 

694 ................ 95 31 

695 ................ 94 32 

696 ................ 94 34 

697 ................ 95 29 

698 ................ 95 25 

699 ................ 94 26 

700 ................ 95 28 

701 ................ 95 27 

702 ................ 94 28 

703 ................ 95 30 

704 ................ 95 27 

705 ................ 95 26 

706 ................ 95 27 

707 ................ 95 25 

708 ................ 95 26 

709 ................ 95 25 

710 ................ 95 23 

711 ................ 95 20 

712 ................ 95 23 

713 ................ 95 20 

714 ................ 95 18 

715 ................ 94 22 

716 ................ 95 19 

717 ................ 95 23 

718 ................ 95 27 

719 ................ 95 26 

720 ................ 95 23 

721 ................ 95 20 

722 ................ 99 23 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

723 ................ 98 20 

724 ................ 98 14 

725 ................ 98 11 

726 ................ 98 9 

727 ................ 98 8 

728 ................ 98 7 

729 ................ 98 6 

730 ................ 98 6 

731 ................ 98 6 

732 ................ 98 5 

733 ................ 98 5 

734 ................ 73 6 

735 ................ 49 5 

736 ................ 50 77 

737 ................ 95 39 

738 ................ 95 30 

739 ................ 95 28 

740 ................ 94 31 

741 ................ 95 36 

742 ................ 95 36 

743 ................ 95 30 

744 ................ 95 26 

745 ................ 95 27 

746 ................ 95 22 

747 ................ 95 18 

748 ................ 95 19 

749 ................ 95 25 

750 ................ 94 25 

751 ................ 95 21 

752 ................ 95 22 

753 ................ 95 27 

754 ................ 95 27 

755 ................ 95 27 

756 ................ 95 24 

757 ................ 94 20 

758 ................ 94 23 

759 ................ 94 26 

760 ................ 95 25 

761 ................ 95 25 

762 ................ 95 21 

763 ................ 95 28 

764 ................ 94 39 

765 ................ 95 32 

766 ................ 95 24 

767 ................ 95 19 

768 ................ 98 20 

769 ................ 98 17 

770 ................ 98 12 

771 ................ 98 10 

772 ................ 98 8 

773 ................ 98 7 

774 ................ 98 6 

775 ................ 98 6 

776 ................ 95 61 

777 ................ 94 51 

778 ................ 95 40 

779 ................ 94 35 

780 ................ 94 36 

781 ................ 94 32 

782 ................ 95 24 

783 ................ 94 19 

784 ................ 94 19 

785 ................ 95 19 

786 ................ 95 19 

787 ................ 94 18 

788 ................ 94 20 

789 ................ 94 23 

790 ................ 94 22 

791 ................ 95 23 

792 ................ 94 20 

793 ................ 94 18 

794 ................ 95 16 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68373

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

795 ................ 95 17 

796 ................ 94 16 

797 ................ 94 16 

798 ................ 94 17 

799 ................ 94 18 

800 ................ 94 21 

801 ................ 95 21 

802 ................ 94 19 

803 ................ 95 18 

804 ................ 94 19 

805 ................ 95 22 

806 ................ 95 21 

807 ................ 95 19 

808 ................ 94 20 

809 ................ 94 22 

810 ................ 94 22 

811 ................ 94 22 

812 ................ 95 23 

813 ................ 94 22 

814 ................ 95 22 

815 ................ 95 19 

816 ................ 95 16 

817 ................ 95 14 

818 ................ 95 18 

819 ................ 95 18 

820 ................ 94 20 

821 ................ 94 22 

822 ................ 94 19 

823 ................ 95 18 

824 ................ 95 17 

825 ................ 95 19 

826 ................ 95 19 

827 ................ 95 19 

828 ................ 94 19 

829 ................ 94 21 

830 ................ 94 19 

831 ................ 94 17 

832 ................ 94 18 

833 ................ 94 21 

834 ................ 94 19 

835 ................ 95 18 

836 ................ 95 19 

837 ................ 95 17 

838 ................ 94 15 

839 ................ 94 17 

840 ................ 95 19 

841 ................ 94 22 

842 ................ 94 21 

843 ................ 94 18 

844 ................ 94 16 

845 ................ 95 14 

846 ................ 95 14 

847 ................ 94 19 

848 ................ 95 20 

849 ................ 95 23 

850 ................ 98 23 

851 ................ 98 22 

852 ................ 98 16 

853 ................ 98 12 

854 ................ 98 9 

855 ................ 98 8 

856 ................ 98 7 

857 ................ 98 6 

858 ................ 98 6 

859 ................ 98 6 

860 ................ 98 5 

861 ................ 98 5 

862 ................ 80 5 

863 ................ 49 5 

864 ................ 51 5 

865 ................ 51 5 

866 ................ 51 6 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

867 ................ 51 6 

868 ................ 51 6 

869 ................ 51 6 

870 ................ 51 5 

871 ................ 51 6 

872 ................ 51 7 

873 ................ 96 45 

874 ................ 94 44 

875 ................ 94 34 

876 ................ 94 41 

877 ................ 95 44 

878 ................ 94 32 

879 ................ 95 26 

880 ................ 94 20 

881 ................ 95 29 

882 ................ 95 27 

883 ................ 95 21 

884 ................ 95 34 

885 ................ 95 31 

886 ................ 94 26 

887 ................ 95 22 

888 ................ 95 23 

889 ................ 95 19 

890 ................ 94 18 

891 ................ 94 20 

892 ................ 94 26 

893 ................ 95 29 

894 ................ 94 32 

895 ................ 95 26 

896 ................ 95 34 

897 ................ 95 30 

898 ................ 95 24 

899 ................ 95 19 

900 ................ 94 17 

901 ................ 94 16 

902 ................ 98 19 

903 ................ 98 17 

904 ................ 98 12 

905 ................ 98 10 

906 ................ 98 8 

907 ................ 98 7 

908 ................ 98 6 

909 ................ 98 6 

910 ................ 98 6 

911 ................ 98 5 

912 ................ 98 5 

913 ................ 98 5 

914 ................ 69 5 

915 ................ 49 5 

916 ................ 51 5 

917 ................ 51 6 

918 ................ 51 6 

919 ................ 69 75 

920 ................ 95 70 

921 ................ 95 57 

922 ................ 94 49 

923 ................ 94 38 

924 ................ 95 43 

925 ................ 94 51 

926 ................ 94 41 

927 ................ 98 42 

928 ................ 95 89 

929 ................ 95 66 

930 ................ 94 52 

931 ................ 95 41 

932 ................ 95 34 

933 ................ 95 34 

934 ................ 94 30 

935 ................ 94 30 

936 ................ 95 29 

937 ................ 94 28 

938 ................ 95 24 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

939 ................ 94 34 

940 ................ 95 26 

941 ................ 94 36 

942 ................ 95 27 

943 ................ 95 25 

944 ................ 95 26 

945 ................ 94 21 

946 ................ 94 19 

947 ................ 98 21 

948 ................ 93 53 

949 ................ 94 45 

950 ................ 94 35 

951 ................ 95 28 

952 ................ 95 23 

953 ................ 95 20 

954 ................ 95 17 

955 ................ 94 19 

956 ................ 94 18 

957 ................ 94 18 

958 ................ 94 18 

959 ................ 94 19 

960 ................ 97 17 

961 ................ 98 19 

962 ................ 98 14 

963 ................ 98 11 

964 ................ 98 9 

965 ................ 98 7 

966 ................ 98 7 

967 ................ 98 6 

968 ................ 98 6 

969 ................ 98 6 

970 ................ 98 5 

971 ................ 98 5 

972 ................ 82 5 

973 ................ 49 5 

974 ................ 51 6 

975 ................ 51 6 

976 ................ 51 6 

977 ................ 51 5 

978 ................ 51 6 

979 ................ 72 58 

980 ................ 94 36 

981 ................ 95 28 

982 ................ 95 24 

983 ................ 95 25 

984 ................ 95 26 

985 ................ 94 30 

986 ................ 94 26 

987 ................ 95 34 

988 ................ 95 57 

989 ................ 95 45 

990 ................ 94 37 

991 ................ 95 34 

992 ................ 95 27 

993 ................ 95 27 

994 ................ 95 29 

995 ................ 98 22 

996 ................ 94 84 

997 ................ 94 74 

998 ................ 95 62 

999 ................ 94 51 

1000 .............. 95 50 

1001 .............. 95 81 

1002 .............. 94 65 

1003 .............. 95 49 

1004 .............. 94 56 

1005 .............. 95 65 

1006 .............. 94 59 

1007 .............. 99 58 

1008 .............. 98 41 

1009 .............. 98 27 

1010 .............. 98 19 

68374 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

1011 .............. 98 13 

1012 .............. 98 11 

1013 .............. 98 9 

1014 .............. 98 8 

1015 .............. 98 7 

1016 .............. 98 6 

1017 .............. 98 6 

1018 .............. 98 6 

1019 .............. 71 6 

1020 .............. 49 5 

1021 .............. 51 6 

1022 .............. 51 6 

1023 .............. 51 6 

1024 .............. 51 6 

1025 .............. 51 6 

1026 .............. 51 6 

1027 .............. 51 6 

1028 .............. 51 6 

1029 .............. 51 6 

1030 .............. 51 6 

1031 .............. 51 5 

1032 .............. 51 6 

1033 .............. 51 5 

1034 .............. 51 6 

1035 .............. 51 6 

1036 .............. 51 6 

1037 .............. 51 5 

1038 .............. 51 5 

1039 .............. 51 6 

1040 .............. 51 6 

1041 .............. 69 59 

1042 .............. 94 48 

1043 .............. 95 34 

1044 .............. 95 29 

1045 .............. 95 26 

1046 .............. 94 27 

1047 .............. 95 31 

1048 .............. 95 26 

1049 .............. 95 34 

1050 .............. 95 29 

1051 .............. 95 31 

1052 .............. 95 29 

1053 .............. 95 35 

1054 .............. 95 38 

1055 .............. 94 41 

1056 .............. 95 28 

1057 .............. 95 36 

1058 .............. 94 30 

1059 .............. 94 26 

1060 .............. 94 33 

1061 .............. 95 34 

1062 .............. 95 27 

1063 .............. 98 26 

1064 .............. 98 19 

1065 .............. 98 13 

1066 .............. 98 11 

1067 .............. 98 9 

1068 .............. 98 7 

1069 .............. 98 7 

1070 .............. 98 6 

1071 .............. 98 6 

1072 .............. 98 6 

1073 .............. 98 5 

1074 .............. 89 6 

1075 .............. 49 5 

1076 .............. 51 6 

1077 .............. 51 6 

1078 .............. 51 6 

1079 .............. 51 6 

1080 .............. 51 6 

1081 .............. 51 6 

1082 .............. 51 6 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

1083 .............. 50 6 

1084 .............. 51 6 

1085 .............. 51 6 

1086 .............. 51 6 

1087 .............. 51 6 

1088 .............. 51 6 

1089 .............. 51 6 

1090 .............. 51 6 

1091 .............. 56 74 

1092 .............. 95 56 

1093 .............. 94 49 

1094 .............. 95 47 

1095 .............. 94 43 

1096 .............. 94 33 

1097 .............. 95 50 

1098 .............. 94 40 

1099 .............. 95 33 

1100 .............. 95 24 

1101 .............. 94 22 

1102 .............. 94 22 

1103 .............. 94 25 

1104 .............. 95 27 

1105 .............. 95 32 

1106 .............. 94 29 

1107 .............. 94 26 

1108 .............. 94 26 

1109 .............. 94 24 

1110 .............. 98 52 

1111 .............. 94 41 

1112 .............. 99 35 

1113 .............. 95 58 

1114 .............. 95 58 

1115 .............. 98 57 

1116 .............. 98 38 

1117 .............. 98 26 

1118 .............. 93 63 

1119 .............. 94 59 

1120 .............. 98 100 

1121 .............. 94 73 

1122 .............. 98 53 

1123 .............. 94 76 

1124 .............. 95 61 

1125 .............. 94 49 

1126 .............. 94 37 

1127 .............. 97 50 

1128 .............. 98 36 

1129 .............. 98 25 

1130 .............. 98 18 

1131 .............. 98 12 

1132 .............. 98 10 

1133 .............. 98 8 

1134 .............. 98 7 

1135 .............. 98 7 

1136 .............. 98 6 

1137 .............. 98 6 

1138 .............. 98 6 

1139 .............. 80 6 

1140 .............. 49 6 

1141 .............. 78 61 

1142 .............. 95 50 

1143 .............. 94 43 

1144 .............. 94 42 

1145 .............. 94 31 

1146 .............. 95 30 

1147 .............. 95 34 

1148 .............. 95 28 

1149 .............. 95 27 

1150 .............. 94 27 

1151 .............. 95 31 

1152 .............. 95 42 

1153 .............. 94 41 

1154 .............. 95 37 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

1155 .............. 95 43 

1156 .............. 95 34 

1157 .............. 95 31 

1158 .............. 95 27 

1159 .............. 95 23 

1160 .............. 95 27 

1161 .............. 96 38 

1162 .............. 95 40 

1163 .............. 95 39 

1164 .............. 95 26 

1165 .............. 95 33 

1166 .............. 94 28 

1167 .............. 94 34 

1168 .............. 98 73 

1169 .............. 95 49 

1170 .............. 95 51 

1171 .............. 94 55 

1172 .............. 95 48 

1173 .............. 95 35 

1174 .............. 95 39 

1175 .............. 95 39 

1176 .............. 94 41 

1177 .............. 95 30 

1178 .............. 95 23 

1179 .............. 94 19 

1180 .............. 95 25 

1181 .............. 94 29 

1182 .............. 98 27 

1183 .............. 95 89 

1184 .............. 95 74 

1185 .............. 94 60 

1186 .............. 94 48 

1187 .............. 94 41 

1188 .............. 94 29 

1189 .............. 94 24 

1190 .............. 95 19 

1191 .............. 94 21 

1192 .............. 95 29 

1193 .............. 95 28 

1194 .............. 95 27 

1195 .............. 94 23 

1196 .............. 95 25 

1197 .............. 95 26 

1198 .............. 94 22 

1199 .............. 95 19 

1200 .............. 94 17 

Appendix II to Part 1048—Large Sparkignition (SI) Composite Transient Cycle 

The following table shows the 

transient duty-cycle for engines that are 

not constant-speed engines, as described 

in § 1048.510:

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

0 .................... 0 0 

1 .................... 0 0 

2 .................... 0 0 

3 .................... 0 0 

4 .................... 0 0 

5 .................... 0 0 

6 .................... 0 0 

7 .................... 0 0 

8 .................... 0 0 

9 .................... 1 8 

10 .................. 6 54 

11 .................. 8 61 

12 .................. 34 59 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68375

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

13 .................. 22 46 

14 .................. 5 51 

15 .................. 18 51 

16 .................. 31 50 

17 .................. 30 56 

18 .................. 31 49 

19 .................. 25 66 

20 .................. 58 55 

21 .................. 43 31 

22 .................. 16 45 

23 .................. 24 38 

24 .................. 24 27 

25 .................. 30 33 

26 .................. 45 65 

27 .................. 50 49 

28 .................. 23 42 

29 .................. 13 42 

30 .................. 9 45 

31 .................. 23 30 

32 .................. 37 45 

33 .................. 44 50 

34 .................. 49 52 

35 .................. 55 49 

36 .................. 61 46 

37 .................. 66 38 

38 .................. 42 33 

39 .................. 17 41 

40 .................. 17 37 

41 .................. 7 50 

42 .................. 20 32 

43 .................. 5 55 

44 .................. 30 42 

45 .................. 44 53 

46 .................. 45 56 

47 .................. 41 52 

48 .................. 24 41 

49 .................. 15 40 

50 .................. 11 44 

51 .................. 32 31 

52 .................. 38 54 

53 .................. 38 47 

54 .................. 9 55 

55 .................. 10 50 

56 .................. 33 55 

57 .................. 48 56 

58 .................. 49 47 

59 .................. 33 44 

60 .................. 52 43 

61 .................. 55 43 

62 .................. 59 38 

63 .................. 44 28 

64 .................. 24 37 

65 .................. 12 44 

66 .................. 9 47 

67 .................. 12 52 

68 .................. 34 21 

69 .................. 29 44 

70 .................. 44 54 

71 .................. 54 62 

72 .................. 62 57 

73 .................. 72 56 

74 .................. 88 71 

75 .................. 100 69 

76 .................. 100 34 

77 .................. 100 42 

78 .................. 100 54 

79 .................. 100 58 

80 .................. 100 38 

81 .................. 83 17 

82 .................. 61 15 

83 .................. 43 22 

84 .................. 24 35 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

85 .................. 16 39 

86 .................. 15 45 

87 .................. 32 34 

88 .................. 14 42 

89 .................. 8 48 

90 .................. 5 51 

91 .................. 10 41 

92 .................. 12 37 

93 .................. 4 47 

94 .................. 3 49 

95 .................. 3 50 

96 .................. 4 49 

97 .................. 4 48 

98 .................. 8 43 

99 .................. 2 51 

100 ................ 5 46 

101 ................ 8 41 

102 ................ 4 47 

103 ................ 3 49 

104 ................ 6 45 

105 ................ 3 48 

106 ................ 10 42 

107 ................ 18 27 

108 ................ 3 50 

109 ................ 11 41 

110 ................ 34 29 

111 ................ 51 57 

112 ................ 67 63 

113 ................ 61 32 

114 ................ 44 31 

115 ................ 48 54 

116 ................ 69 65 

117 ................ 85 65 

118 ................ 81 29 

119 ................ 74 21 

120 ................ 62 23 

121 ................ 76 58 

122 ................ 96 75 

123 ................ 100 77 

124 ................ 100 27 

125 ................ 100 79 

126 ................ 100 79 

127 ................ 100 81 

128 ................ 100 57 

129 ................ 99 52 

130 ................ 81 35 

131 ................ 69 29 

132 ................ 47 22 

133 ................ 34 28 

134 ................ 27 37 

135 ................ 83 60 

136 ................ 100 74 

137 ................ 100 7 

138 ................ 100 2 

139 ................ 70 18 

140 ................ 23 39 

141 ................ 5 54 

142 ................ 11 40 

143 ................ 11 34 

144 ................ 11 41 

145 ................ 19 25 

146 ................ 16 32 

147 ................ 20 31 

148 ................ 21 38 

149 ................ 21 42 

150 ................ 9 51 

151 ................ 4 49 

152 ................ 2 51 

153 ................ 1 58 

154 ................ 21 57 

155 ................ 29 47 

156 ................ 33 45 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

157 ................ 16 49 

158 ................ 38 45 

159 ................ 37 43 

160 ................ 35 42 

161 ................ 39 43 

162 ................ 51 49 

163 ................ 59 55 

164 ................ 65 54 

165 ................ 76 62 

166 ................ 84 59 

167 ................ 83 29 

168 ................ 67 35 

169 ................ 84 54 

170 ................ 90 58 

171 ................ 93 43 

172 ................ 90 29 

173 ................ 66 19 

174 ................ 52 16 

175 ................ 49 17 

176 ................ 56 38 

177 ................ 73 71 

178 ................ 86 80 

179 ................ 96 75 

180 ................ 89 27 

181 ................ 66 17 

182 ................ 50 18 

183 ................ 36 25 

184 ................ 36 24 

185 ................ 38 40 

186 ................ 40 50 

187 ................ 27 48 

188 ................ 19 48 

189 ................ 23 50 

190 ................ 19 45 

191 ................ 6 51 

192 ................ 24 48 

193 ................ 49 67 

194 ................ 47 49 

195 ................ 22 44 

196 ................ 25 40 

197 ................ 38 54 

198 ................ 43 55 

199 ................ 40 52 

200 ................ 14 49 

201 ................ 11 45 

202 ................ 7 48 

203 ................ 26 41 

204 ................ 41 59 

205 ................ 53 60 

206 ................ 44 54 

207 ................ 22 40 

208 ................ 24 41 

209 ................ 32 53 

210 ................ 44 74 

211 ................ 57 25 

212 ................ 22 49 

213 ................ 29 45 

214 ................ 19 37 

215 ................ 14 43 

216 ................ 36 40 

217 ................ 43 63 

218 ................ 42 49 

219 ................ 15 50 

220 ................ 19 44 

221 ................ 47 59 

222 ................ 67 80 

223 ................ 76 74 

224 ................ 87 66 

225 ................ 98 61 

226 ................ 100 38 

227 ................ 97 27 

228 ................ 100 53 

68376 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

229 ................ 100 72 

230 ................ 100 49 

231 ................ 100 4 

232 ................ 100 13 

233 ................ 87 15 

234 ................ 53 26 

235 ................ 33 27 

236 ................ 39 19 

237 ................ 51 33 

238 ................ 67 54 

239 ................ 83 60 

240 ................ 95 52 

241 ................ 100 50 

242 ................ 100 36 

243 ................ 100 25 

244 ................ 85 16 

245 ................ 62 16 

246 ................ 40 26 

247 ................ 56 39 

248 ................ 81 75 

249 ................ 98 86 

250 ................ 100 76 

251 ................ 100 51 

252 ................ 100 78 

253 ................ 100 83 

254 ................ 100 100 

255 ................ 100 66 

256 ................ 100 85 

257 ................ 100 72 

258 ................ 100 45 

259 ................ 98 58 

260 ................ 60 30 

261 ................ 43 32 

262 ................ 71 36 

263 ................ 44 32 

264 ................ 24 38 

265 ................ 42 17 

266 ................ 22 51 

267 ................ 13 53 

268 ................ 23 45 

269 ................ 29 50 

270 ................ 28 42 

271 ................ 21 55 

272 ................ 34 57 

273 ................ 44 47 

274 ................ 19 46 

275 ................ 13 44 

276 ................ 25 36 

277 ................ 43 51 

278 ................ 55 73 

279 ................ 68 72 

280 ................ 76 63 

281 ................ 80 45 

282 ................ 83 40 

283 ................ 78 26 

284 ................ 60 20 

285 ................ 47 19 

286 ................ 52 25 

287 ................ 36 30 

288 ................ 40 26 

289 ................ 45 34 

290 ................ 47 35 

291 ................ 42 28 

292 ................ 46 38 

293 ................ 48 44 

294 ................ 68 61 

295 ................ 70 47 

296 ................ 48 28 

297 ................ 42 22 

298 ................ 31 29 

299 ................ 22 35 

300 ................ 28 28 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

301 ................ 46 46 

302 ................ 62 69 

303 ................ 76 81 

304 ................ 88 85 

305 ................ 98 81 

306 ................ 100 74 

307 ................ 100 13 

308 ................ 100 11 

309 ................ 100 17 

310 ................ 99 3 

311 ................ 80 7 

312 ................ 62 11 

313 ................ 63 11 

314 ................ 64 16 

315 ................ 69 43 

316 ................ 81 67 

317 ................ 93 74 

318 ................ 100 72 

319 ................ 94 27 

320 ................ 73 15 

321 ................ 40 33 

322 ................ 40 52 

323 ................ 50 50 

324 ................ 11 53 

325 ................ 12 45 

326 ................ 5 50 

327 ................ 1 55 

328 ................ 7 55 

329 ................ 62 60 

330 ................ 80 28 

331 ................ 23 37 

332 ................ 39 58 

333 ................ 47 24 

334 ................ 59 51 

335 ................ 58 68 

336 ................ 36 52 

337 ................ 18 42 

338 ................ 36 52 

339 ................ 59 73 

340 ................ 72 85 

341 ................ 85 92 

342 ................ 99 90 

343 ................ 100 72 

344 ................ 100 18 

345 ................ 100 76 

346 ................ 100 64 

347 ................ 100 87 

348 ................ 100 97 

349 ................ 100 84 

350 ................ 100 100 

351 ................ 100 91 

352 ................ 100 83 

353 ................ 100 93 

354 ................ 100 100 

355 ................ 94 43 

356 ................ 72 10 

357 ................ 77 3 

358 ................ 48 2 

359 ................ 29 5 

360 ................ 59 19 

361 ................ 63 5 

362 ................ 35 2 

363 ................ 24 3 

364 ................ 28 2 

365 ................ 36 16 

366 ................ 54 23 

367 ................ 60 10 

368 ................ 33 1 

369 ................ 23 0 

370 ................ 16 0 

371 ................ 11 0 

372 ................ 20 0 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

373 ................ 25 2 

374 ................ 40 3 

375 ................ 33 4 

376 ................ 34 5 

377 ................ 46 7 

378 ................ 57 10 

379 ................ 66 11 

380 ................ 75 14 

381 ................ 79 11 

382 ................ 80 16 

383 ................ 92 21 

384 ................ 99 16 

385 ................ 83 2 

386 ................ 71 2 

387 ................ 69 4 

388 ................ 67 4 

389 ................ 74 16 

390 ................ 86 25 

391 ................ 97 28 

392 ................ 100 15 

393 ................ 83 2 

394 ................ 62 4 

395 ................ 40 6 

396 ................ 49 10 

397 ................ 36 5 

398 ................ 27 4 

399 ................ 29 3 

400 ................ 22 2 

401 ................ 13 3 

402 ................ 37 36 

403 ................ 90 26 

404 ................ 41 2 

405 ................ 25 2 

406 ................ 29 2 

407 ................ 38 7 

408 ................ 50 13 

409 ................ 55 10 

410 ................ 29 3 

411 ................ 24 7 

412 ................ 51 16 

413 ................ 62 15 

414 ................ 72 35 

415 ................ 91 74 

416 ................ 100 73 

417 ................ 100 8 

418 ................ 98 11 

419 ................ 100 59 

420 ................ 100 98 

421 ................ 100 99 

422 ................ 100 75 

423 ................ 100 95 

424 ................ 100 100 

425 ................ 100 97 

426 ................ 100 90 

427 ................ 100 86 

428 ................ 100 82 

429 ................ 97 43 

430 ................ 70 16 

431 ................ 50 20 

432 ................ 42 33 

433 ................ 89 64 

434 ................ 89 77 

435 ................ 99 95 

436 ................ 100 41 

437 ................ 77 12 

438 ................ 29 37 

439 ................ 16 41 

440 ................ 16 38 

441 ................ 15 36 

442 ................ 18 44 

443 ................ 4 55 

444 ................ 24 26 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68377

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

445 ................ 26 35 

446 ................ 15 45 

447 ................ 21 39 

448 ................ 29 52 

449 ................ 26 46 

450 ................ 27 50 

451 ................ 13 43 

452 ................ 25 36 

453 ................ 37 57 

454 ................ 29 46 

455 ................ 17 39 

456 ................ 13 41 

457 ................ 19 38 

458 ................ 28 35 

459 ................ 8 51 

460 ................ 14 36 

461 ................ 17 47 

462 ................ 34 39 

463 ................ 34 57 

464 ................ 11 70 

465 ................ 13 51 

466 ................ 13 68 

467 ................ 38 44 

468 ................ 53 67 

469 ................ 29 69 

470 ................ 19 65 

471 ................ 52 45 

472 ................ 61 79 

473 ................ 29 70 

474 ................ 15 53 

475 ................ 15 60 

476 ................ 52 40 

477 ................ 50 61 

478 ................ 13 74 

479 ................ 46 51 

480 ................ 60 73 

481 ................ 33 84 

482 ................ 31 63 

483 ................ 41 42 

484 ................ 26 69 

485 ................ 23 65 

486 ................ 48 49 

487 ................ 28 57 

488 ................ 16 67 

489 ................ 39 48 

490 ................ 47 73 

491 ................ 35 87 

492 ................ 26 73 

493 ................ 30 61 

494 ................ 34 49 

495 ................ 35 66 

496 ................ 56 47 

497 ................ 49 64 

498 ................ 59 64 

499 ................ 42 69 

500 ................ 6 77 

501 ................ 5 59 

502 ................ 17 59 

503 ................ 45 53 

504 ................ 21 62 

505 ................ 31 60 

506 ................ 53 68 

507 ................ 48 79 

508 ................ 45 61 

509 ................ 51 47 

510 ................ 41 48 

511 ................ 26 58 

512 ................ 21 62 

513 ................ 50 52 

514 ................ 39 65 

515 ................ 23 65 

516 ................ 42 62 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

517 ................ 57 80 

518 ................ 66 81 

519 ................ 64 62 

520 ................ 45 42 

521 ................ 33 42 

522 ................ 27 57 

523 ................ 31 59 

524 ................ 41 53 

525 ................ 45 72 

526 ................ 48 73 

527 ................ 46 90 

528 ................ 56 76 

529 ................ 64 76 

530 ................ 69 64 

531 ................ 72 59 

532 ................ 73 58 

533 ................ 71 56 

534 ................ 66 48 

535 ................ 61 50 

536 ................ 55 56 

537 ................ 52 52 

538 ................ 54 49 

539 ................ 61 50 

540 ................ 64 54 

541 ................ 67 54 

542 ................ 68 52 

543 ................ 60 53 

544 ................ 52 50 

545 ................ 45 49 

546 ................ 38 45 

547 ................ 32 45 

548 ................ 26 53 

549 ................ 23 56 

550 ................ 30 49 

551 ................ 33 55 

552 ................ 35 59 

553 ................ 33 65 

554 ................ 30 67 

555 ................ 28 59 

556 ................ 25 58 

557 ................ 23 56 

558 ................ 22 57 

559 ................ 19 63 

560 ................ 14 63 

561 ................ 31 61 

562 ................ 35 62 

563 ................ 21 80 

564 ................ 28 65 

565 ................ 7 74 

566 ................ 23 54 

567 ................ 38 54 

568 ................ 14 78 

569 ................ 38 58 

570 ................ 52 75 

571 ................ 59 81 

572 ................ 66 69 

573 ................ 54 44 

574 ................ 48 34 

575 ................ 44 33 

576 ................ 40 40 

577 ................ 28 58 

578 ................ 27 63 

579 ................ 35 45 

580 ................ 20 66 

581 ................ 15 60 

582 ................ 10 52 

583 ................ 22 56 

584 ................ 30 62 

585 ................ 21 67 

586 ................ 29 53 

587 ................ 41 56 

588 ................ 15 67 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

589 ................ 24 56 

590 ................ 42 69 

591 ................ 39 83 

592 ................ 40 73 

593 ................ 35 67 

594 ................ 32 61 

595 ................ 30 65 

596 ................ 30 72 

597 ................ 48 51 

598 ................ 66 58 

599 ................ 62 71 

600 ................ 36 63 

601 ................ 17 59 

602 ................ 16 50 

603 ................ 16 62 

604 ................ 34 48 

605 ................ 51 66 

606 ................ 35 74 

607 ................ 15 56 

608 ................ 19 54 

609 ................ 43 65 

610 ................ 52 80 

611 ................ 52 83 

612 ................ 49 57 

613 ................ 48 46 

614 ................ 37 36 

615 ................ 25 44 

616 ................ 14 53 

617 ................ 13 64 

618 ................ 23 56 

619 ................ 21 63 

620 ................ 18 67 

621 ................ 20 54 

622 ................ 16 67 

623 ................ 26 56 

624 ................ 41 65 

625 ................ 28 62 

626 ................ 19 60 

627 ................ 33 56 

628 ................ 37 70 

629 ................ 24 79 

630 ................ 28 57 

631 ................ 40 57 

632 ................ 40 58 

633 ................ 28 44 

634 ................ 25 41 

635 ................ 29 53 

636 ................ 31 55 

637 ................ 26 64 

638 ................ 20 50 

639 ................ 16 53 

640 ................ 11 54 

641 ................ 13 53 

642 ................ 23 50 

643 ................ 32 59 

644 ................ 36 63 

645 ................ 33 59 

646 ................ 24 52 

647 ................ 20 52 

648 ................ 22 55 

649 ................ 30 53 

650 ................ 37 59 

651 ................ 41 58 

652 ................ 36 54 

653 ................ 29 49 

654 ................ 24 53 

655 ................ 14 57 

656 ................ 10 54 

657 ................ 9 55 

658 ................ 10 57 

659 ................ 13 55 

660 ................ 15 64 

68378 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

661 ................ 31 57 

662 ................ 19 69 

663 ................ 14 59 

664 ................ 33 57 

665 ................ 41 65 

666 ................ 39 64 

667 ................ 39 59 

668 ................ 39 51 

669 ................ 28 41 

670 ................ 19 49 

671 ................ 27 54 

672 ................ 37 63 

673 ................ 32 74 

674 ................ 16 70 

675 ................ 12 67 

676 ................ 13 60 

677 ................ 17 56 

678 ................ 15 62 

679 ................ 25 47 

680 ................ 27 64 

681 ................ 14 71 

682 ................ 5 65 

683 ................ 6 57 

684 ................ 6 57 

685 ................ 15 52 

686 ................ 22 61 

687 ................ 14 77 

688 ................ 12 67 

689 ................ 12 62 

690 ................ 14 59 

691 ................ 15 58 

692 ................ 18 55 

693 ................ 22 53 

694 ................ 19 69 

695 ................ 14 67 

696 ................ 9 63 

697 ................ 8 56 

698 ................ 17 49 

699 ................ 25 55 

700 ................ 14 70 

701 ................ 12 60 

702 ................ 22 57 

703 ................ 27 67 

704 ................ 29 68 

705 ................ 34 62 

706 ................ 35 61 

707 ................ 28 78 

708 ................ 11 71 

709 ................ 4 58 

710 ................ 5 58 

711 ................ 10 56 

712 ................ 20 63 

713 ................ 13 76 

714 ................ 11 65 

715 ................ 9 60 

716 ................ 7 55 

717 ................ 8 53 

718 ................ 10 60 

719 ................ 28 53 

720 ................ 12 73 

721 ................ 4 64 

722 ................ 4 61 

723 ................ 4 61 

724 ................ 10 56 

725 ................ 8 61 

726 ................ 20 56 

727 ................ 32 62 

728 ................ 33 66 

729 ................ 34 73 

730 ................ 31 61 

731 ................ 33 55 

732 ................ 33 60 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

733 ................ 31 59 

734 ................ 29 58 

735 ................ 31 53 

736 ................ 33 51 

737 ................ 33 48 

738 ................ 27 44 

739 ................ 21 52 

740 ................ 13 57 

741 ................ 12 56 

742 ................ 10 64 

743 ................ 22 47 

744 ................ 15 74 

745 ................ 8 66 

746 ................ 34 47 

747 ................ 18 71 

748 ................ 9 57 

749 ................ 11 55 

750 ................ 12 57 

751 ................ 10 61 

752 ................ 16 53 

753 ................ 12 75 

754 ................ 6 70 

755 ................ 12 55 

756 ................ 24 50 

757 ................ 28 60 

758 ................ 28 64 

759 ................ 23 60 

760 ................ 20 56 

761 ................ 26 50 

762 ................ 28 55 

763 ................ 18 56 

764 ................ 15 52 

765 ................ 11 59 

766 ................ 16 59 

767 ................ 34 54 

768 ................ 16 82 

769 ................ 15 64 

770 ................ 36 53 

771 ................ 45 64 

772 ................ 41 59 

773 ................ 34 50 

774 ................ 27 45 

775 ................ 22 52 

776 ................ 18 55 

777 ................ 26 54 

778 ................ 39 62 

779 ................ 37 71 

780 ................ 32 58 

781 ................ 24 48 

782 ................ 14 59 

783 ................ 7 59 

784 ................ 7 55 

785 ................ 18 49 

786 ................ 40 62 

787 ................ 44 73 

788 ................ 41 68 

789 ................ 35 48 

790 ................ 29 54 

791 ................ 22 69 

792 ................ 46 53 

793 ................ 59 71 

794 ................ 69 68 

795 ................ 75 47 

796 ................ 62 32 

797 ................ 48 35 

798 ................ 27 59 

799 ................ 13 58 

800 ................ 14 54 

801 ................ 21 53 

802 ................ 23 56 

803 ................ 23 57 

804 ................ 23 65 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

805 ................ 13 65 

806 ................ 9 64 

807 ................ 27 56 

808 ................ 26 78 

809 ................ 40 61 

810 ................ 35 76 

811 ................ 28 66 

812 ................ 23 57 

813 ................ 16 50 

814 ................ 11 53 

815 ................ 9 57 

816 ................ 9 62 

817 ................ 27 57 

818 ................ 42 69 

819 ................ 47 75 

820 ................ 53 67 

821 ................ 61 62 

822 ................ 63 53 

823 ................ 60 54 

824 ................ 56 44 

825 ................ 49 39 

826 ................ 39 35 

827 ................ 30 34 

828 ................ 33 46 

829 ................ 44 56 

830 ................ 50 56 

831 ................ 44 52 

832 ................ 38 46 

833 ................ 33 44 

834 ................ 29 45 

835 ................ 24 46 

836 ................ 18 52 

837 ................ 9 55 

838 ................ 10 54 

839 ................ 20 53 

840 ................ 27 58 

841 ................ 29 59 

842 ................ 30 62 

843 ................ 30 65 

844 ................ 27 66 

845 ................ 32 58 

846 ................ 40 56 

847 ................ 41 57 

848 ................ 18 73 

849 ................ 15 55 

850 ................ 18 50 

851 ................ 17 52 

852 ................ 20 49 

853 ................ 16 62 

854 ................ 4 67 

855 ................ 2 64 

856 ................ 7 54 

857 ................ 10 50 

858 ................ 9 57 

859 ................ 5 62 

860 ................ 12 51 

861 ................ 14 65 

862 ................ 9 64 

863 ................ 31 50 

864 ................ 30 78 

865 ................ 21 65 

866 ................ 14 51 

867 ................ 10 55 

868 ................ 6 59 

869 ................ 7 59 

870 ................ 19 54 

871 ................ 23 61 

872 ................ 24 62 

873 ................ 34 61 

874 ................ 51 67 

875 ................ 60 66 

876 ................ 58 55 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68379

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

877 ................ 60 52 

878 ................ 64 55 

879 ................ 68 51 

880 ................ 63 54 

881 ................ 64 50 

882 ................ 68 58 

883 ................ 73 47 

884 ................ 63 40 

885 ................ 50 38 

886 ................ 29 61 

887 ................ 14 61 

888 ................ 14 53 

889 ................ 42 6 

890 ................ 58 6 

891 ................ 58 6 

892 ................ 77 39 

893 ................ 93 56 

894 ................ 93 44 

895 ................ 93 37 

896 ................ 93 31 

897 ................ 93 25 

898 ................ 93 26 

899 ................ 93 27 

900 ................ 93 25 

901 ................ 93 21 

902 ................ 93 22 

903 ................ 93 24 

904 ................ 93 23 

905 ................ 93 27 

906 ................ 93 34 

907 ................ 93 32 

908 ................ 93 26 

909 ................ 93 31 

910 ................ 93 34 

911 ................ 93 31 

912 ................ 93 33 

913 ................ 93 36 

914 ................ 93 37 

915 ................ 93 34 

916 ................ 93 30 

917 ................ 93 32 

918 ................ 93 35 

919 ................ 93 35 

920 ................ 93 32 

921 ................ 93 28 

922 ................ 93 23 

923 ................ 94 18 

924 ................ 95 18 

925 ................ 96 17 

926 ................ 95 13 

927 ................ 96 10 

928 ................ 95 9 

929 ................ 95 7 

930 ................ 95 7 

931 ................ 96 7 

932 ................ 96 6 

933 ................ 96 6 

934 ................ 95 6 

935 ................ 90 6 

936 ................ 69 43 

937 ................ 76 62 

938 ................ 93 47 

939 ................ 93 39 

940 ................ 93 35 

941 ................ 93 34 

942 ................ 93 36 

943 ................ 93 39 

944 ................ 93 34 

945 ................ 93 26 

946 ................ 93 23 

947 ................ 93 24 

948 ................ 93 24 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

949 ................ 93 22 

950 ................ 93 19 

951 ................ 93 17 

952 ................ 93 19 

953 ................ 93 22 

954 ................ 93 24 

955 ................ 93 23 

956 ................ 93 20 

957 ................ 93 20 

958 ................ 94 19 

959 ................ 95 19 

960 ................ 95 17 

961 ................ 96 13 

962 ................ 95 10 

963 ................ 96 9 

964 ................ 95 7 

965 ................ 95 7 

966 ................ 95 7 

967 ................ 95 6 

968 ................ 96 6 

969 ................ 96 6 

970 ................ 89 6 

971 ................ 68 6 

972 ................ 57 6 

973 ................ 66 32 

974 ................ 84 52 

975 ................ 93 46 

976 ................ 93 42 

977 ................ 93 36 

978 ................ 93 28 

979 ................ 93 23 

980 ................ 93 19 

981 ................ 93 16 

982 ................ 93 15 

983 ................ 93 16 

984 ................ 93 15 

985 ................ 93 14 

986 ................ 93 15 

987 ................ 93 16 

988 ................ 94 15 

989 ................ 93 32 

990 ................ 93 45 

991 ................ 93 43 

992 ................ 93 37 

993 ................ 93 29 

994 ................ 93 23 

995 ................ 93 20 

996 ................ 93 18 

997 ................ 93 16 

998 ................ 93 17 

999 ................ 93 16 

1000 .............. 93 15 

1001 .............. 93 15 

1002 .............. 93 15 

1003 .............. 93 14 

1004 .............. 93 15 

1005 .............. 93 15 

1006 .............. 93 14 

1007 .............. 93 13 

1008 .............. 93 14 

1009 .............. 93 14 

1010 .............. 93 15 

1011 .............. 93 16 

1012 .............. 93 17 

1013 .............. 93 20 

1014 .............. 93 22 

1015 .............. 93 20 

1016 .............. 93 19 

1017 .............. 93 20 

1018 .............. 93 19 

1019 .............. 93 19 

1020 .............. 93 20 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

1021 .............. 93 32 

1022 .............. 93 37 

1023 .............. 93 28 

1024 .............. 93 26 

1025 .............. 93 24 

1026 .............. 93 22 

1027 .............. 93 22 

1028 .............. 93 21 

1029 .............. 93 20 

1030 .............. 93 20 

1031 .............. 93 20 

1032 .............. 93 20 

1033 .............. 93 19 

1034 .............. 93 18 

1035 .............. 93 20 

1036 .............. 93 20 

1037 .............. 93 20 

1038 .............. 93 20 

1039 .............. 93 19 

1040 .............. 93 18 

1041 .............. 93 18 

1042 .............. 93 17 

1043 .............. 93 16 

1044 .............. 93 16 

1045 .............. 93 15 

1046 .............. 93 16 

1047 .............. 93 18 

1048 .............. 93 37 

1049 .............. 93 48 

1050 .............. 93 38 

1051 .............. 93 31 

1052 .............. 93 26 

1053 .............. 93 21 

1054 .............. 93 18 

1055 .............. 93 16 

1056 .............. 93 17 

1057 .............. 93 18 

1058 .............. 93 19 

1059 .............. 93 21 

1060 .............. 93 20 

1061 .............. 93 18 

1062 .............. 93 17 

1063 .............. 93 17 

1064 .............. 93 18 

1065 .............. 93 18 

1066 .............. 93 18 

1067 .............. 93 19 

1068 .............. 93 18 

1069 .............. 93 18 

1070 .............. 93 20 

1071 .............. 93 23 

1072 .............. 93 25 

1073 .............. 93 25 

1074 .............. 93 24 

1075 .............. 93 24 

1076 .............. 93 22 

1077 .............. 93 22 

1078 .............. 93 22 

1079 .............. 93 19 

1080 .............. 93 16 

1081 .............. 95 17 

1082 .............. 95 37 

1083 .............. 93 43 

1084 .............. 93 32 

1085 .............. 93 27 

1086 .............. 93 26 

1087 .............. 93 24 

1088 .............. 93 22 

1089 .............. 93 22 

1090 .............. 93 22 

1091 .............. 93 23 

1092 .............. 93 22 

68380 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

1093 .............. 93 22 

1094 .............. 93 23 

1095 .............. 93 23 

1096 .............. 93 23 

1097 .............. 93 22 

1098 .............. 93 23 

1099 .............. 93 23 

1100 .............. 93 23 

1101 .............. 93 25 

1102 .............. 93 27 

1103 .............. 93 26 

1104 .............. 93 25 

1105 .............. 93 27 

1106 .............. 93 27 

1107 .............. 93 27 

1108 .............. 93 24 

1109 .............. 93 20 

1110 .............. 93 18 

1111 .............. 93 17 

1112 .............. 93 17 

1113 .............. 93 18 

1114 .............. 93 18 

1115 .............. 93 18 

1116 .............. 93 19 

1117 .............. 93 22 

1118 .............. 93 22 

1119 .............. 93 19 

1120 .............. 93 17 

1121 .............. 93 17 

1122 .............. 93 18 

1123 .............. 93 18 

1124 .............. 93 19 

1125 .............. 93 19 

1126 .............. 93 20 

1127 .............. 93 19 

1128 .............. 93 20 

1129 .............. 93 25 

1130 .............. 93 30 

1131 .............. 93 31 

1132 .............. 93 26 

1133 .............. 93 21 

1134 .............. 93 18 

1135 .............. 93 20 

1136 .............. 93 25 

1137 .............. 93 24 

1138 .............. 93 21 

1139 .............. 93 21 

1140 .............. 93 22 

1141 .............. 93 22 

1142 .............. 93 28 

1143 .............. 93 29 

1144 .............. 93 23 

1145 .............. 93 21 

1146 .............. 93 18 

1147 .............. 93 16 

1148 .............. 93 16 

1149 .............. 93 16 

1150 .............. 93 17 

1151 .............. 93 17 

1152 .............. 93 17 

1153 .............. 93 17 

1154 .............. 93 23 

1155 .............. 93 26 

1156 .............. 93 22 

1157 .............. 93 18 

1158 .............. 93 16 

1159 .............. 93 16 

1160 .............. 93 17 

1161 .............. 93 19 

1162 .............. 93 18 

1163 .............. 93 16 

1164 .............. 93 19 

Time(s) 

Normalized 

speed 

(percent) 

Normalized 

torque 

(percent) 

1165 .............. 93 22 

1166 .............. 93 25 

1167 .............. 93 29 

1168 .............. 93 27 

1169 .............. 93 22 

1170 .............. 93 18 

1171 .............. 93 16 

1172 .............. 93 19 

1173 .............. 93 19 

1174 .............. 93 17 

1175 .............. 93 17 

1176 .............. 93 17 

1177 .............. 93 16 

1178 .............. 93 16 

1179 .............. 93 15 

1180 .............. 93 16 

1181 .............. 93 15 

1182 .............. 93 17 

1183 .............. 93 21 

1184 .............. 93 30 

1185 .............. 93 53 

1186 .............. 93 54 

1187 .............. 93 38 

1188 .............. 93 30 

1189 .............. 93 24 

1190 .............. 93 20 

1191 .............. 95 20 

1192 .............. 96 18 

1193 .............. 96 15 

1194 .............. 96 11 

1195 .............. 95 9 

1196 .............. 95 8 

1197 .............. 96 7 

1198 .............. 94 33 

1199 .............. 93 46 

1200 .............. 93 37 

1201 .............. 16 8 

1202 .............. 0 0 

1203 .............. 0 0 

1204 .............. 0 0 

1205 .............. 0 0 

1206 .............. 0 0 

1207 .............. 0 0 

1208 .............. 0 0 

1209 .............. 0 0 

PART 1051—CONTROL OF EMISSIONS 

FROM RECREATIONAL ENGINES AND 

VEHICLES

Subpart A—Determining How To Follow 

This Part 

Sec. 

1051.1 Does this part apply to me? 

1051.5 Which engines are excluded or 

exempted from this part’s requirements? 

1051.10 What main steps must I take to 

comply with this part? 

1051.15 Do any other regulation parts affect 

me? 

1051.20 May I certify a recreational engine 

instead of the vehicle? 

1051.25 What requirements apply when 

installing certified engines in 

recreational vehicles?

Subpart B—Emission Standards and 

Related Requirements 

1051.101 What emission standards and 

other requirements must my vehicles 

meet? 

1051.103 What are the exhaust emission 

standards for snowmobiles? 

1051.105 What are the exhaust emission 

standards for off-highway motorcycles? 

1051.107 What are the exhaust emission 

standards for all-terrain vehicles (ATVs) 

and offroad utility vehicles? 

1051.110 What evaporative emission 

standards must my vehicles meet? 

1051.115 What other requirements must my 

vehicles meet? 

1051.120 What warranty requirements 

apply to me? 

1051.125 What maintenance instructions 

must I give to buyers? 

1051.130 What installation instructions 

must I give to vehicle manufacturers? 

1051.135 How must I label and identify the 

vehicles I produce? 

1051.145 What provisions apply only for a 

limited time?

Subpart C—Certifying Engine Families 

1051.201 What are the general 

requirements for submitting a 

certification application? 

1051.205 What must I include in my 

application? 

1051.210 May I get preliminary approval 

before I complete my application? 

1051.215 What happens after I complete my 

application? 

1051.220 How do I amend the maintenance 

instructions in my application? 

1051.225 How do I amend my application 

to include new or modified vehicles or 

to change an FEL? 

1051.230 How do I select engine families? 

1051.235 What emission testing must I 

perform for my application for a 

certificate of conformity? 

1051.240 How do I demonstrate that my 

engine family complies with exhaust 

emission standards? 

1051.245 How do I demonstrate that my 

engine family complies with evaporative 

emission standards? 

1051.250 What records must I keep and 

make available to EPA? 

1051.255 When may EPA deny, revoke, or 

void my certificate of conformity?

Subpart D—Testing Production-Line 

Engines 

1051.301 When must I test my productionline vehicles or engines? 

1051.305 How must I prepare and test my 

production-line vehicles or engines? 

1051.310 How must I select vehicles or 

engines for production-line testing? 

1051.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

1051.320 What happens if one of my 

production-line vehicles or engines fails 

to meet emission standards? 

1051.325 What happens if an engine family 

fails the production-line requirements? 

1051.330 May I sell vehicles from an engine 

family with a suspended certificate of 

conformity? 

1051.335 How do I ask EPA to reinstate my 

suspended certificate? 

1051.340 When may EPA revoke my 

certificate under this subpart and how 

may I sell these vehicles again? 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68381

1051.345 What production-line testing 

records must I send to EPA? 

1051.350 What records must I keep?

Subpart E—Testing In-Use Engines 

[Reserved]

Subpart F—Test Procedures 

1051.501 What procedures must I use to 

test my vehicles or engines? 

1051.505 What special provisions apply for 

testing snowmobiles? 

1051.510 What special provisions apply for 

testing ATV engines? [Reserved] 

1051.515 How do I test my fuel tank for 

permeation emissions? 

1051.520 How do I perform exhaust 

durability testing?

Subpart G—Compliance Provisions 

1051.601 What compliance provisions 

apply to vehicles and engines subject to 

this part? 

1051.605 What are the provisions for 

exempting vehicles from the 

requirements of this part if they use 

engines you have certified under the 

motor-vehicle program or the Large 

Spark-ignition program? 

1051.610 What are the provisions for 

producing recreational vehicles with 

engines already certified under the 

motor-vehicle program or the Large SI 

program? 

1051.615 What are the special provisions 

for certifying small recreational engines? 

1051.620 When may a manufacturer obtain 

an exemption for competition 

recreational vehicles? 

1051.625 What special provisions apply to 

unique snowmobile designs for smallvolume manufacturers? 

1051.630 What special provisions apply to 

unique snowmobile designs for all 

manufacturers? 

1051.635 What provisions apply to new 

manufacturers that are small businesses?

Subpart H—Averaging, Banking, and 

Trading for Certification 

1051.701 General provisions. 

1051.705 How do I average emission levels? 

1051.710 How do I generate and bank 

emission credits? 

1051.715 How do I trade emission credits? 

1051.720 How do I calculate my average 

emission level or emission credits? 

1051.725 What information must I keep? 

1051.730 What information must I report? 

1051.735 Are there special averaging 

provisions for snowmobiles?

Subpart I—Definitions and Other Reference 

Information 

1051.801 What definitions apply to this 

part? 

1051.805 What symbols, acronyms, and 

abbreviations does this part use? 

1051.810 What materials does this part 

reference? 

1051.815 How should I request EPA to keep 

my information confidential? 

1051.820 How do I request a hearing?

Authority: 42 U.S.C. 7401–7671(q).

Subpart A—Determining How to Follow 

This Part

§ 1051.1 Does this part apply to me? 

(a) This part applies to you if you 

manufacture or import any of the 

following recreational vehicles or 

engines used in them, unless we 

exclude them under § 1051.5: 

(1) Snowmobiles. 

(2) Off-highway motorcycles. 

(3) All-terrain vehicles (ATVs). 

(4) Offroad utility vehicles with 

engines with displacement less than or 

equal to 1000 cc, maximum brake power 

less than or equal to 30 kW, and 

maximum vehicle speed of 25 miles per 

hour or higher. Offroad utility vehicles 

that are subject to this part are subject 

to the same requirements as ATVs. This 

means that any requirement that applies 

to ATVs also applies to these offroad 

utility vehicles, without regard to 

whether the regulatory language 

mentions offroad utility vehicles. 

(b) [Reserved] 

(c) As noted in subpart G of this part, 

40 CFR part 1068 applies to everyone, 

including anyone who manufactures, 

installs, owns, operates, or rebuilds any 

of the vehicles or engines this part 

covers. 

(d) You need not follow this part for 

vehicles you produce before the 2006 

model year, unless you certify 

voluntarily. See §§ 1051.103 through 

1051.110, § 1051.145, and the definition 

of ‘‘model year’’ in § 1051.801 for more 

information about the timing of the 

requirements. 

(e) The requirements of this part begin 

to apply when a vehicle is new. See the 

definition of ‘‘new’’ in § 1051.801 for 

more information. In some cases, 

vehicles or engines that have been 

previously used may be considered 

‘‘new’’ for the purposes of this part. 

(f) See §§ 1051.801 and 1051.805 for 

definitions and acronyms that apply to 

this part. The definition section 

contains significant regulatory 

provisions and it is very important that 

you read them.

§ 1051.5 Which engines are excluded or 

exempted from this part’s requirements? 

(a) You may exclude vehicles with 

compression-ignition engines. See 40 

CFR part 89 for regulations that cover 

these engines. 

(b) See subpart G of this part and 40 

CFR part 1068, subpart C, for 

exemptions of specific engines. 

(c) We may require you to label an 

engine or vehicle (or both) if this section 

excludes it and other requirements in 

this chapter do not apply. 

(d) Send the Designated Officer a 

written request with supporting 

documentation if you want us to 

determine whether this part covers or 

excludes certain vehicles. Excluding 

engines from this part’s requirements 

does not affect other requirements that 

may apply to them.

§ 1051.10 What main steps must I take to 

comply with this part? 

(a) You must get a certificate of 

conformity from us for each engine 

family before you do any of the 

following things with a new vehicle or 

new engine covered by this part: sell, 

offer for sale, introduce into commerce, 

distribute or deliver for introduction 

into commerce, or import it into the 

United States. ‘‘New’’ vehicles or 

engines may include some already 

placed in service (see the definition of 

‘‘new’’ in § 1051.801). You must get a 

new certificate of conformity for each 

new model year. 

(b) To get a certificate of conformity 

and comply with its terms, you must do 

five things: 

(1) Meet the emission standards and 

other requirements in subpart B of this 

part. 

(2) Perform preproduction emission 

tests. 

(3) Apply for certification (see subpart 

C of this part). 

(4) Do routine emission testing on 

production vehicles or engines as 

required by subpart D of this part. 

(5) Follow our instructions 

throughout this part. 

(c) Subpart F of this part describes 

how to test your engines or vehicles 

(including references to other parts) and 

when you may test the engine alone 

instead of the entire vehicle. 

(d) Subpart G of this part and 40 CFR 

part 1068 describe requirements and 

prohibitions that apply to 

manufacturers, owners, operators, 

rebuilders, and all others. They also 

describe exemptions available for 

special circumstances.

§ 1051.15 Do any other regulation parts 

affect me? 

(a) Parts 86 and 1065 of this chapter 

describe procedures and equipment 

specifications for testing vehicles and 

engines. Subpart F of this part describes 

how to apply part 86 or 1065 of this 

chapter to show you meet the emission 

standards in this part. 

(b) Part 1068 of this chapter describes 

general provisions, including these 

seven areas: 

(1) Prohibited actions and penalties 

for manufacturers and others. 

(2) Rebuilding and other aftermarket 

changes. 

(3) Exemptions and exclusions for 

certain vehicles and engines. 

68382 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(4) Importing vehicles and engines. 

(5) Selective enforcement audits of 

your production. 

(6) Defect reporting and recall. 

(7) Procedures for hearings. 

(c) Other parts of this chapter affect 

you if referenced in this part.

§ 1051.20 May I certify a recreational 

engine instead of the vehicle? 

(a) You may certify engines sold 

separately from vehicles in either of two 

cases: 

(1) If you manufacture recreational 

engines but not recreational vehicles, 

you may ask to certify the engine alone. 

In your request, explain why you cannot 

certify the entire vehicle. 

(2) If you manufacture complete 

recreational vehicles containing engines 

you also sell separately, you may ask to 

certify all these engines in a single 

engine family or in separate engine 

families. 

(b) If you certify an engine under this 

section, you must use the test 

procedures in subpart F of this part. If 

the test procedures require vehicle 

testing, use good engineering judgment 

to install the engine in an appropriate 

vehicle for measuring emissions. 

(c) If we allow you to certify 

recreational engines, the vehicles must 

meet the applicable emission standards 

(including evaporative emission 

standards) with the engines installed in 

the appropriate vehicles. You must 

prepare installation instructions as 

described in § 1051.130 and use good 

engineering judgment so that the 

engines will meet emission standards 

after proper installation in the vehicle. 

(d) Identify and label engines you 

produce under this section consistent 

with the requirements of § 1051.135. On 

the emission control information label, 

identify the manufacturing date of the 

engine rather than the vehicle. 

(e) You may not use the provisions of 

this section to circumvent or reduce the 

stringency of this part’s standards or 

other requirements. 

(f) If you certify under paragraph 

(a)(1) of this section, you may ask us to 

allow you to perform production-line 

testing on the engine. If you certify 

under paragraph (a)(2) of this section, 

use good engineering judgment to 

ensure that these engines are produced 

in the same manner as the engines you 

produce for your vehicles, so that your 

production-line testing results under 

subpart D of this part would apply to 

them.

§ 1051.25 What requirements apply when 

installing certified engines in recreational 

vehicles? 

(a) If you manufacture recreational 

vehicles with engines certified under 

§ 1051.20, you need not also certify the 

vehicle under this part. The vehicle 

must nevertheless meet emission 

standards with the engine installed. 

(b) You must follow the engine 

manufacturer’s emission-related 

installation instructions, as described in 

§ 1051.135 and 40 CFR 1068.105. For 

example, you must use a fuel system 

that meets the permeation requirements 

of this part, consistent with the engine 

manufacturer’s instructions. 

(c) If you install the engine in a way 

that makes the engine’s emission control 

information label hard to read during 

normal engine maintenance, you must 

place a duplicate label on the vehicle, 

as described in 40 CFR 1068.105.

Subpart B—Emission Standards and 

Related Requirements

§ 1051.101 What emission standards and 

other requirements must my vehicles meet? 

(a) You must show that your vehicles 

meet the following: 

(1) The applicable exhaust emission 

standards in § 1051.103, § 1051.105, or 

§ 1051.107. 

(i) For snowmobiles, see § 1051.103. 

(ii) For off-highway motorcycles, see 

§ 1051.105. 

(iii) For all-terrain vehicles and 

offroad utility vehicles subject to this 

part, see § 1051.107. 

(2) The evaporative emission 

standards in § 1051.110. 

(3) All the requirements in § 1051.115. 

(b) The certification regulations in 

subpart C of this part describe how you 

make this showing. 

(c) These standards and requirements 

apply to all testing, including 

production-line and in-use testing, as 

described in subparts D and E of this 

part. 

(d) Other sections in this subpart 

describe other requirements for 

manufacturers such as labeling or 

warranty requirements. 

(e) It is important that you read 

§ 1051.145 to determine if there are 

other interim requirements or interim 

compliance options that apply for a 

limited time. 

(f) As is described in § 1051.1(a)(4), 

offroad utility vehicles that are subject 

to this part are subject to the same 

requirements as ATVs.

§ 1051.103 What are the exhaust emission 

standards for snowmobiles? 

(a) Apply the exhaust emission 

standards in this section by model year. 

Measure emissions with the 

snowmobile test procedures in subpart 

F of this part. 

(1) Follow Table 1 of this section for 

exhaust emission standards. You may 

use the averaging, banking, and trading 

provisions of subpart H of this part to 

show compliance with these standards 

(an engine family meets emission 

standards even if its family emission 

limit is higher than the standard, as long 

as you show that the whole averaging 

set of applicable engine families meet 

the applicable emission standards using 

emission credits, and the vehicles 

within the family meet the family 

emission limit). Table 1 also shows the 

maximum value you may specify for a 

family emission limit, as follows:

TABLE 1 OF § 1051.103.—EXHAUST EMISSION STANDARDS FOR SNOWMOBILES (G/KW–HR) 

Phase Model year Phase-in 

(percent) 

Emission standards Maximum allowable family emission limits 

HC HC+NOX CO HC HC+NOX CO 

Phase 1 ............... 2006 .................... 50 100 .................... 275 .................... .................... ........................

Phase 1 ............... 2007–2009 .......... 100 100 .................... 275 .................... .................... ........................

Phase 2 ............... 2010 and 2011 ... 100 75 .................... 275 .................... .................... ........................

Phase 3 ............... 2012 and later .... 100 75 (1) (1) 150 165 400

1See § 1051.103(a)(2). 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68383

(2) For Phase 3, the HC+NOX and CO 

standards are defined by a functional 

relationship. Choose your corporate 

average HC+NOX and CO standards for 

each model year according to the 

following criteria: 

(i) Prior to production, select the 

HC+NOX standard and CO standard 

(specified as g/kW-hr) so that the 

combined percent reduction from 

baseline emission levels is greater than 

or equal to 100 percent; that is, that the 

standards comply with the following 

equation:

1 15

150 − 100 1 100 100  −





 × +− 





 × ≥ ( ) HC + NO CO

400

x STD STD

(ii) Your corporate average HC+NOX

standard may not be higher than 90

g/kW-hr. 

(iii) Your corporate average CO 

standard may not be higher than 275

g/kW-hr. 

(iv) You may use the averaging and 

banking provisions of subpart H of this 

part to show compliance with these 

HC+NOX and CO standards in this 

paragraph (a)(2). You may modify your 

selection of the HC+NOX and CO 

standards at the end of the model year 

under paragraph (a)(2)(i) of this section. 

You must comply with these final 

corporate average emission standards. 

(b) Apply the exhaust emission 

standards in this section for 

snowmobiles using each type of fuel 

specified in 40 CFR part 1065, subpart 

C, for which they are designed to 

operate. You must meet the numerical 

emission standards for hydrocarbons in 

this section based on the following 

types of hydrocarbon emissions for 

snowmobiles powered by the following 

fuels: 

(1) Gasoline- and LPG-fueled 

snowmobiles: THC emissions. 

(2) Natural gas-fueled snowmobiles: 

NMHC emissions. 

(3) Alcohol-fueled snowmobiles: 

THCE emissions. 

(c) Your snowmobiles must meet 

emission standards over their full useful 

life (§ 1051.240 describes how to use 

deterioration factors to show this). The 

minimum useful life is 8,000 kilometers, 

400 hours of engine operation, or five 

calendar years, whichever comes first. 

You must specify a longer useful life in 

terms of kilometers and hours for the 

engine family if the average service life 

of your vehicles is longer than the 

minimum value, as follows: 

(1) Except as allowed by paragraph 

(c)(2) of this section, your useful life (in 

kilometers and hours) may not be less 

than either of the following: 

(i) Your projected operating life from 

advertisements or other marketing 

materials for any vehicles in the engine 

family. 

(ii) Your basic mechanical warranty 

for any engines in the engine family. 

(2) Your useful life may be based on 

the average service life of vehicles in the 

engine family if you show that the 

average service life is less than the 

useful life required by paragraph (c)(1) 

of this section, but more than the 

minimum useful life (8,000 kilometers 

or 400 hours of engine operation). In 

determining the actual average service 

life of vehicles in an engine family, we 

will consider all available information 

and analyses. Survey data is allowed but 

not required to make this showing.

§ 1051.105 What are the exhaust emission 

standards for off-highway motorcycles? 

(a) Apply the exhaust emission 

standards in this section by model year. 

Measure emissions with the off-highway 

motorcycle test procedures in subpart F 

of this part. 

(1) Follow Table 1 of this section for 

exhaust emission standards. You may 

use the averaging, banking, and trading 

provisions of subpart H of this part to 

show compliance with the HC+NOX

and/or CO standards (an engine family 

meets emission standards even if its 

family emission limit is higher than the 

standard, as long as you show that the 

whole averaging set of applicable engine 

families meet the applicable emission 

standards using emission credits, and 

the vehicles within the family meet the 

family emission limit). The phase-in 

values specify the percentage of your 

U.S.-directed production that must 

comply with the emission standards for 

those model years. Calculate this 

compliance percentage based on a 

simple count of production units within 

the engine family. Table 1 follows:

TABLE 1 OF § 1051.105.—EXHAUST EMISSION STANDARDS FOR OFF-HIGHWAY MOTORCYCLES (G/KM) 

Phase Model year Phase-in 

(percent) 

Emission standards Maximum allowable family 

emission limits 

HC+NOX CO HC+NOX CO 

Phase 1 ........................................ 2006 .............................................. 50 2.0 25 20.0 50

2007 and later .............................. 100 2.0 25 20.0 50

(2) For model years 2007 and later 

you may choose to certify all of your offhighway motorcycles to an HC+NOX

standard of 4.0 g/km and a CO standard 

of 35 g/km, instead of the standards 

listed in paragraph (a)(1) of this section. 

To certify to the standards in this 

paragraph (a)(2), you must comply with 

the following provisions: 

(i) You may not request an exemption 

for any off-highway motorcycles under 

§ 1051.620

(ii) At least ten percent of your offhighway motorcycles for the model year 

must have four of the following features: 

(A) The absence of a headlight or 

other lights.

(B) The absence of a spark arrestor. 

(C) The absence of manufacturer 

warranty. 

(D) Suspension travel greater than 10 

inches. 

(E) Engine displacement greater than 

50 cc. 

(F) The absence of a functional seat. 

(iii) You may use the averaging and 

banking provisions of subpart H of this 

part to show compliance with this 

HC+NOX standard, but not this CO 

standard. If you use the averaging or 

banking provisions to show compliance, 

your FEL for HC+NOX may not exceed 

8.0 g/km for any engine family. You 

may not use the trading provisions of 

subpart H of this part. 

(3) You may certify off-highway 

motorcycles with engines that have total 


ER08NO02.007</MATH>
68384 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

displacement of 70 cc or less to the 

exhaust emission exhaust standards in 

§ 1051.615 instead of certifying them to 

the exhaust emission standards of this 

section. 

(b) Apply the exhaust emission 

standards in this section for off-highway 

motorcycles using each type of fuel 

specified in 40 CFR part 1068, subpart 

C, for which they are designed to 

operate. You must meet the numerical 

emission standards for hydrocarbons in 

this section based on the following 

types of hydrocarbon emissions for offhighway motorcycles powered by the 

following fuels: 

(1) Gasoline- and LPG-fueled offhighway motorcycles: THC emissions. 

(2) Natural gas-fueled off-highway 

motorcycles: NMHC emissions. 

(3) Alcohol-fueled off-highway 

motorcycles: THCE emissions. 

(c) Your off-highway motorcycles 

must meet emission standards over their 

full useful life (§ 1051.240 describes 

how to use deterioration factors to show 

this). The minimum useful life is 10,000 

kilometers or five years, whichever 

comes first. You must specify a longer 

useful life for the engine family in terms 

of kilometers if the average service life 

of your vehicles is longer than the 

minimum value, as follows: 

(1) Except as allowed by paragraph 

(c)(2) of this section, your useful life (in 

kilometers) may not be less than either 

of the following: 

(i) Your projected operating life from 

advertisements or other marketing 

materials for any vehicles in the engine 

family. 

(ii) Your basic mechanical warranty 

for any engines in the engine family. 

(2) Your useful life may be based on 

the average service life of vehicles in the 

engine family if you show that the 

average service life is less than the 

useful life required by paragraph (c)(1) 

of this section, but more than the 

minimum useful life (10,000 

kilometers). In determining the actual 

average service life of vehicles in an 

engine family, we will consider all 

available information and analyses. 

Survey data is allowed but not required 

to make this showing.

§ 1051.107 What are the exhaust emission 

standards for all-terrain vehicles (ATVs) and 

offroad utility vehicles? 

This section specifies the exhaust 

emission standards that apply to ATVs. 

As is described in § 1051.1(a)(4), offroad 

utility vehicles that are subject to this 

part are subject to these same standards. 

(a) Apply the exhaust emission 

standards in this section by model year. 

Measure emissions with the ATV test 

procedures in subpart F of this part. 

(1) Follow Table 1 of this section for 

exhaust emission standards. You may 

use the averaging, banking, and trading 

provisions of subpart H of this part to 

show compliance with these HC+NOX

standards (an engine family meets 

emission standards even if its family 

emission limit is higher than the 

standard, as long as you show that the 

whole averaging set of applicable engine 

families meet the applicable emission 

standards using emission credits, and 

the vehicles within the family meet the 

family emission limit). Table 1 also 

shows the maximum value you may 

specify for a family emission limit. The 

phase-in values in the table specify the 

percentage of your total U.S.-directed 

production that must comply with the 

emission standards for those model 

years. Calculate this compliance 

percentage based on a simple count of 

production units within the engine 

family. This applies to your total 

production of ATVs and offroad utility 

vehicles that are subject to the standards 

of this part; including both ATVs and 

offroad utility vehicles subject to the 

standards of this section and ATVs and 

offroad utility vehicles certified to the 

standards of other sections in this part 

1051 (such as § 1051.615, but not 

including vehicles certified under other 

parts in this chapter (such as 40 CFR 

part 90). Table 1 follows:

TABLE 1 OF § 1051.107.—EXHAUST EMISSION STANDARDS FOR ATVS (G/KM) 

Phase Model year Phase-in 

(percent) 

Emission standards Maximum allowable family 

emission limits 

HC+NOX CO HC+NOX CO 

Phase 1 ........................................ 2006 .............................................. 50 1.5 35 20.0 50 

2007 and later .............................. 100 1.5 35 20.0 50 

(2) You may certify ATVs with 

engines that have total displacement of 

less than 100 cc to the exhaust emission 

exhaust standards in § 1051.615 instead 

of certifying them to the exhaust 

emission standards of this section. 

(b) Apply the exhaust emission 

standards in this section for ATVs using 

each type of fuel specified in 40 CFR 

1065, subpart C for which they are 

designed to operate. You must meet the 

numerical emission standards for 

hydrocarbons in this section based on 

the following types of hydrocarbon 

emissions for ATVs powered by the 

following fuels: 

(1) Gasoline- and LPG-fueled ATVs: 

THC emissions. 

(2) Natural gas-fueled ATVs: NMHC 

emissions. 

(3) Alcohol-fueled ATVs: THCE 

emissions. 

(c) Your ATVs must meet emission 

standards over their full useful life 

(§ 1051.240 describes how to use 

deterioration factors to show this). The 

minimum useful life is 10,000 

kilometers, 1000 hours of engine 

operation, or five years, whichever 

comes first. You must specify a longer 

useful life for the engine family in terms 

of kilometers and hours if the average 

service life of your vehicles is longer 

than the minimum value, as follows: 

(1) Except as allowed by paragraph 

(c)(2) of this section, your useful life (in 

kilometers) may not be less than either 

of the following: 

(i) Your projected operating life from 

advertisements or other marketing 

materials for any vehicles in the engine 

family. 

(ii) Your basic mechanical warranty 

for any engines in the engine family. 

(2) Your useful life may be based on 

the average service life of vehicles in the 

engine family if you show that the 

average service life is less than the 

useful life required by paragraph (c)(1) 

of this section, but more than the 

minimum useful life (10,000 kilometers 

or 1,000 hours of engine operation). In 

determining the actual average service 

life of vehicles in an engine family, we 

will consider all available information 

and analyses. Survey data is allowed but 

not required to make this showing.

§ 1051.110 What evaporative emission 

standards must my vehicles meet? 

All of your new vehicles must meet 

the emission standards of this section 

over their full useful life, as specified in 

this section. Note that § 1051.245 allows 

you to use design-based certification 

instead of generating new emission data. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68385

(a) Beginning with the 2008 model 

year, permeation emissions from your 

vehicle’s fuel tank(s) may not exceed 1.5 

grams per square-meter per day when 

measured with the test procedures for 

tank permeation in subpart F of this 

part. You may use the averaging, 

banking, and trading provisions of 

subpart H of this part to show 

compliance. 

(b) Beginning with the 2008 model 

year, permeation emissions from your 

vehicle’s fuel lines may not exceed 15 

grams per square-meter per day when 

measured with the test procedures for 

fuel-line permeation in subpart F of this 

part. Use the inside diameter of the hose 

to determine the surface area of the 

hose.

§ 1051.115 What other requirements must 

my vehicles meet? 

Your vehicles must meet the 

following requirements: 

(a) Closed crankcase. Design and 

produce your vehicles so they release no 

crankcase emissions into the 

atmosphere throughout their useful life. 

(b) Emission sampling capability.

Produce all your vehicles to allow 

sampling of exhaust emissions in the 

field without damaging the vehicle. 

Show in your application for 

certification how this can be done in a 

way that prevents diluting the exhaust 

sample with ambient air. To do this, you 

might simply allow for extending the 

exhaust pipe by 20 cm; you might also 

install sample ports in the exhaust 

(downstream of any aftertreatment 

devices). 

(c) Adjustable parameters. If your 

vehicles have adjustable parameters, 

they must meet all the requirements of 

this part for any adjustment in the 

physically adjustable range. Note that 

parameters that control the air-fuel ratio 

may be treated separately under 

paragraph (d) of this section. 

(1) We do not consider an operating 

parameter adjustable if you permanently 

seal it or if ordinary tools cannot readily 

access it. 

(2) We may require you to adjust the 

engine to any specification within the 

adjustable range during certification 

testing, production-line testing, 

selective enforcement auditing, or inuse testing. 

(d) Other adjustments. This provision 

applies if an experienced mechanic can 

change your engine’s air-fuel ratio in 

less than one hour with a few parts 

whose total cost is under $50 (in 2001 

dollars). Examples include carburetor 

jets and needles. In the case of 

carburetor jets and needles, your vehicle 

must meet all the requirements of this 

part for any air-fuel ratio within the 

adjustable range described in paragraph 

(d)(1) of this section. 

(1) In your application for 

certification, specify the adjustable 

range of air-fuel ratios you expect to 

occur in use. You may specify it in 

terms of engine parts (such as the 

carburetor jet size and needle 

configuration as a function of 

atmospheric conditions). 

(2) This adjustable range (specified in 

paragraph (d)(1) of this section) must 

include all air-fuel ratios between the 

lean limit and the rich limit, unless you 

can show that some air-fuel ratios will 

not occur in use. 

(i) The lean limit is the air-fuel ratio 

that produces the highest engine power 

output (averaged over the test cycle). 

(ii) The rich limit is the richest of the 

following air-fuel ratios: 

(A) The air-fuel ratio that would result 

from operating the vehicle as you 

produce it at the specified test 

conditions. This paragraph (d)(2)(ii)(A) 

does not apply if you produce the 

vehicle with an unjetted carburetor so 

that the vehicle must be jetted by the 

dealer or operator. 

(B) The air-fuel ratio of the engine 

when you do durability testing. 

(C) The richest air-fuel ratio that you 

recommend to your customers for the 

applicable ambient conditions. 

(3) If the air-fuel ratio of your vehicle 

is adjusted primarily by changing the 

carburetor jet size and/or needle 

configuration, you may submit your 

recommended jetting chart instead of 

the range of air-fuel ratios required by 

paragraph (d)(1) of this section if the 

following criteria are met:

(i) Good engineering judgment 

indicates that vehicle operators would 

not have an incentive to operate the 

vehicle with richer air-fuel ratios than 

recommended. 

(ii) The chart is based on use of a fuel 

that is equivalent to the specified test 

fuel(s). As an alternative you may 

submit a chart based on a representative 

in-use fuel if you also provide 

instructions for converting the chart to 

be applicable to the test fuel(s). 

(iii) The chart is specified in units 

that are adequate to make it practical for 

an operator to keep the vehicle properly 

jetted during typical use. For example, 

charts that specify jet sizes based on 

increments of temperature smaller than 

20°F (11.1°C) or increments of altitude 

less than 2000 feet would not meet this 

criteria. Temperature ranges must 

overlap by at least 5°F (2.8°C). 

(iv) You follow the jetting chart for 

durability testing. 

(v) You do not produce your vehicles 

with jetting richer than the jetting chart 

recommendation for the intended 

vehicle use. 

(4) We may require you to adjust the 

engine to any specification within the 

adjustable range during certification 

testing, production-line testing, 

selective enforcement auditing, or inuse testing. If we allow you to submit 

your recommended jetting chart instead 

of the range of air-fuel ratios required by 

paragraph (d)(1) of this section, adjust 

the engine to the richest specification 

within the jetting chart for the test 

conditions, unless we specify a leaner 

setting. We may not specify a setting 

leaner than that described in paragraph 

(d)(2)(i) of this section. 

(e) Prohibited controls. You may not 

design your engines with emissioncontrol devices, systems, or elements of 

design that cause or contribute to an 

unreasonable risk to public health, 

welfare, or safety while operating. For 

example, this would apply if the engine 

emits a noxious or toxic substance it 

would otherwise not emit that 

contributes to such an unreasonable 

risk. 

(f) Defeat devices. You may not equip 

your vehicles with a defeat device. A 

defeat device is an auxiliary emissioncontrol device or other control feature 

that reduces the effectiveness of 

emission controls under conditions you 

may reasonably expect the vehicle to 

encounter during normal operation and 

use. This does not apply to auxiliary 

emission-control devices you identify in 

your certification application if any of 

the following is true: 

(1) The conditions of concern were 

substantially included in your 

prescribed duty cycles. 

(2) You show your design is necessary 

to prevent catastrophic vehicle damage 

or accidents. 

(3) The reduced effectiveness applies 

only to starting the engine. 

(g) Noise standards. There are no 

noise standards specified in this part 

1051. See 40 CFR Chapter I, Subchapter 

G, to determine if your vehicle must 

meet noise emission standards under 

another part our regulations.

§ 1051.120 What warranty requirements 

apply to me? 

(a) General requirements. You must 

warrant to the ultimate buyer that the 

new engine meets two conditions: 

(1) It is designed, built, and equipped 

to conform at the time of sale with the 

requirements of this part. 

(2) It is free from defects in materials 

and workmanship that may keep it from 

meeting these requirements. 

(b) Warranty period. Your emissionrelated warranty must be valid for at 

least 50 percent of the vehicle’s 

68386 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

minimum useful life in kilometers or at 

least 30 months, whichever comes first. 

You may offer an emission-related 

warranty more generous than we 

require. This warranty may not be 

shorter than any published or negotiated 

warranty you offer for the engine or any 

of its components. If a vehicle has no 

odometer, base warranty periods in this 

paragraph (b) only on the vehicle’s age 

(in years). 

(c) Components covered. The 

emission-related warranty must cover 

components whose failure would 

increase an engine’s emissions, 

including electronic controls, fuel 

injection (for liquid or gaseous fuels), 

exhaust-gas recirculation, 

aftertreatment, or any other system you 

develop to control emissions. We 

generally consider replacing or repairing 

other components to be the owner’s 

responsibility. 

(d) Scheduled maintenance. You may 

schedule emission-related maintenance 

for a component named in paragraph (c) 

of this section, subject to the restrictions 

of § 1051.125. You are not required to 

cover this scheduled maintenance under 

your warranty if the component meets 

either of the following criteria: 

(1) The component was in general use 

on similar engines, and was subject to 

scheduled maintenance, before January 

1, 2000. 

(2) Failure of the component would 

clearly degrade the engine’s 

performance enough that the operator 

would need to repair or replace it. 

(e) Limited applicability. You may 

deny warranty claims under this section 

if the operator caused the problem, as 

described in 1068.115 of this chapter. 

You may ask us to allow you to exclude 

from your emission-related warranty 

certified vehicles that have been used 

significantly for competition, especially 

certified motorcycles that meet at least 

four of the criteria in § 1051.620(b)(1). 

(f) Aftermarket parts. As noted in 

§ 1068.101 of this chapter, it is a 

violation of the Act to manufacture a 

vehicle part if one of its main effects is 

to reduce the effectiveness of the 

vehicle’s emission controls. If you make 

an aftermarket part, you may—but do 

not have to—certify that using the part 

will still allow engines to meet emission 

standards, as described in § 85.2114 of 

this chapter.

§ 1051.125 What maintenance instructions 

must I give to buyers? 

Give the ultimate buyer of each new 

vehicle written instructions for properly 

maintaining and using the vehicle, 

including the emission-control system. 

The maintenance instructions also 

apply to service accumulation on your 

test vehicles or engines, as described in 

40 CFR part 1065, subpart E. 

(a) Critical emission-related 

maintenance. Critical emission-related 

maintenance includes any adjustment, 

cleaning, repair, or replacement of airinduction, fuel-system, or ignition 

components, aftertreatment devices, 

pulse-air valves, exhaust gas 

recirculation systems, crankcase 

ventilation valves, sensors, or electronic 

control units. This may also include any 

other component whose only purpose is 

to reduce emissions or whose failure 

will increase emissions without 

significantly degrading engine 

performance. You may schedule critical 

emission-related maintenance on these 

components if you meet the following 

conditions:

(1) You may ask us to approve critical 

emission-related maintenance only if it 

meets two criteria: 

(i) Operators are reasonably likely to 

do the maintenance you call for. 

(ii) Vehicles need the maintenance to 

meet emission standards. 

(2) We will accept scheduled 

maintenance as reasonably likely to 

occur in use if you satisfy any of four 

conditions: 

(i) You present data showing that, if 

a lack of maintenance increases 

emissions, it also unacceptably degrades 

the vehicle’s performance. 

(ii) You present survey data showing 

that 80 percent of vehicles in the field 

get the maintenance you specify at the 

recommended intervals. 

(iii) You provide the maintenance free 

of charge and clearly say so in 

maintenance instructions for the 

customer. 

(iv) You otherwise show us that the 

maintenance is reasonably likely to be 

done at the recommended intervals. 

(3) You may not schedule critical 

emission-related maintenance within 

the minimum useful life period for 

aftertreatment devices, pulse-air valves, 

fuel injectors, oxygen sensors, electronic 

control units, superchargers, or 

turbochargers. 

(b) Recommended additional 

maintenance. You may recommend, but 

not require, any additional amount of 

maintenance on the components listed 

in paragraph (a) of this section. 

However, you must make it clear that 

these maintenance steps are not 

necessary to keep the emission-related 

warranty valid. If operators do the 

maintenance specified in paragraph (a) 

of this section, but not the 

recommended additional maintenance, 

this does not allow you to disqualify 

them from in-use testing or deny a 

warranty claim. 

(c) Special maintenance. You may 

specify more frequent maintenance to 

address problems related to special 

situations such as substandard fuel or 

atypical engine operation. You may not 

perform this special maintenance during 

service accumulation or durability 

testing. 

(d) Noncritical emission-related 

maintenance. For engine parts not listed 

in paragraph (a) of this section, you may 

schedule any amount of emissionrelated inspection or maintenance. But 

you must state clearly that these steps 

are not necessary to keep the emissionrelated warranty valid. Also, do not take 

these inspection or maintenance steps 

during service accumulation on your 

test vehicles or engines. 

(e) Maintenance that is not emissionrelated. For maintenance unrelated to 

emission controls, you may schedule 

any amount of inspection or 

maintenance. You may also take these 

inspection or maintenance steps during 

service accumulation on your test 

vehicles or engines. This might include 

adding engine oil or adjusting chain 

tension, clutch position, or tire pressure. 

(f) Source of parts and repairs. Print 

clearly on the first page of your written 

maintenance instructions that any repair 

shop or person may maintain, replace, 

or repair emission-control devices and 

systems. Your instructions may not 

require any component or service 

identified by brand, trade, or corporate 

name. Also, do not directly or indirectly 

condition your warranty on a 

requirement that the vehicle be serviced 

by your franchised dealers or any other 

service establishments with which you 

have a commercial relationship. You 

may disregard the requirements in this 

paragraph (f) if you do one of two 

things: 

(1) Provide a component or service 

without charge under the purchase 

agreement. 

(2) Get us to waive this prohibition in 

the public’s interest by convincing us 

the vehicle will work properly only 

with the identified component or 

service.

§ 1051.130 What installation instructions 

must I give to vehicle manufacturers? 

(a) If you sell an engine for someone 

else to install in a recreational vehicle, 

give the engine buyer written 

instructions for installing it consistent 

with the requirements of this part. 

Include all information necessary to 

ensure that engines installed this way 

will meet emission standards. 

(b) These instructions must have the 

following information: 

(1) Include the heading: ‘‘Emissionrelated installation instructions’’. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68387

(2) State: ‘‘Failing to follow these 

instructions when installing a certified 

engine in a recreational vehicle may 

violate federal law (40 CFR 

1068.105(b)), and subject you to fines or 

other penalties as described in the Clean 

Air Act.’’. 

(3) Describe any other instructions 

needed to install an exhaust 

aftertreatment device consistent with 

your application for certification. 

(4) Describe the steps needed to 

comply with the evaporative emission 

standards in § 1051.110. 

(5) Describe any limits on the range of 

applications needed to ensure that the 

engine operates consistently with your 

application for certification. For 

example, if your engines are certified 

only to the snowmobile standards, tell 

vehicle manufacturers not to install the 

engines in other vehicles. 

(6) Describe any other instructions to 

make sure the installed engine will 

operate according to any design 

specifications you describe in your 

application for certification. 

(7) State: ‘‘If you install the engine in 

a way that makes the engine’s emission 

control information label hard to read 

during normal engine maintenance, you 

must place a duplicate label on the 

vehicle, as described in 40 CFR 

1068.105.’’. 

(c) You do not need installation 

instructions for engines you install in 

your own vehicles.

§ 1051.135 How must I label and identify 

the vehicles I produce? 

Each of your vehicles must have three 

labels: a vehicle identification number 

as described in paragraph (a) of this 

section, an emission control information 

label as described in paragraphs (b) 

through (e) of this section, and a 

consumer information label as described 

in paragraph (g) of this section. 

(a) Assign each production vehicle a 

unique identification number and 

permanently and legibly affix, stamp, or 

engrave it on the vehicle. 

(b) At the time of manufacture, add a 

permanent label identifying the 

emission controls for each vehicle. This 

is the vehicle’s ‘‘emission control 

information label.’’ To meet labeling 

requirements, do the following things: 

(1) Attach the label in one piece so it 

is not removable without being 

destroyed or defaced. 

(2) Design and produce it to be 

durable and readable for the vehicle’s 

entire life. 

(3) Secure it to a part of the vehicle 

(or engine) needed for normal operation 

and not normally requiring replacement. 

(4) Write it in block letters in English. 

(5) Attach the label in a location 

where it can be easily read. 

(c) On your label, do these things: 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. 

(3) State: ‘‘THIS VEHICLE IS 

CERTIFIED TO OPERATE ON [specify 

operating fuel or fuels].’’. 

(4) Identify the emission-control 

system; your identifiers must use names 

and abbreviations consistent with SAE 

J1930 (incorporated by reference in 

§ 1051.810). 

(5) List all requirements for fuel and 

lubricants. 

(6) State the date of manufacture 

[DAY (optional), MONTH, and YEAR]; 

if you stamp it on the engine and print 

it in the owner’s manual, you may omit 

this information from the emission 

control information label. 

(7) State: ‘‘THIS VEHICLE MEETS 

U.S. ENVIRONMENTAL PROTECTION 

AGENCY REGULATIONS FOR [MODEL 

YEAR] [SNOWMOBILES or OFF-ROAD 

MOTORCYCLES or ATVs].’’. 

(8) Include EPA’s standardized 

designation for the engine family. 

(9) State the engine’s displacement (in 

liters) and maximum brake power. You 

do not need to include the engine’s 

displacement and power on the 

emission control information label if the 

vehicle is permanently labeled with a 

unique model name that corresponds to 

a specific displacement/power 

configuration. 

(10) State the engine’s useful life if it 

is different than the minimum value. 

(11) List specifications and 

adjustments for engine tuneups; show 

the proper position for the transmission 

during tuneup and state which 

accessories should be operating.

(12) Identify the emission standards 

or family emission limits to which you 

have certified the engine. 

(d) Some of your engines may need 

more information on the emission 

control information label. If you 

produce an engine or vehicle that we 

exempt from the requirements of this 

part, see subpart G of this part and 40 

CFR part 1068, subparts C and D, for 

more label information. 

(e) Some engines may not have 

enough space for an emission control 

information label with all the required 

information. In this case, you may omit 

the information required in paragraphs 

(c)(3), (c)(4), and (c)(5) of this section if 

you print it in the owner’s manual 

instead. 

(f) If you are unable to meet these 

labeling requirements, you may ask us 

to modify them consistent with the 

intent of this section. 

(g) Label every vehicle certified under 

this part with a removable hang-tag 

showing its emission characteristics 

relative to other models. The label 

should be attached securely to the 

vehicle before it is offered for sale in 

such a manner that it would not be 

accidentally removed prior to sale. Use 

the applicable equations of this 

paragraph (g) to determine the 

normalized emission rate (NER) from 

the FEL for your vehicle. If the vehicle 

is certified without using the averaging 

provisions of subpart H, use the final 

deteriorated emission level. Round the 

resulting normalized emission rate for 

your vehicle to the nearest whole 

number. We may specify a standardized 

format for labels. At a minimum, the tag 

should include: The manufacturer’s 

name, vehicle model name, engine 

description (500 cc two-stroke with 

DFI), the NER, and a brief explanation 

of the scale (for example, note that 0 is 

the cleanest and 10 is the least clean). 

(1) For snowmobiles, use the 

following equation:

NER = 16.61 × log(2.667 × HC + CO) ¥

38.22

Where: 

HC and CO are the cycle-weighted FELs (or 

emission rates) for hydrocarbons and carbon 

monoxide in g/kW–hr.

(2)(i) For off-highway motorcycles 

with HC+NOX emissions less than or 

equal to 2.0 g/km, use the following 

equation:

(NER = 2.500 × (HC + NOX)

Where: 

HC +NOX is the FEL (or the sum of the 

cycle-weighted emission rates) for 

hydrocarbons and oxides of nitrogen in g/km.

(ii) For off-highway motorcycles with 

HC+NOX emissions greater than 2.0

g/km, use the following equation:

NER = 5.000 × log(HC + NOX) + 3.495

Where: 

HC +NOX is the FEL (or the sum of the 

cycle-weighted emission rates) for 

hydrocarbons and oxides of nitrogen in g/km.

(3)(i) For ATVs with HC+NOX

emissions less than or equal to 1.5 g/km, 

use the following equation:

NER = 3.333 × (HC + NOX)

Where: 

HC +NOX is the FEL (or the sum of the 

cycle-weighted emission rates) for 

hydrocarbons and oxides of nitrogen in g/km.

(ii) For ATVs with HC+NOX

emissions greater than 1.5 g/km, use the 

following equation:

NER = 4.444 × log(HC + NOX) + 4.217

Where: 

HC +NOX is the FEL (or the sum of the 

cycle-weighted emission rates) for 

hydrocarbons and oxides of nitrogen in g/km.

68388 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

§ 1051.145 What provisions apply only for 

a limited time? 

Apply the following provisions 

instead of others in this part for the 

periods and circumstances specified in 

this section. 

(a) Provisions for small-volume 

manufacturers. Special provisions apply 

to you if you are a small-volume 

manufacturer subject to the 

requirements of this part. Contact us 

before 2006 if you intend to use these 

provisions. 

(1) You may delay complying with 

otherwise applicable emission standards 

(and other requirements) for two model 

years. 

(2) If you are a small-volume 

manufacturer of snowmobiles, only 50 

percent of the models you produce 

(instead of all of the models you 

produce) must meet emission standards 

in the first two years they apply to you 

as a small-volume manufacturer, as 

described in paragraph (a)(1) of this 

section. For example, this alternate 

phase-in allowance would allow smallvolume snowmobile manufacturers to 

comply with the Phase 1 exhaust 

standards by certifying 50 percent of 

their snowmobiles in 2008, 50 percent 

of their snowmobiles in 2009, and 100 

percent in 2010. 

(3) Your vehicles for model years 

before 2011 may be exempt from the 

exhaust standards of this part if you 

meet the following criteria: 

(i) Produce your vehicles by installing 

engines covered by a valid certificate of 

conformity under 40 CFR part 90 that 

shows the engines meet standards for 

Class II engines for each engine’s model 

year. 

(ii) Do not change the engine in a way 

that we could reasonably expect to 

increase its exhaust emissions. 

(iii) The engine meets all applicable 

requirements from 40 CFR part 90. This 

applies to engine manufacturers, vehicle 

manufacturers who use these engines, 

and all other persons as if these engines 

were not used in recreational vehicles. 

(iv) Demonstrate that fewer than 50 

percent of the engine model’s total sales, 

from all companies, are used in 

recreational vehicles regulated under 

this part. 

(4) All vehicles certified or exempted 

under this paragraph (a) must be labeled 

according to our specifications. The 

label must include the following: 

(i) The heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your full corporate name and 

trademark. 

(iii) A description of the provisions 

under which the vehicle is either 

exempted or certified. 

(iv) Other information that we specify 

to you in writing. 

(b) Optional emission standards for 

ATVs. To meet ATV standards for 

model years before 2009, you may apply 

the exhaust emission standards by 

model year in paragraph (b)(1) of this 

section while measuring emissions 

using the engine-based test procedures 

in 40 CFR part 1065 instead of the 

chassis-based test procedures in 40 CFR 

part 86. 

(1) Follow Table 1 of this section for 

exhaust emission standards, while 

meeting all the other requirements of 

§ 1051.107. You may use emission 

credits to show compliance with these 

standards (see subpart H of this part). 

You may not exchange emission credits 

with engine families meeting the 

standards in § 1051.107(a). You may 

also not exchange credits between 

engine families certified to the 

standards for engines above 225 cc and 

engine families certified to the 

standards for engines below 225 cc. The 

phase-in percentages in the table specify 

the percentage of your U.S.-directed 

production that must comply with the 

emission standards for those model 

years. Table 1 follows:

TABLE 1 OF § 1051.145.—OPTIONAL EXHAUST EMISSION STANDARDS FOR ATVS (G/KW–HR) 

Engine displacement Model year Phase-in 

(percent) 

Emission standards Maximum 

allowable 

family emission limits HC+NOX CO 

HC+NOX

2006 .......................................................... 50 16.1 400 32.2 

<225 cc ..................................................... 2007 and 2008 ......................................... 100 16.1 400 32.2 

2006 .......................................................... 50 13.4 400 26.8 

≥225 cc ..................................................... 2007 and 2008 ......................................... 100 13.4 400 26.8 

(2) Measure emissions by testing the 

engine on a dynamometer with the 

steady-state duty cycle described in 

Table 2 of this section. 

(i) During idle mode, hold the speed 

within your specifications, keep the 

throttle fully closed, and keep engine 

torque under 5 percent of the peak 

torque value at maximum test speed. 

(ii) For the full-load operating mode, 

operate the engine at its maximum 

fueling rate. 

(iii) See part 1065 of this chapter for 

detailed specifications of tolerances and 

calculations. 

(iv) Table 2 follows:

TABLE 2 OF § 1051.145.—6-MODE DUTY CYCLE FOR RECREATIONAL ENGINES

Mode No. 

Engine speed 

(percent of 

maximum test 

speed) 

Torque (percent 

of maximum 

test torque at 

test speed) 

Minimum time 

in mode 

(minutes) 

Weighting factors 

1 ..................................................................................................................... 85 100 5.0 0.09 

2 ..................................................................................................................... 85 75 5.0 0.20 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68389

TABLE 2 OF § 1051.145.—6-MODE DUTY CYCLE FOR RECREATIONAL ENGINES—Continued

Mode No. 

Engine speed 

(percent of 

maximum test 

speed) 

Torque (percent 

of maximum 

test torque at 

test speed) 

Minimum time 

in mode 

(minutes) 

Weighting factors 

3 ..................................................................................................................... 85 50 5.0 0.29 

4 ..................................................................................................................... 85 25 5.0 0.30 

5 ..................................................................................................................... 85 10 5.0 0.07 

6 ..................................................................................................................... Idle 0 5.0 0.05 

(3) For ATVs certified to the standards 

in this paragraph (b) use the following 

equation to determine the normalized 

emission rate required by § 1051.135(g):

NER = 9.898 × log(HC + NOX ¥ 4.898

Where: 

HC +NOX is the sum of the cycle-weighted 

emission rates for hydrocarbons and oxides 

of nitrogen in g/kW–hr.

(c) Production-line testing. Vehicles 

certified to the Phase 1 or Phase 2 

standards in § 1051.103, or the Phase 1 

standards in §§ 1051.105 or 1051.107 

are exempt from the production-line 

testing requirements of subpart D of this 

part if they are certified without 

participating in the emission averaging, 

banking and trading program described 

in Subpart H of this part. 

(d) Phase-in flexibility. For model 

years before 2014, if you make a good 

faith effort to comply, but fail to meet 

the sales requirements of this part 

during a phase-in period for new 

standards, or fail to meet the average 

emission standards, we may approve an 

alternative remedy to offset the emission 

reduction deficit using future emission 

credits under this part. To apply for 

this, you must: 

(1) Submit a plan during the 

certification process for the first model 

year of the phase-in showing how you 

project to meet the sales requirement of 

the phase-in. 

(2) Notify us less than 30 days after 

you determine that you are likely to fail 

to comply with the sales requirement of 

the phase-in. 

(3) Propose a remedy that will achieve 

equivalent or greater emission 

reductions compared to the specified 

phase-in requirements, and that will 

offset the deficit within one model year. 

(e) Snowmobile testing. You may use 

the raw sampling procedures described 

in 40 CFR part 91, subparts D and E, for 

emission testing of snowmobiles for 

model years prior to 2010. For later 

model years, you may use these 

procedures if you show that they 

produce emission measurements 

equivalent to the otherwise specified 

test procedures. 

(f) Early credits. Snowmobile 

manufacturers may generate early 

emission credits in one of the following 

ways, by certifying some or all of their 

snowmobiles prior to 2006. Credit 

generating snowmobiles must meet all 

other applicable requirements of this 

part. No early credits may be generated 

by off-highway motorcycles or ATVs. 

(1) You may certify one or more 

snowmobile engine families to FELs (HC 

and CO) below the numerical level of 

the Phase 2 standards prior to the date 

when compliance with the Phase 1 

standard is otherwise required. Credits 

are calculated relative to the Phase 2 

standards. Credits generated under this 

paragraph (f)(1) may be used at any time 

before 2012. 

(2) You may certify a snowmobile 

engine family to FELs (HC and CO) 

below the numerical level of the Phase 

1 standards prior to the date when 

compliance with the Phase 1 standard is 

otherwise required. Credits are 

calculated relative to the Phase 1 

standards. Credits generated under this 

paragraph (f)(2) may only be used for 

compliance with the Phase 1 standards. 

You may generate credits under this 

paragraph (f)(2) without regard to 

whether the FELs are above or below the 

numerical level of the Phase 2 

standards. 

(g) Pull-ahead option for permeation 

emissions. Manufacturers choosing to 

comply with an early tank permeation 

standard of 3.0 g/m2/day prior to model 

year 2008 may be allowed to delay 

compliance with the 1.5 g/m2/day 

standard, for an equivalent number of 

tanks, subject to the following 

provisions: 

(1) Pull-ahead tanks meeting the 3.0 g/

m2/day standard must be certified and 

must meet all applicable requirements 

other than those limited to compliance 

with the exhaust standards. 

(2) Tanks for which compliance with 

the 1.5 g/m2/day standard is delayed 

must meet the 3.0 g/m2/day standard. 

(3) You may delay compliance with 

the 1.5 g/m2/day standard for one tank 

for one year for each tank-year of credit 

generated early. 

(4) You may not use credits for a tank 

that is larger than the tank from which 

you generated the credits.

Subpart C—Certifying Engine Families

§ 1051.201 What are the general 

requirements for submitting a certification 

application? 

(a) Send us an application for a 

certificate of conformity for each engine 

family. Each application is valid for 

only one model year. 

(b) The application must not include 

false or incomplete statements or 

information (see § 1051.255). 

(c) We may choose to ask you to send 

us less information than we specify in 

this subpart, but this would not change 

your recordkeeping requirements. 

(d) Use good engineering judgment for 

all decisions related to your application 

(see § 1068.5 of this chapter). 

(e) An authorized representative of 

your company must approve and sign 

the application.

§ 1051.205 What must I include in my 

application? 

In your application, do all the 

following things unless we ask you to 

send us less information: 

(a) Describe the engine family’s 

specifications and other basic 

parameters of the vehicle design. List 

the types of fuel you intend to use to 

certify the engine family (for example, 

gasoline, liquefied petroleum gas, 

methanol, or natural gas). List vehicle 

configurations and model names that 

are included in the engine family. 

(b) Explain how the emission-control 

systems operate.

(1) Describe in detail all the system 

components for controlling exhaust 

emissions, including auxiliary emissioncontrol devices and all fuel-system 

components you will install on any 

production or test vehicle or engine. 

Explain why any auxiliary emissioncontrol devices are not defeat devices 

(see § 1051.115(f)). Do not include 

68390 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

detailed calibrations for components 

unless we ask for them. 

(2) Describe the evaporative emission 

controls. 

(c) Describe the vehicles or engines 

you selected for testing and the reasons 

for selecting them. 

(d) Describe any special or alternate 

test procedures you used (see 

§ 1051.501). 

(e) Describe how you operated the 

engine or vehicle prior to testing, 

including the duty cycle and the 

number of engine operating hours used 

to stabilize emission levels, and any 

scheduled maintenance you performed. 

(f) List the specifications of the test 

fuels to show that they fall within the 

required ranges. 

(g) Identify the engine family’s useful 

life. 

(h) Propose maintenance and use 

instructions for the ultimate buyer of 

each new vehicle (see § 1051.125). 

(i) Propose emission-related 

installation instructions if you sell 

engines for someone else to install in a 

vehicle (see § 1051.130). 

(j) Propose an emission control 

information label. 

(k) Present emission data to show that 

you meet emission standards. 

(1) Present exhaust emission data for 

HC, NOX (as applicable), and CO on a 

test vehicle or engine to show your 

vehicles meet the emission standards 

we specify in subpart B of this part. 

Show these figures before and after 

applying deterioration factors for each 

vehicle or engine. Include test data for 

each type of fuel from part 1065, subpart 

C, of this chapter on which you intend 

for vehicles in the engine family to 

operate (for example, gasoline, liquefied 

petroleum gas, methanol, or natural 

gas). If we specify more than one grade 

of any fuel type (for example, a summer 

grade and winter grade of gasoline), you 

only need to submit test data for one 

grade, unless the regulations of this part 

explicitly specify otherwise for your 

vehicle. 

(2) Present evaporative test data for 

HC to show your vehicles meet the 

evaporative emission standards we 

specify in subpart B of this part. Show 

these figures before and after applying 

deterioration factors for each vehicle or 

engine, where applicable. If you did not 

perform the testing, identify the source 

of the test data. 

(3) Note that § 1051.235 and 1051.245 

allows you to submit an application in 

certain cases without new emission 

data. 

(l) Report all test results, including 

those from invalid tests or from any 

nonstandard tests (such as 

measurements based on exhaust 

concentrations in parts per million). 

(m) Identify the engine family’s 

deterioration factors and describe how 

you developed them. Present any 

emission test data you used for this. 

(n) Describe all adjustable operating 

parameters and other adjustments (see 

§ 1051.115 (c) and (d)), including the 

following: 

(1) The nominal or recommended 

setting. 

(2) The intended physically adjustable 

range, including production tolerances 

if they affect the range. 

(3) The limits or stops used to 

establish adjustable ranges. 

(4) The air-fuel ratios or jet chart 

specified in § 1051.115(d). 

(o) State that you operated your test 

vehicles or engines according to the 

specified procedures and test 

parameters using the fuels described in 

the application to show you meet the 

requirements of this part. 

(p) State unconditionally that all the 

vehicles (and/or engines) in the engine 

family comply with the requirements of 

this part, other referenced parts, and the 

Clean Air Act. 

(q) Include estimates of U.S.-directed 

production volumes. 

(r) Show us how to modify your 

production vehicles to measure 

emissions in the field (see § 1051.115). 

(s) Add other information to help us 

evaluate your application if we ask for 

it.

§ 1051.210 May I get preliminary approval 

before I complete my application? 

If you send us information before you 

finish the application, we will review it 

and make any appropriate 

determinations listed in § 1051.215(b)(1) 

through (5). Decisions made under this 

section are considered to be preliminary 

approval. We will generally not 

disapprove applications under 

§ 1051.215(b)(1) through (5) where we 

have given you preliminary approval, 

unless we find new and substantial 

information supporting a different 

decision. 

(a) If you request preliminary 

approval related to the upcoming model 

year or the model year after that, we will 

make a ‘‘best-efforts’’ attempt to make 

the appropriate determinations as soon 

as possible. We will generally not 

provide preliminary approval related to 

a future model year more than two years 

ahead of time. 

(b) If we have published general 

guidance that serves as our 

determination for your situation, you 

may consider that to be preliminary 

approval.

§ 1051.215 What happens after I complete 

my application? 

(a) If any of the information in your 

application changes after you submit it, 

amend it as described in § 1051.225. 

(b) We may deny your application 

(that is, determine that we cannot 

approve it without revision) if the 

engine family does not meet the 

requirements of this part or the Act. For 

example: 

(1) If you inappropriately use the 

provisions of § 1051.230(c) or (d) to 

define a broader or narrower engine 

family, we will require you to redefine 

your engine family. 

(2) If we determine you did not 

appropriately select the useful life as 

specified in § 1051.103(c), § 1051.105(c), 

or § 1051.107(c), we will require you to 

lengthen it. 

(3) If we determine you did not 

appropriately select deterioration factors 

under § 1051.240(c), we will require you 

to revise them. 

(4) If your proposed emission control 

information label is inconsistent with 

§ 1051.135, we will require you to 

change it (and tell you how, if possible). 

(5) If you require or recommend 

maintenance and use instructions 

inconsistent with § 1051.125, we will 

require you to change them. 

(6) If we find any other problem with 

your application, we will tell you what 

the problem is, and what needs to be 

corrected. 

(c) If we determine your application is 

complete and shows that the engine 

family meets all the requirements of this 

part and the Act, we will issue a 

certificate of conformity for your engine 

family for that model year. If we deny 

the application, we will explain why in 

writing. You may then ask us to hold a 

hearing to reconsider our decision (see 

§ 1051.820).

§ 1051.220 How do I amend the 

maintenance instructions in my 

application? 

Send the Designated Officer a request 

to amend your application for 

certification for an engine family if you 

want to change the emission-related 

maintenance instructions in a way that 

could affect emissions. In your request, 

describe the proposed changes to the 

maintenance instructions. 

(a) If you are decreasing the specified 

level of maintenance, you may 

distribute the new maintenance 

instructions to your customers 30 days 

after we receive your request, unless we 

disapprove your request. We may 

approve a shorter time or waive this 

requirement. 

(b) If your requested change would 

not decrease the specified level of 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68391

maintenance, you may distribute the 

new maintenance instructions anytime 

after you send your request. 

(c) If you are correcting or clarifying 

your maintenance instructions or if you 

are changing instructions for 

maintenance unrelated to emission 

controls, the requirements of this 

section do not apply.

§ 1051.225 How do I amend my application 

to include new or modified vehicles or to 

change an FEL? 

(a) You must amend your application 

for certification before you take either of 

the following actions: 

(1) Add a vehicle to a certificate of 

conformity.

(2) Make a design change for a 

certified engine family that may affect 

emissions or an emission-related part 

over the vehicle’s lifetime. 

(3) Modify an FEL for an engine 

family, as described in paragraph (f) of 

this section. 

(b) Send the Designated Officer a 

request to amend the application for 

certification for an engine family. In 

your request, do all of the following: 

(1) Describe the vehicle model or 

configuration you are adding or 

changing. 

(2) Include engineering evaluations or 

reasons why the original test vehicle or 

engine is or is not still appropriate. 

(3) If the original test vehicle or 

engine for the engine family is not 

appropriate to show compliance for the 

new or modified vehicle, include new 

test data showing that the new or 

modified vehicle meets the 

requirements of this part. 

(c) You may start producing the new 

or modified vehicle anytime after the 

time at which you send us your request 

(for example, the day you mail your 

request). If we determine that the 

affected vehicles do not meet applicable 

requirements, we will require you to 

cease production of the vehicles and to 

recall and correct the vehicles at no 

expense to the owner. If you choose to 

produce vehicles under this paragraph, 

we will consider that to be consent to 

recall all vehicles that we determine do 

not meet applicable standards and other 

requirements and to remedy the 

nonconformity at no expense to the 

owner. 

(d) You must give us test data within 

30 days if we ask for more testing, or 

stop producing the vehicle if you are not 

able to do this. You may give us an 

engineering evaluation instead of test 

data if we agree that you can address 

our questions without test data. 

(e) If we determine that the certificate 

of conformity would not cover your new 

or modified vehicle, we will send you 

a written explanation of our decision. In 

this case, you may no longer produce 

these vehicles, though you may ask for 

a hearing for us to reconsider our 

decision (see § 1051.820). 

(f) You may ask to change your FEL 

in the following cases: 

(1) You may ask to raise your FEL for 

your engine family after the start of 

production. You must use the higher 

FEL for the entire family to calculate 

your average emission level under 

subpart H of this part. In your request, 

you must demonstrate that you will still 

be able to comply with the applicable 

average emission standards as specified 

in subparts B and H of this part. 

(2) You may ask to lower the FEL for 

your engine family after the start of 

production only when you have test 

data from production vehicles 

indicating that your vehicles comply 

with the lower FEL. You may create a 

separate subfamily with the lower FEL. 

Otherwise, you must use the higher FEL 

for the family to calculate your average 

emission level under subpart H of this 

part. 

(3) If you change the FEL during 

production, you must include the new 

FEL on the emission control information 

label for all vehicles produced after the 

change.

§ 1051.230 How do I select engine 

families? 

(a) Divide your product line into 

families of vehicles that you expect to 

have similar emission characteristics. 

Your engine family is limited to a single 

model year. 

(b) Group vehicles in the same engine 

family if they are the same in all of the 

following aspects: 

(1) The combustion cycle. 

(2) The cooling system (water-cooled 

vs. air-cooled). 

(3) Configuration of the fuel system 

(for example, port fuel injection vs. 

carburetion). 

(4) Method of air aspiration. 

(5) The number, location, volume, and 

composition of catalytic converters. 

(6) Type of fuel. 

(7) The number, arrangement, and 

approximate bore diameter of cylinders. 

(8) Evaporative emission controls. 

(c) In some cases you may subdivide 

a group of vehicles that is identical 

under paragraph (b) of this section into 

different engine families. To do this 

under normal circumstances, you must 

show you expect emission 

characteristics to be different during the 

useful life or that any of the following 

engine characteristics are different: 

(1) Method of actuating intake and 

exhaust timing (poppet valve, reed 

valve, rotary valve, etc.). 

(2) Location or size of intake and 

exhaust valves or ports. 

(3) Configuration of the combustion 

chamber. 

(4) Cylinder stroke or actual bore 

diameter. 

(5) Exhaust system. 

(d) In some cases, you may include 

different engines in the same engine 

family, even though they are not 

identical with respect to the things 

listed in paragraph (b) of this section. 

(1) If different engines have similar 

emission characteristics during the 

useful life, we may approve grouping 

them in the same engine family. 

(2) If you are a small-volume 

manufacturer, you may group engines 

from any vehicles subject to the same 

emission standards into a single engine 

family. This does not change any of the 

requirements of this part for showing 

that an engine family meets emission 

standards. 

(e) If you cannot appropriately define 

engine families by the method in this 

section, we will define them based on 

features related to emission 

characteristics. 

(f) You may ask us to create separate 

families for exhaust emissions and 

evaporative emissions. If we do this, list 

both families on the emission control 

information label.

§ 1051.235 What emission testing must I 

perform for my application for a certificate 

of conformity? 

This section describes the emission 

testing you must perform to show 

compliance with the emission standards 

in subpart B of this part during 

certification. 

(a) Test your emission-data vehicles 

using the procedures and equipment 

specified in subpart F of this part. 

Where specifically required or allowed, 

test the engine instead of the vehicle. 

For evaporative emissions, test the fuel 

system components separate from the 

vehicle. 

(b) Select from each engine family a 

test vehicle or engine, and a fuel system 

for each fuel type with a configuration 

that is most likely to exceed the 

emission standards, using good 

engineering judgment, consider the 

emission levels of all exhaust 

constituents over the full useful life of 

the vehicle. 

(c) You may use previously generated 

emission data in the following cases: 

(1) You may submit emission data for 

equivalent engine families from 

previous years instead of doing new 

tests, but only if the data show that the 

test vehicle or engine would meet all the 

requirements for the latest vehicle or 

engine models. We may require you to 

68392 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

do new emission testing if we believe 

the latest vehicle or engine models 

could be substantially different from the 

previously tested vehicle or engine. 

(2) You may submit emission data for 

equivalent engine families performed to 

show compliance with other standards 

(such as California standards) instead of 

doing new tests, but only if the data 

show that the test vehicle or engine 

would meet all of this part’s 

requirements. 

(3) You may submit evaporative 

emission data measured by a fuel 

system supplier. We may require you to 

verify that the testing was conducted in 

accordance with the applicable 

regulations. 

(d) We may choose to measure 

emissions from any of your test vehicles 

or engines (or other vehicles or engines 

in the engine family). 

(1) If we do this, you must provide the 

test vehicle or engine at the location we 

select. We may decide to do the testing 

at your plant or any other facility. If we 

choose to do the testing at your plant, 

you must schedule it as soon as possible 

and make available the instruments and 

equipment we need. 

(2) If we measure emissions on one of 

your test vehicles or engines, the results 

of that testing become the official data 

for the vehicle or engine. Unless we 

later invalidate this data, we may decide 

not to consider your data in determining 

if your engine family meets the emission 

standards. 

(3) Before we test one of your vehicles 

or engines, we may set its adjustable 

parameters to any point within the 

physically adjustable ranges (see 

§ 1051.115(c)). We may also adjust the 

air-fuel ratio within the adjustable range 

specified in § 1051.115(d).

(4) Calibrate the test vehicle or engine 

within normal production tolerances for 

anything not covered by § 1051.115(c) 

and (d) of this section. 

(e) If you are a small-volume 

manufacturer, you may certify by design 

on the basis of preexisting exhaust 

emission data for similar technologies 

and other relevant information, and in 

accordance with good engineering 

judgment. In those cases, you are not 

required to test your vehicles. 

This is called ‘‘design-certification’’ or 

‘‘certifying by design.’’ To certify by 

design, you must show that the 

technology used on your engines is 

sufficiently similar to the previously 

tested technology that a person 

reasonably familiar with emissioncontrol technology would believe that 

your engines will comply with the 

emission standards. 

(f) For fuel tanks that are certified 

based on permeability treatments for 

plastic fuel tanks, you do not need to 

test each engine family. However, you 

must use good engineering judgment to 

determine permeation rates for the 

tanks. This requires that more than one 

fuel tank be tested for each set of 

treatment conditions. You may not use 

test data from a given tank for any other 

tanks that have thinner walls. You may, 

however, use test data from a given tank 

for other tanks that have thicker walls. 

This applies to both low-hour (i.e., 

baseline testing) and durability testing. 

Note that § 1051.245 allows you to use 

design-based certification instead of 

generating new emission data.

§ 1051.240 How do I demonstrate that my 

engine family complies with exhaust 

emission standards? 

(a) For certification, your engine 

family is considered to be in compliance 

with the numerical exhaust emission 

standards in subpart B of this part if all 

emission-data vehicles representing that 

family have test results showing 

emission levels at or below the 

standards. 

(b) Your engine family does not 

comply if any emission-data vehicle 

representing that family has test results 

showing emission levels above the 

standards for any pollutant. 

(c) To compare emission levels from 

the emission-data vehicle with the 

emission standards, apply deterioration 

factors (to three significant figures) to 

the measured emission levels. The 

deterioration factor is a number that 

shows the relationship between exhaust 

emissions at the end of useful life and 

at the low-hour test point. Section 

1051.520 specifies how to test your 

vehicle to develop deterioration factors 

that estimate the change in emissions 

over your vehicle’s full useful life. 

Small-volume manufacturers may use 

assigned deterioration factors that we 

establish. Apply the deterioration 

factors as follows: 

(1) For vehicles that use 

aftertreatment technology, such as 

catalytic converters, the exhaust 

deterioration factor is the ratio of 

exhaust emissions at the end of useful 

life to exhaust emissions at the low-hour 

test point. Adjust the official emission 

results for each tested vehicle at the 

selected test point by multiplying the 

measured emissions by the deterioration 

factor. If the factor is less than one, use 

one. 

(2) For vehicles that do not use 

aftertreatment technology, the exhaust 

deterioration factor is the difference 

between exhaust emissions at the end of 

useful life and exhaust emissions at the 

low-hour test point. Adjust the official 

emission results for each tested vehicle 

at the selected test point by adding the 

factor to the measured emissions. If the 

factor is less than zero, use zero. 

(d) After adjusting the emission levels 

for deterioration, round them to the 

same number of decimal places as the 

emission standard. Compare the 

rounded emission levels to the emission 

standard for each test vehicle.

§ 1051.245 How do I demonstrate that my 

engine family complies with evaporative 

emission standards? 

(a) For certification, your engine 

family is considered in compliance with 

the evaporative emission standards in 

subpart B of this part if you do either 

of the following: 

(1) You have test results showing 

permeation emission levels from the 

fuel tanks and fuel lines in the family 

are at or below the standards in 

§ 1051.110 throughout the useful life. 

(2) You comply with the design 

specifications in paragraph (e) of this 

section. 

(b) Your engine family does not 

comply if any fuel tank or fuel line 

representing that family has test results 

showing emission levels above the 

standards. 

(c) To compare emission levels with 

the emission standards, apply 

deterioration factors (to three significant 

figures) to the measured emission levels. 

The deterioration factor is a number that 

shows the relationship between 

emissions at the end of useful life and 

at the low-hour test point. For 

permeation emissions, the deterioration 

factor is the difference between 

evaporative emissions at the end of 

useful life and evaporative emissions at 

the low-hour test point. Adjust the 

official emission results for each tested 

vehicle at the selected test point by 

adding the factor to the measured 

emissions. If the factor is less than zero, 

use zero. 

(1) Section 1051.515 specifies how to 

test your fuel tanks to develop 

deterioration factors that estimate the 

change in emissions over your vehicle’s 

full useful life. Small-volume 

manufacturers may use assigned 

deterioration factors that we establish. 

Apply the deterioration factors as 

follows: 

(i) Calculate the deterioration factor 

from emission tests performed before 

and after the durability tests described 

in § 1051.515(c) and using good 

engineering judgment. The durability 

tests described in § 1051.515(c) 

represent the minimum requirements 

for determining a deterioration factor. 

You may not use a deterioration factor 

that is less than the difference between 

evaporative emissions before and after 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68393

the durability tests described in 

§ 1051.515(c). 

(ii) Do not apply the deterioration 

factor to test results for tanks that have 

already undergone these durability tests. 

(2) Determine the deterioration factor 

for fuel lines using good engineering 

judgment. 

(d) After adjusting the emission levels 

for deterioration, round them to the 

same number of decimal places as the 

emission standard. Compare the 

rounded emission levels to the emission 

standard for each test vehicle. 

(e) You may demonstrate for 

certification that your engine family 

complies with the evaporative emission 

standards by demonstrating that you use 

the following control technologies: 

(1) For certification to the standards 

specified in § 1051.110(a) with the 

control technologies shown in the 

following table:

TABLE 1 OF § 1051.245.—DESIGN-CERTIFICATION TECHNOLOGIES FOR CONTROLLING TANK PERMEATION

If the tank permeability control technology is . . . Then you may design-certify with a tank emission level of . . . 

(i) A metal fuel tank with no non-metal gaskets or with gaskets made from a low-permeability 

material 1.

1.5 g/m 2/day. 

(ii) A metal fuel tank with non-metal gaskets with an exposed surface area of 1000 mm 2 or 

less.

1.5 g/m 2/day. 

1Permeability of 10 g/m 2/day or less according to ASTM D 814–95 (incorporated by reference in § 1051.810). 

(2) For certification to the standards 

specified in § 1051.110(b) with the 

control technologies shown in the 

following table:

TABLE 2 OF § 1051.245.—DESIGN-CERTIFICATION TECHNOLOGIES FOR CONTROLLING FUEL-LINE PERMEATION

If the fuel-line permeability control technology is . . . jennifer Then you may design-certify with a fuel line 

permeation emission level of . . . 

(i) Hose meeting Category 1 permeation specifications in SAE J2260 (incorporated by reference in § 1051.810).15 g/m2/day. 

(ii) Hose meeting the R11–A or R12 permeation specifications in SAE J30 (incorporated by reference in § 1051.810).15 g/m2/day. 

(3) We may establish additional 

design certification options where we 

find that new test data demonstrate that 

the use of other technology designs will 

ensure compliance with the applicable 

emission standards.

§ 1051.250 What records must I keep and 

make available to EPA? 

(a) Organize and maintain the 

following records to keep them readily 

available; we may review these records 

at any time: 

(1) A copy of all applications and any 

summary information you sent us. 

(2) Any of the information we specify 

in § 1051.205 that you did not include 

in your application. 

(3) A detailed history of each 

emission-data vehicle. In each history, 

describe all of the following: 

(i) The emission-data vehicle’s 

construction, including its origin and 

buildup, steps you took to ensure that 

it represents production vehicles, any 

components you built specially for it, 

and all emission-related components. 

(ii) How you accumulated vehicle or 

engine operating hours, including the 

dates and the number of hours 

accumulated. 

(iii) All maintenance (including 

modifications, parts changes, and other 

service) and the dates and reasons for 

the maintenance. 

(iv) All your emission tests, including 

documentation on routine and standard 

tests, as specified in part 1065 of this 

chapter or other applicable test 

procedures regulations, and the date 

and purpose of each test. 

(v) All tests to diagnose engine or 

emission-control performance, giving 

the date and time of each and the 

reasons for the test. 

(vi) Any other significant events. 

(b) Keep routine data from emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in paragraph (a) of 

this section for eight years after we issue 

your certificate. 

(c) Store these records in any format 

and on any media, as long as you can 

promptly send us organized, written 

records in English if we ask for them. 

(d) Send us copies of any 

maintenance instructions or 

explanations if we ask for them.

§ 1051.255 When may EPA deny, revoke, 

or void my certificate of conformity? 

(a) We may deny your application for 

certification if your engine family fails 

to comply with emission standards or 

other requirements of the regulation or 

the Act. Our decision may be based on 

any information available to us showing 

you do not meet emission standards or 

other requirements, including any 

testing that we conduct under paragraph 

(g) of this section. If we deny your 

application, we will explain why in 

writing. 

(b) In addition, we may deny your 

application or revoke your certificate if 

you do any of the following: 

(1) Refuse to comply with any testing 

or reporting requirements. 

(2) Submit false or incomplete 

information (paragraph (d) of this 

section applies if this is fraudulent). 

(3) Render inaccurate any test data. 

(4) Deny us from completing 

authorized activities despite our 

presenting a warrant or court order (see 

§ 1068.20 of this chapter). 

(5) Produce vehicle or engines for 

importation into the United States at a 

location where local law prohibits us 

from carrying out authorized activities. 

(c) We may void your certificate if you 

do not keep the records we require or 

do not give us information when we ask 

for it. 

(d) We may void your certificate if we 

find that you intentionally submitted 

false or incomplete information. 

(e) We may void your certificate for 

any family certified to an FEL above the 

allowable average if you fail to show in 

your end-of-year report that your 

average emission levels are below the 

68394 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

applicable standards in subpart B of this 

part, or that you have sufficient credits 

to offset a credit deficit for the model 

year. 

(f) If we deny your application or 

revoke or void your certificate, you may 

ask for a hearing (see § 1051.820). Any 

such hearing will be limited to 

substantial and factual issues. 

(g) We may conduct confirmatory 

testing of your vehicles as part of 

certification. We may deny your 

application for certification or revoke 

your certificate if your vehicles fail to 

comply with emission standards or 

other requirements during confirmatory 

testing.

Subpart D—Testing Production-line 

Engines

§ 1051.301 When must I test my 

production-line vehicles or engines? 

(a) If you certify vehicles to the 

standards of this part, you must test 

them as described in this subpart. If 

your vehicle is certified to g/kW-hr 

standards, then test the engine; 

otherwise, test the vehicle. The 

provisions of this subpart do not apply 

to small-volume manufacturers. 

(b) We may suspend or revoke your 

certificate of conformity for certain 

engine families if your production-line 

vehicles or engines do not meet the 

requirements of this part or you do not 

fulfill your obligations under this 

subpart (see §§ 1051.325 and 1051.340). 

(c) Other requirements apply to 

vehicles and engines that you produce. 

Other regulatory provisions authorize us 

to suspend, revoke, or void your 

certificate of conformity, or order recalls 

for engines families without regard to 

whether they have passed these 

production-line testing requirements. 

The requirements of this subpart do not 

affect our ability to do selective 

enforcement audits, as described in part 

1068 of this chapter. Individual vehicles 

and engines in families that pass these 

production-line testing requirements 

must also conform to all applicable 

regulations of this part and part 1068 of 

this chapter. 

(d) You may ask to use an alternate 

program for testing production-line 

vehicles or engines. In your request, you 

must show us that the alternate program 

gives equal assurance that your products 

meet the requirements of this part. If we 

approve your alternate program, we may 

waive some or all of this subpart’s 

requirements. 

(e) If you certify an engine family with 

carryover emission data, as described in 

§ 1051.235(c), and these equivalent 

engine families consistently pass the 

production-line testing requirements 

over the preceding two-year period, you 

may ask for a reduced testing rate for 

further production-line testing for that 

family. The minimum testing rate is one 

vehicle or engine per engine family. If 

we reduce your testing rate, we may 

limit our approval to a any number of 

model years. In determining whether to 

approve your request, we may consider 

the number of vehicles or engines that 

have failed the emission tests. 

(f) We may ask you to make a 

reasonable number of production-line 

vehicles or engines available for a 

reasonable time so we can test or 

inspect them for compliance with the 

requirements of this part. 

(g) The requirements of this subpart 

do not apply to engine families certified 

under the provisions of § 1051.630.

§ 1051.305 How must I prepare and test my 

production-line vehicles or engines? 

(a) Test procedures. Test your 

production-line vehicles or engines 

using the applicable testing procedures 

in subpart F of this part to show you 

meet the emission standards in subpart 

B of this part. 

(b) Modifying a test vehicle or engine. 

Once a vehicle or engine is selected for 

testing (see § 1051.310), you may adjust, 

repair, prepare, or modify it or check its 

emissions only if one of the following is 

true: 

(1) You document the need for doing 

so in your procedures for assembling 

and inspecting all your production 

vehicles or engines and make the action 

routine for all the vehicles or engines in 

the engine family. 

(2) This subpart otherwise specifically 

allows your action. 

(3) We approve your action in 

advance. 

(c) Malfunction. If a vehicle or engine 

malfunction prevents further emission 

testing, ask us to approve your decision 

to either repair it or delete it from the 

test sequence. 

(d) Setting adjustable parameters. 

Before any test, we may adjust or 

require you to adjust any adjustable 

parameter to any setting within its 

physically adjustable range. 

(1) We may adjust idle speed outside 

the physically adjustable range as 

needed only until the vehicle or engine 

has stabilized emission levels (see 

paragraph (e) of this section). We may 

ask you for information needed to 

establish an alternate minimum idle 

speed. 

(2) We may make or specify 

adjustments within the physically 

adjustable range by considering their 

effect on emission levels, as well as how 

likely it is someone will make such an 

adjustment with in-use vehicles. 

(3) We may adjust the air-fuel ratio 

within the adjustable range specified in 

§ 1051.115(d). 

(e) Stabilizing emission levels. Before 

you test production-line vehicles or 

engines, you may operate the vehicle or 

engine to stabilize the emission levels. 

Using good engineering judgment, 

operate your vehicles or engines in a 

way that represents the way they will be 

used. You may operate each vehicle or 

engine for no more than the greater of 

two periods: 

(1) 50 hours. 

(2) The number of hours you operated 

the emission-data vehicle used for 

certifying the engine family (see 40 CFR 

part 1065, subpart E, or the applicable 

regulations governing how you should 

prepare your test vehicle or engine). 

(f) Damage during shipment. If 

shipping a vehicle or engine to a remote 

facility for production-line testing 

makes necessary an adjustment or 

repair, you must wait until after the 

after the initial emission test to do this 

work. We may waive this requirement if 

the test would be impossible or unsafe, 

or if it would permanently damage the 

vehicle or engine. Report to us, in your 

written report under § 1051.345, all 

adjustments or repairs you make on test 

vehicles or engines before each test. 

(g) Retesting after invalid tests. You 

may retest a vehicle or engine if you 

determine an emission test is invalid. 

Explain in your written report reasons 

for invalidating any test and the 

emission results from all tests. If you 

retest a vehicle or engine, you may ask 

us to substitute results of the new tests 

for the original ones. You must ask us 

within ten days of testing. We will 

generally answer within ten days after 

we receive your information.

§ 1051.310 How must I select vehicles or 

engines for production-line testing? 

(a) Use test results from two vehicles 

or engines for each engine family to 

calculate the required sample size for 

the test period. Update this calculation 

with each test. 

(1) For engine families with projected 

annual sales of at least 1600, the test 

periods are consecutive quarters (3 

months). If your annual production 

period is less than 12 months long, 

define your test periods by dividing 

your annual production period into 

approximately equal segments of 70 to 

125 calendar days.

(2) For engine families with projected 

annual sales below 1600, the test period 

is the whole model year. 

(b) Early in each test period, randomly 

select and test an engine from the end 

of the assembly line for each engine 

family. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68395

(1) In the first test period for newly 

certified engines, randomly select and 

test one more engine. Then, calculate 

the required sample size for the test 

period as described in paragraph (c) of 

this section. 

(2) In later test periods or for engine 

families relying on previously submitted 

test data, combine the new test result 

with the last test result from the 

previous test period. Then, calculate the 

required sample size for the new test 

period as described in paragraph (c) of 

this section. 

(c) Calculate the required sample size 

for each engine family. Separately 

calculate this figure for HC, NOX (or 

HC+NOX), and CO (and other regulated 

pollutants). The required sample size is 

the greater of these calculated values. 

Use the following equation:

N

t

x = ×

−





 



 + (

(

95

2

1 σ

STD)

Where: 

N = Required sample size for the model 

year. 

t95 = 95% confidence coefficient, which 

depends on the number of tests 

completed, n, as specified in the table 

in paragraph (c)(1) of this section. It 

defines 95% confidence intervals for 

a one-tail distribution. 

x = Mean of emission test results of the 

sample. 

STD = Emission standard (or family 

emission limit, if applicable). 

s = Test sample standard deviation (see 

paragraph (c)(2) of this section).

(1) Determine the 95% confidence 

coefficient, t95, from the following table:

n t95 n t95 n t95

2 6.31 12 1.80 22 1.72 

3 2.92 13 1.78 23 1.72 

4 2.35 14 1.77 24 1.71 

5 2.13 15 1.76 25 1.71 

6 2.02 16 1.75 26 1.71 

7 1.94 17 1.75 27 1.71 

8 1.90 18 1.74 28 1.70 

9 1.86 19 1.73 29 1.70 

10 1.83 20 1.73 30+ 1.70 

11 1.81 21 1.72 ............................ ...........................................

(2) Calculate the standard deviation, 

s, for the test sample using the 

following formula:

σ = −

−

∑(Xi x)

n

2

1

Where: 

Xi = Emission test result for an 

individual vehicle or engine. 

n = The number of tests completed in 

an engine family. 

(d) Use final deteriorated test results 

to calculate the variables in the 

equations in paragraph (c) of this 

section (see § 1051.315(a)). 

(e) After each new test, recalculate the 

required sample size using the updated 

mean values, standard deviations, and 

the appropriate 95-percent confidence 

coefficient. 

(f) Distribute the remaining vehicle or 

engine tests evenly throughout the rest 

of the year. You may need to adjust your 

schedule for selecting vehicles or 

engines if the required sample size 

changes. Continue to randomly select 

vehicles or engines from each engine 

family; this may involve testing vehicles 

or engines that operate on different 

fuels. 

(g) Continue testing any engine family 

for which the sample mean, x, is greater 

than the emission standard. This applies 

if the sample mean for either HC, NOX

(or HC+NOX), or CO (or other regulated 

pollutants) is greater than the emission 

standard. Continue testing until one of 

the following things happens: 

(1) The sample size, n, for an engine 

family is greater than the required 

sample size, N, and the sample mean, x, 

is less than or equal to the emission 

standard. For example, if N = 3.1 after 

the third test, the sample-size 

calculation does not allow you to stop 

testing. 

(2) The engine family does not 

comply according to § 1051.325. 

(3) You test 30 vehicles or engines 

from the engine family. 

(4) You test one percent of your 

projected annual U.S.-directed 

production volume for the engine 

family.

(5) You choose to declare that the 

engine family fails the requirements of 

this subpart. (h) If the sample-size 

calculation allows you to stop testing for 

a pollutant, you must continue 

measuring emission levels of that 

pollutant for any additional tests 

required under this section. However, 

you need not continue making the 

calculations specified in this section for 

that pollutant. This paragraph does not 

affect the requirements in section 

§ 1051.320. 

(i) You may elect to test more 

randomly chosen vehicles or engines 

than we require. Include these vehicles 

or engines in the sample-size 

calculations.

§ 1051.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

This section describes the pass-fail 

criteria for the production-line testing 

requirements. We apply this criteria on 

an engine family basis. See § 1051.320 

for the requirements that apply to 

individual vehicles or engines that fail 

a production-line test. (a) Calculate your 

test results. Round them to the number 

of decimal places in the emission 

standard expressed to one more decimal 

place. 

(1) Initial and final test results.

Calculate and round the test results for 

each vehicle or engine. If you do several 

tests on a vehicle or engine, calculate 

the initial test results, then add them 

together and divide by the number of 

tests and round for the final test results 

on that vehicle or engine. 

(2) Final deteriorated test results.

Apply the deterioration factor for the 

engine family to the final test results 

(see § 1051.240(c)). 

(b) Construct the following CumSum 

Equation for each engine family for HC, 

NOX (or HC+NOX), and CO emissions 

(and other regulated pollutants):

C X (STD i -1 i = +− + × Ci 0 25 . ) σ

Where: 

Ci = The current CumSum statistic. 

Ci–1 = The previous CumSum statistic. 

For the first test, the CumSum statistic 

is 0 (i.e. C1 = 0). 

Xi = The current emission test result for 

an individual vehicle or engine. 

STD = Emission standard.

(c) Use final deteriorated test results 

to calculate the variables in the equation 

in paragraph (b) of this section (see 

§ 1051.315(a)). 

(d) After each new test, recalculate the 

CumSum statistic. 


ER08no02.008</MATH> ER08no02.009</MATH> ER08NO02.010</MATH>
68396 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(e) If you test more than the required 

number of vehicles or engines, include 

the results from these additional tests in 

the CumSum Equation. 

(f) After each test, compare the 

current CumSum statistic, Ci, to the 

recalculated Action Limit, H, defined as 

H = 5.0 × s. 

(g) If the CumSum statistic exceeds 

the Action Limit in two consecutive 

tests, the engine family fails the 

production-line testing requirements of 

this subpart. Tell us within ten working 

days if this happens. You may request 

to amend the application for 

certification to raise the FEL of the 

engine family at this point if you meet 

the requirements of § 1051.225(f). 

(h) If you amend the application for 

certification for an engine family under 

§ 1051.225, do not change any previous 

calculations of sample size or CumSum 

statistics for the model year.

§ 1051.320 What happens if one of my 

production-line vehicles or engines fails to 

meet emission standards? 

(a) If you have a production-line 

vehicle or engine with final deteriorated 

test results exceeding one or more 

emission standards (see § 1051.315(a)), 

the certificate of conformity is 

automatically suspended for that failing 

vehicle or engine. You must take the 

following actions before your certificate 

of conformity can cover that vehicle or 

engine: 

(1) Correct the problem and retest the 

vehicle or engine to show it complies 

with all emission standards. 

(2) Include in your written report a 

description of the test results and the 

remedy for each vehicle or engine (see 

§ 1051.345). 

(b) You may request to amend the 

application for certification to raise the 

FEL of the entire engine family at this 

point (see § 1051.225).

§ 1051.325 What happens if an engine 

family fails the production-line 

requirements? 

(a) We may suspend your certificate of 

conformity for an engine family if it fails 

under § 1051.315. The suspension may 

apply to all facilities producing vehicles 

or engines from an engine family, even 

if you find noncompliant vehicles or 

engines only at one facility. 

(b) We will tell you in writing if we 

suspend your certificate in whole or in 

part. We will not suspend a certificate 

until at least 15 days after the engine 

family fails. The suspension is effective 

when you receive our notice. 

(c) Up to 15 days after we suspend the 

certificate for an engine family, you may 

ask for a hearing (see § 1051.820). If we 

agree before a hearing that we used 

erroneous information in deciding to 

suspend the certificate, we will reinstate 

the certificate. 

(d) Section 1051.335 specifies steps 

you must take to remedy the cause of 

the production-line failure. All the 

vehicles you have produced since the 

end of the last test period are presumed 

noncompliant and should be addressed 

in your proposed remedy. We may 

require you to apply the remedy to 

engines produced earlier if we 

determine that the cause of the failure 

is likely to have affected the earlier 

engines. 

(e) You may request to amend the 

application for certification to raise the 

FEL of the engine family before or after 

we suspend your certificate if you meet 

the requirements of § 1051.225(f).

§ 1051.330 May I sell vehicles from an 

engine family with a suspended certificate 

of conformity? 

You may sell vehicles that you 

produce after we suspend the engine 

family’s certificate of conformity under 

§ 1051.315 only if one of the following 

occurs: 

(a) You test each vehicle or engine 

you produce and show it complies with 

emission standards that apply. 

(b) We conditionally reinstate the 

certificate for the engine family. We may 

do so if you agree to recall all the 

affected vehicles and remedy any 

noncompliance at no expense to the 

owner if later testing shows that the 

engine family still does not comply.

§ 1051.335 How do I ask EPA to reinstate 

my suspended certificate? 

(a) Send us a written report asking us 

to reinstate your suspended certificate. 

In your report, identify the reason for 

noncompliance, propose a remedy for 

the engine family, and commit to a date 

for carrying it out. In your proposed 

remedy include any quality control 

measures you propose to keep the 

problem from happening again. 

(b) Give us data from production-line 

testing that shows the remedied engine 

family complies with all the emission 

standards that apply.

§ 1051.340 When may EPA revoke my 

certificate under this subpart and how may 

I sell these vehicles again? 

(a) We may revoke your certificate for 

an engine family in the following cases: 

(1) You do not meet the reporting 

requirements. 

(2) Your engine family fails to comply 

with the requirements of this subpart 

and your proposed remedy to address a 

suspended certificate under § 1051.325 

is inadequate to solve the problem or 

requires you to change the vehicle’s 

design or emission-control system. 

(b) To sell vehicles from an engine 

family with a revoked certificate of 

conformity, you must modify the engine 

family and then show it complies with 

the requirements of this part.

(1) If we determine your proposed 

design change may not control 

emissions for the vehicle’s full useful 

life, we will tell you within five working 

days after receiving your report. In this 

case we will decide whether 

production-line testing will be enough 

for us to evaluate the change or whether 

you need to do more testing. 

(2) Unless we require more testing, 

you may show compliance by testing 

production-line vehicles or engines as 

described in this subpart. 

(3) We will issue a new or updated 

certificate of conformity when you have 

met these requirements.

§ 1051.345 What production-line testing 

records must I send to EPA? 

Do all the following things unless we 

ask you to send us less information: 

(a) Within 30 calendar days of the end 

of each calendar quarter, send us a 

report with the following information: 

(1) Describe any facility used to test 

production-line vehicles or engines and 

state its location. 

(2) State the total U.S.-directed 

production volume and number of tests 

for each engine family. 

(3) Describe how you randomly 

selected vehicles or engines. 

(4) Describe your test vehicles or 

engines, including the engine family’s 

identification and the vehicle’s model 

year, build date, model number, 

identification number, and number of 

hours of operation before testing for 

each test vehicle or engine. 

(5) Identify where you accumulated 

hours of operation on the vehicles or 

engines and describe the procedure and 

schedule you used. 

(6) Provide the test number; the date, 

time and duration of testing; test 

procedure; initial test results before and 

after rounding; final test results; and 

final deteriorated test results for all 

tests. Provide the emission results for all 

measured pollutants. Include 

information for both valid and invalid 

tests and the reason for any 

invalidation. 

(7) Describe completely and justify 

any nonroutine adjustment, 

modification, repair, preparation, 

maintenance, or test for the test vehicle 

or engine if you did not report it 

separately under this subpart. Include 

the results of any emission 

measurements, regardless of the 

procedure or type of vehicle. 

(8) Provide the CumSum analysis 

required in § 1051.315 for each engine 

family. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68397

(9) Report on each failed vehicle or 

engine as described in § 1051.320. 

(10) State the date the calendar 

quarter ended for each engine family. 

(b) We may ask you to add 

information to your written report, so 

we can determine whether your new 

vehicles conform with the requirements 

of this subpart. 

(c) An authorized representative of 

your company must sign the following 

statement:

We submit this report under Sections 208 

and 213 of the Clean Air Act. Our 

production-line testing conformed 

completely with the requirements of 40 CFR 

part 1051. We have not changed production 

processes or quality-control procedures for 

the engine family in a way that might affect 

the emission control from production 

vehicles (or engines). All the information in 

this report is true and accurate, to the best 

of my knowledge. I know of the penalties for 

violating the Clean Air Act and the 

regulations. (Authorized Company 

Representative)

(d) Send electronic reports of 

production-line testing to the 

Designated Officer using an approved 

information format. If you want to use 

a different format, send us a written 

request with justification for a waiver. 

(e) We will send copies of your 

reports to anyone from the public who 

asks for them. See § 1051.815 for 

information on how we treat 

information you consider confidential.

§ 1051.350 What records must I keep? 

(a) Organize and maintain your 

records as described in this section. We 

may review your records at any time, so 

it is important to keep required 

information readily available. 

(b) Keep paper records of your 

production-line testing for one full year 

after you complete all the testing 

required for an engine family in a model 

year. You may use any additional 

storage formats or media if you like. 

(c) Keep a copy of the written reports 

described in § 1051.345. 

(d) Keep the following additional 

records: 

(1) A description of all test equipment 

for each test cell that you can use to test 

production-line vehicles or engines. 

(2) The names of supervisors involved 

in each test. 

(3) The name of anyone who 

authorizes adjusting, repairing, 

preparing, or modifying a test vehicle or 

engine and the names of all supervisors 

who oversee this work. 

(4) If you shipped the vehicle or 

engine for testing, the date you shipped 

it, the associated storage or port facility, 

and the date the vehicle or engine 

arrived at the testing facility. 

(5) Any records related to your 

production-line tests that are not in the 

written report. 

(6) A brief description of any 

significant events during testing not 

otherwise described in the written 

report or in this section. 

(7) Any information specified in 

§ 1051.345 that you do not include in 

your written reports. 

(e) If we ask, you must give us 

projected or actual production figures 

for an engine family. We may ask you 

to divide your production figures by 

rated brake power, displacement, fuel 

type, or assembly plant (if you produce 

vehicles or engines at more than one 

plant). 

(f) Keep a list of vehicle or engine 

identification numbers for all the 

vehicles or engines you produce under 

each certificate of conformity. Give us 

this list within 30 days if we ask for it. 

(g) We may ask you to keep or send 

other information necessary to 

implement this subpart.

Subpart E—Testing In-use Engines 

[Reserved]

Subpart F—Test Procedures

§ 1051.501 What procedures must I use to 

test my vehicles or engines? 

This section describes test procedures 

that you use to show compliance with 

the requirements of this part. See 

§ 1051.235 to determine when testing is 

required for certification. See subpart D 

of this part for the production-line 

testing requirements. 

(a) Snowmobiles. For snowmobiles, 

use the equipment and procedures for 

spark-ignition engines in part 1065 of 

this chapter to show your snowmobiles 

meet the duty-cycle emission standards 

in § 1051.103. Measure HC, NOX (as 

applicable), CO, and CO2 emissions 

using the dilute sampling procedures in 

part 1065 of this chapter. For steadystate testing, you may use raw-gas 

sampling methods (such as those 

described in 40 CFR part 91), provided 

they have been shown to produce 

measurements equivalent to the dilute 

sampling methods specified in part 

1065 of this chapter. Use the duty cycle 

in § 1051.505. 

(b) Motorcycles and ATVs. For 

motorcycles and ATVs, use the 

equipment, procedures, and duty cycle 

in 40 CFR part 86, subpart F, to show 

your vehicles meet the exhaust emission 

standards in § 1051.105 or § 1051.107. 

Measure HC, NOX, CO, and CO2. If we 

allow you to certify ATVs based on 

engine testing, use the equipment, 

procedures, and duty cycle described or 

referenced in that section that allows 

engine testing. For motorcycles with 

engine displacement at or below 169 cc 

and all ATVs, use the driving schedule 

in paragraph (c) of Appendix I to 40 

CFR part 86. For all other motorcycles 

use the driving schedule in paragraph 

(b) of Appendix I to part 86. With 

respect to vehicle-speed governors, test 

motorcycles and ATVs in their 

ungoverned configuration, unless we 

approve in advance testing in a 

governed configuration. We will only 

approve testing in a governed 

configuration if you can show that the 

governor is permanently installed on all 

production vehicles and is unlikely to 

be removed in-use. With respect to 

engine-speed governors, test 

motorcycles and ATVs in their governed 

configuration. 

(c) Permeation testing. (1) Use the 

equipment and procedures specified in 

§ 1051.515 to measure fuel tank 

permeation emissions. 

(2) Prior to permeation testing of fuel 

hose, the hose must be preconditioned 

by filling the hose with the fuel 

specified in (d)(3) of this section, sealing 

the openings, and soaking the hose for 

4 weeks at 23 °C±5° C. To measure fuelline permeation emissions, use the 

equipment and procedures specified in 

SAE J30 (incorporated by reference in 

§ 1051.810). The measurements must be 

performed at 23 ° C using the fuel 

specified in paragraph (d)(3) of this 

section. 

(d) Fuels. Use the fuels meeting the 

following specifications: 

(1) Exhaust. Use the fuels and 

lubricants specified in 40 CFR part 

1065, subpart C, for all the testing and 

service accumulation we require in this 

part. 

(2) Fuel Tank Permeation. (i) For the 

preconditioning soak described in 

§ 1051.515(a)(1) and fuel slosh 

durability test described in 

§ 1051.515(c)(4), use the fuel specified 

in Table 1 of § 1065.210 of this chapter 

blended with 10 percent ethanol by 

volume. As an alternative, you may use 

Fuel CE10, which is Fuel C as specified 

in ASTM D 471–98 (incorporated by 

reference in § 1051.810) blended with 

10 percent ethanol by volume. 

(ii) For the permeation measurement 

test in § 1051.515(b), use the fuel 

specified in Table 1 of § 1065.210 of this 

chapter. As an alternative, you may use 

the fuel specified in paragraph (d)(2)(i) 

of this section. 

(3) Fuel Hose Permeation. Use the fuel 

specified in Table 1 of § 1065.210 of this 

chapter blended with 10 percent ethanol 

by volume for permeation testing of fuel 

lines and tanks. As an alternative, you 

may use Fuel CE10, which is Fuel C as 

specified in ASTM D 471–98

68398 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(incorporated by reference in 

§ 1051.810) blended with 10 percent 

ethanol by volume. 

(e) Special procedures for engine 

testing. (1) You may use special or 

alternate procedures, as described in 

§ 1065.10 of this chapter. 

(2) We may reject data you generate 

using alternate procedures if later 

testing with the procedures in part 1065 

of this chapter shows contradictory 

emission data. 

(f) Special procedures for vehicle 

testing. (1) You may use special or 

alternate procedures, as described in 

paragraph (f)(3) of this section. 

(2) We may reject data you generate 

using alternate procedures if later 

testing with the otherwise specified 

procedures shows contradictory 

emission data. 

(3)(i) The test procedures specified for 

vehicle testing are intended to produce 

emission measurements equivalent to 

those that would result from measuring 

emissions during in-use operation using 

the same vehicle configuration. If good 

engineering judgment indicates that use 

of the procedures in this part for a 

vehicle would result in measurements 

that are not representative of in-use 

operation of that vehicle, you must 

notify us. If we determine that using 

these procedures would result in 

measurements that are significantly 

unrepresentative and that changes to the 

procedures will result in more 

representative measurements that do not 

decrease the stringency of emission 

standards or other requirements, we will 

specify changes to the procedures. In 

your notification to us, you should 

recommend specific changes you think 

are necessary. 

(ii) You may ask to use emission data 

collected using other test procedures, 

such as those of the California Air 

Resources Board or the International 

Organization for Standardization. We 

will allow this only if you show us that 

these data are equivalent to data 

collected using our test procedures. 

(iii) You may ask to use alternate 

procedures that produce measurements 

equivalent to those obtained using the 

specified procedures. In this case, send 

us a written request showing that your 

alternate procedures are equivalent to 

the test procedures of this part. If you 

prove to us that the procedures are 

equivalent, we will allow you to use 

them. You may not use alternate 

procedures until we approve them. 

(iv) You may ask to use special test 

procedures if your vehicle cannot be 

tested using the specified test 

procedures (for example, it is incapable 

of operating on the specified transient 

cycle). In this case, send us a written 

request showing that you cannot 

satisfactorily test your engines using the 

test procedures of this part. We will 

allow you to use special test procedures 

if we determine that they would 

produce emission measurements that 

are representative of those that would 

result from measuring emissions during 

in-use operation. You may not use 

special procedures until we approve 

them.

§ 1051.505 What special provisions apply 

for testing snowmobiles? 

Use the following special provisions 

for testing snowmobiles: 

(a) Measure emissions by testing the 

engine on a dynamometer with the 

steady-state duty cycle described in the 

following Table:

TABLE 1 OF § 1051.505.—5–MODE DUTY CYCLE FOR SNOWMOBILES

Engine speed 

(percent of 

maximum test 

speed) 

Torque 

(percent of 

maximum test 

torque at maximum test 

speed) 

Minimum time 

in mode 

(minutes) 

Weighting

factors 

Mode number: 

1 ................................................................................................................ 100 100 3.0 0.12 

2 ................................................................................................................ 85 51 3.0 0.27

3 ................................................................................................................ 75 33 3.0 0.25

4 ................................................................................................................ 65 19 3.0 0.31

5 ................................................................................................................ Idle 0 3.0 0.05

(b) During idle mode, operate the 

engine with the following parameters: 

(1) Hold the speed within your 

specifications. 

(2) Keep the throttle at the idle-stop 

position. 

(3) Keep engine torque under 5 

percent of the peak torque value at 

maximum test speed. 

(c) For the full-load operating mode, 

operate the engine at wide-open throttle.

(d) Ambient temperatures during 

testing must be between 20 °C and 30 

°C (68 °F and 86 °F), or other 

representative test temperatures, as 

specified in paragraph (g) of this 

section. 

(e) See part 1065 of this chapter for 

detailed specifications of tolerances and 

calculations. 

(f) You may test snowmobiles at 

ambient temperatures below 20 °C or 

using intake air temperatures below 20 

°C if you show that such testing 

complies with § 1065.10(c)(1) of this 

chapter. You must get our approval 

before you begin the emission testing. 

For example, the following approach 

would be appropriate to show that such 

testing complies with § 1065.10(c)(1) of 

this chapter: 

(1) Using good engineering judgment, 

instrument a representative snowmobile 

built with a representative engine from 

the family being tested with an 

appropriate temperature measuring 

device located in the intake air plenum 

where fuel spitback is not likely to 

occur. 

(2) Choose a time and location with 

the following weather conditions: 

windspeed less than 10 knots, no falling 

precipitation, air temperature between 

¥20 °C and 0 °C (¥4 °F and 32 °F). 

(3) Operate the snowmobile until its 

engine reaches a steady operating 

temperature. 

(4) Operate the snowmobile on a level 

surface free of other vehicle traffic. 

Operate the snowmobile at each 

specified engine speed corresponding to 

each mode in the emissions test specific 

to the engine being tested. When 

readings are stable, record the 

temperature in the intake air plenum 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68399

and the ambient temperature. Calculate 

the temperature difference between the 

air in the plenum and the ambient air 

for each mode. 

(5) Calculate the nominal intake air 

test temperature for each test mode as 

¥10 °C (14 °F) plus the temperature 

difference for the corresponding mode 

determined in (g)(4) of this section. 

(6) Before the emissions test, select 

the appropriate carburetor jetting for 

¥10 °C (14 °F) conditions according to 

the jet chart. For each mode, maintain 

the inlet air temperature within 5 °C of 

the corresponding modal temperature 

calculated in (g)(5) of this section. 

(7) Adjust other operating parameters 

to be consistent with operation at ¥10 

°C (14 °F). For example, this may 

require that you modify the engine 

cooling system used in the laboratory to 

make its performance representative of 

cold-temperature operation.

§ 1051.510 What special provisions apply 

for testing ATV engines? [Reserved]

§ 1051.515 How do I test my fuel tank for 

permeation emissions? 

Measure permeation emissions by 

weighing a sealed fuel tank before and 

after a temperature-controlled soak. 

(a) Preconditioning. To precondition 

your fuel tank, follow these five steps: 

(1) Fill the tank with the fuel 

specified in § 1051.501(d)(2)(i), seal it, 

and allow it to soak at 28 ±5 °C for 20 

weeks. Alternatively, the tank may be 

soaked for a shorter period of time at a 

higher temperature if you can show that 

the hydrocarbon permeation rate has 

stabilized. 

(2) Determine the fuel tank’s internal 

surface area in square-meters accurate to 

at least three significant figures. You 

may use less accurate estimates of the 

surface area if you make sure not to 

overestimate the surface area. 

(3) Fill the fuel tank with the test fuel 

specified in § 1051.501(d)(2)(ii) to its 

nominal capacity. If you fill the tank 

inside the temperature-controlled room 

or enclosure, do not spill any fuel. 

(4) Allow the tank and its contents to 

equilibrate to 28±2 °C. 

(5) Seal the fuel tank using 

nonpermeable fittings, such as metal or 

TeflonTM. 

(b) Test run. To run the test, follow 

these nine steps for a tank that was 

preconditioned as specified in 

paragraph (a) of this section: 

(1) Weigh the sealed fuel tank and 

record the weight to the nearest 0.1 

grams. (You may use less precise 

weights as long as the difference in mass 

from the start of the test to the end of 

the test has at least three significant 

figures.) 

(2) Carefully place the tank within a 

ventilated temperature-controlled room 

or enclosure. Do not spill any fuel. 

(3) Close the room or enclosure and 

record the time. 

(4) Ensure that the measured 

temperature in the room or enclosure is 

28±2 °C. 

(5) Leave the tank in the room or 

enclosure for 2 to 4 weeks, consistent 

with good engineering judgment (based 

on the permeation rate). Do not stop 

soaking before 4 weeks unless you know 

that you can measure the weight loss 

during the test to at least three 

significant figures earlier. 

(6) Hold the temperature of the room 

or enclosure to 28±2 °C; measure and 

record the temperature at least daily.

(7) At the end of the soak period, 

weigh the sealed fuel tank and record 

the weight to the nearest 0.1 grams. 

(You may use less precise weights as 

long as the difference in mass from the 

start of the test to the end of the test has 

at least three significant figures.) 

(8) Subtract the weight of the tank at 

the end of the test from the weight of the 

tank at the beginning of the test; divide 

the difference by the internal surface 

area of the fuel tank. Divide this g/m 2

value by the number of test days (using 

at least three significant figures) to 

calculate the g/m 2/day emission rate. 

Example: If a tank with an internal 

surface area of 1.51 m 2 weighed 31882.3 

grams at the beginning of the test and 

weighed 31760.2 grams after soaking for 

25.03 days, then the g/m 2/day emission 

rate would be: (31882.3 g¥31760.2 g)/

1.51 m 2/25.03 days = 3.23 g/m 2/day. 

(9) Round your result to the same 

number of decimal places as the 

emission standard. 

(c) Durability testing. You normally 

need to perform a separate durability 

demonstration for each substantially 

different combination of treatment 

approaches and tank materials. Perform 

these demonstrations before an emission 

test by taking the following steps, unless 

you can use good engineering judgment 

to apply the results of previous 

durability testing with a different fuel 

system. You can determine a 

deterioration factor by measuring 

emissions on a tank after these 

durability tests if you previously tested 

the same tank before the durability tests 

(but after the preconditioning step 

described in paragraph (a) of this 

section). For the purposes of 

deterioration factor determination, the 

permeation tests before and after the 

durability testing must be performed on 

the fuel specified in § 1051.501 (d)(2)(i). 

You may ask to exclude any of the 

following durability tests if you can 

clearly demonstrate that it does not 

affect the emissions from your fuel tank. 

(1) Perform a pressure test by sealing 

the tank and cycling it between +2.0 

psig and ¥0.5 psig and back to +2.0 

psig for 10,000 cycles at a rate 60 

seconds per cycle. 

(2) Perform a sunlight-exposure test 

by exposing the tank to an ultraviolet 

light of at least 0.40 W-hr/m 2/min on 

the tank surface for 15 hours per day for 

4 weeks. Alternatively, the fuel tank 

may be exposed to direct natural 

sunlight for an equivalent period of 

time, as long as you ensure that the tank 

is exposed to at least 450 daylight hours. 

(3) Perform a slosh test by filling the 

tank to 40 percent of its capacity with 

the fuel specified in § 1051.501(d)(2)(i) 

and rocking it at a rate of 15 cycles per 

minute until you reach one million total 

cycles. 

Use an angle deviation of +15° to 

¥15° from level. This test must be 

performed at a temperature of 28°C ±5°

C. 

(4) Following the durability testing, 

the fuel tank must be soaked (as 

described in paragraph (a) of this 

section) to ensure that the permeation 

rate is stable. The period of slosh testing 

and the period of ultraviolet testing (if 

performed with fuel in the tank 

consistent with paragraph (a)(1) of this 

section) may be considered to be part of 

this soak, provided that the soak begins 

immediately after the slosh testing. To 

determine the final permeation rate, 

drain and refill the tank with fresh fuel, 

and repeat the test run (as described in 

paragraph (b) of this section) 

immediately after this soak period. 

(d) Flow chart. The following figure 

presents a flow chart for the permeation 

testing described in this section, 

showing full test procedure with 

durability testing, as well as the 

simplified test procedure with an 

applied deterioration factor:

BILLING CODE 6560–50–P

68400 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

BILLING CODE 6560–50–C

§ 1051.520 How do I perform exhaust 

durability testing? 

This section applies for durability 

testing to determine deterioration 

factors for exhaust emissions. Smallvolume manufacturers may omit 

durability testing if they use our 

assigned deterioration factors that we 

establish based on our projection of the 

likely deterioration in the performance 

of specific emission controls. 

(a) Calculate your deterioration factor 

by testing a vehicle or engine that is 

representative of your engine family at 

a low-hour test point and the end of its 

useful life. You may also test at 

intermediate points. 

(b) Operate the vehicle or engine over 

a representative duty cycle for a period 

at least as long as the useful life (in 

hours or kilometers). You may operate 

the vehicle or engine continuously. 

(c) You may perform critical 

emission-related maintenance during 

durability testing, consistent with 

§ 1051.125(a). You may not perform any 

other emission-related maintenance 

during durability testing. 

(d) Use a linear least-squares fit of 

your test data for each pollutant to 

calculate your deterioration factor. 

(e) You may ask us to allow you to use 

other testing methods to determine 

deterioration factors, consistent with 

good engineering judgment.


ER08NO02.016</GPH>
Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68401

Subpart G—Compliance Provisions

§ 1051.601 What compliance provisions 

apply to vehicles and engines subject to 

this part? 

Engine and vehicle manufacturers, as 

well as owners, operators, and 

rebuilders of these vehicles, and all 

other persons, must observe the 

requirements and prohibitions in part 

1068 of this chapter and the 

requirements of the Act. The 

compliance provisions in this subpart 

apply only to the vehicles and engines 

we regulate in this part.

§ 1051.605 What are the provisions for 

exempting vehicles from the requirements 

of this part if they use engines you have 

certified under the motor-vehicle program 

or the Large Spark-ignition program? 

(a) You may ask for an exemption 

under this section if you are the 

manufacturer of an engine certified 

under the motor-vehicle program or the 

Large Spark-ignition program. See 

§ 1051.610 if you are not the engine 

manufacturer. 

(b)(1) The only requirements or 

prohibitions from this part that apply to 

a vehicle that is exempt under this 

section are in this section and 

§ 1051.610. 

(2) If the vehicles do not meet the 

criteria listed in paragraph (c) of this 

section, they will be subject to the 

standards and prohibitions of this part. 

Producing these vehicles without a 

valid exemption or certificate of 

conformity would violate the 

prohibitions in § 1068.101 of this 

chapter. 

(3) Vehicles exempted under this 

section are subject to all the 

requirements affecting engines and 

vehicles under 40 CFR part 86 or part 

1048, as applicable. The requirements 

and restrictions of 40 CFR part 86 or 

1048 apply to anyone manufacturing 

these engines, anyone manufacturing 

vehicles that use these engines, and all 

other persons in the same manner as if 

these engines were used in a motor 

vehicle or other nonrecreational 

application. 

(c) If you meet all the following 

criteria regarding your engine, the 

vehicle using the engine is exempt 

under this section: 

(1) The vehicle is produced using an 

engine or incomplete vehicle covered by 

a valid certificate of conformity under 

40 CFR part 86 or part 1048. 

(2) No changes are made to the 

certified engine or vehicle that we could 

reasonably expect to increase any of its 

regulated emissions. For example, if any 

of the following changes are made to the 

engine, it does not qualify for this 

exemption: 

(i) Any fuel system or evaporative 

system parameters are changed from the 

certified configuration (this does not 

apply to refueling emission controls). 

(ii) Any other emission-related 

components are changed. 

(iii) The engine cooling system is 

modified or assembled so that 

temperatures or heat rejection rates are 

outside the original engine’s specified 

ranges. 

(3) The engine must have the 

emission control information label we 

require under 40 CFR part 86 or part 

1048. 

(4) You must demonstrate that fewer 

than 50 percent of the engine model’s 

total sales, from all companies, are used 

in recreational vehicles. 

(d) If you manufacture both the engine 

and vehicle under this exemption, you 

must do all of the following to keep the 

exemption valid: 

(1) Make sure the original emission 

control information label is intact. 

(2) Add a permanent supplemental 

label to the engine in a position where 

it will remain clearly visible after 

installation in the vehicle. In your 

engine’s emission control information 

label, do the following: 

(i) Include the heading: ‘‘Recreational 

Vehicle Emission Control Information’’. 

(ii) Include your full corporate name 

and trademark. 

(iii) State: ‘‘THIS ENGINE WAS 

ADAPTED FOR RECREATIONAL USE 

WITHOUT AFFECTING ITS EMISSION 

CONTROLS.’’. 

(iv) State the date you finished 

installation (month and year). 

(3) Make sure the original and 

supplemental labels are readily visible 

after the engine is installed in the 

vehicle or, if the vehicle obscures the 

engine’s emission control information 

label, make sure the vehicle 

manufacturer attaches duplicate labels, 

as described in § 1068.105 of this 

chapter. 

(4) Send the Designated Officer a 

signed letter by the end of each calendar 

year (or less often if we tell you) with 

all the following information: 

(i) Identify your full corporate name, 

address, and telephone number. 

(ii) List the models you expect to 

produce under this exemption in the 

coming year. 

(iii) State: ‘‘We produce each listed 

model for recreational application 

without making any changes that could 

increase its certified emission levels, as 

described in 40 CFR 1051.605.’’.

(e) If we request it, you must send us 

emission test data on the applicable 

recreational duty cycle(s). You may 

include the data in your application for 

certification under 40 CFR part 86 or 

part 1048, or in your letter requesting 

the exemption. We will generally not 

ask you for these data under normal 

circumstances, especially when they are 

more readily available from another 

source.

§ 1051.610 What are the provisions for 

producing recreational vehicles with 

engines already certified under the motorvehicle program or the Large SI program? 

(a) You may produce a recreational 

vehicle without certifying it under this 

part by using a certified motor vehicle 

engine, or Large SI engine. This section 

does not apply if you manufacture the 

engine yourself; see § 1051.605. In order 

to produce recreational vehicles under 

this section, you must meet all of the 

following criteria: 

(1) The engine or vehicle is certified 

to 40 CFR part 86 or part 1048. 

(2) The engine is not adjusted outside 

the certifying manufacturer’s 

specifications (see § 1051.605(c)(2)). 

(3) The engine or vehicle is not 

modified in any way that may affect its 

emission control. This does not apply to 

refueling emission controls. 

(4) The vehicle is labeled consistent 

with paragraph (c) of this section. 

(b)(1) The only requirements or 

prohibitions from this part that apply to 

a vehicle that is exempt under this 

section are in this section and 

§ 1051.605. 

(2) If the vehicles do not meet the 

criteria listed in § 1051.605(c) and 

paragraph (c) of this section, they will 

be subject to the standards and 

prohibitions of this part. Producing 

these vehicles without a valid 

exemption or certificate of conformity 

would violate the prohibitions in 

§ 1068.101 of this chapter. 

(3) Vehicles exempted under this 

section are subject to all the 

requirements affecting engines and 

vehicles under 40 CFR part 86 or part 

1048, as applicable. The requirements 

and restrictions of 40 CFR part 86 or 

1048 apply to anyone manufacturing 

these engines, anyone manufacturing 

vehicles that use these engines, and all 

other persons in the same manner as if 

these engines were used in a motor 

vehicle or other nonrecreational 

application. 

(c)(1) Make sure the original emission 

control information label is intact after 

assembly in the vehicle. 

(2) Add a permanent supplemental 

label to the vehicle in a position where 

it will be clearly visible. In this 

emission control information label, do 

the following: 

(i) Include the heading: ‘‘Recreational 

Vehicle Emission Control Information’’. 

(ii) Include your full corporate name 

and trademark. 

68402 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(iii) State: ‘‘THIS ENGINE WAS 

ADAPTED FOR RECREATIONAL USE 

WITHOUT AFFECTING ITS EMISSION 

CONTROLS.’’. 

(iv) State the date you finished 

installation (month and year). 

(3) Send the Designated Officer a 

signed letter by the end of each calendar 

year (or less often if we tell you) with 

all the following information: 

(i) Identify your full corporate name, 

address, and telephone number. 

(ii) List the models you expect to 

produce under this exemption in the 

coming year. 

(iii) State: ‘‘We produce each listed 

model for recreational application 

without making any changes that could 

increase its certified emission levels, as 

described in 40 CFR 1051.605.’’. 

(d) If you build recreational vehicles 

under this section, we may require (as 

a condition of the exemption) that you 

comply with the emission-related 

warranty and recall responsibilities of 

this part. 

(e) If you build a recreational vehicle 

using a motor vehicle engine that was 

certified as part of a vehicle-based 

engine family, we may require you to 

certify under this part instead of 

granting you an exemption under this 

part. If we do this, we may allow you 

to submit an abbreviated application for 

certification to show that you comply 

with the requirements of this part. You 

may reference the information in the 

original motor vehicle application.

§ 1051.615 What are the special provisions 

for certifying small recreational engines? 

(a) You may certify ATVs with 

engines that have total displacement of 

less than 100 cc to the following 

emission exhaust standards instead of 

certifying them to the exhaust emission 

standards of subpart B of this part: 

(1) 25.0 g/kW-hr HC+NOX, with an 

FEL cap of 40.0 g/kW-hr HC+NOX. 

(2) 500 g/kW-hr CO. 

(b) You may certify off-highway 

motorcycles with engines that have total 

displacement of 70 cc or less to the 

following emission exhaust standards 

instead of certifying them to the exhaust 

emission standards of subpart B of this 

part: 

(1) 16.1 g/kW-hr HC+NOX, with an 

FEL cap of 32.2 g/kW-hr HC+NOX. 

(2) 519 g/kW-hr CO. 

(c) You may use the averaging, 

banking, and trading provisions of 

subpart H of this part to show 

compliance with this HC+NOX

standards (an engine family meets 

emission standards even if its family 

emission limit is higher than the 

standard, as long as you show that the 

whole averaging set of applicable engine 

families meet the applicable emission 

standards using emission credits, and 

the vehicles within the family meet the 

family emission limit). You may not use 

averaging to meet the CO standards of 

this section. 

(d) Measure emissions by testing the 

engine on a dynamometer with the 

steady-state duty cycle described in 

Table 1 of this section. 

(1) During idle mode, hold the speed 

within your specifications, keep the 

throttle fully closed, and keep engine 

torque under 5 percent of the peak 

torque value at maximum test speed. 

(2) For the full-load operating mode, 

operate the engine at wide-open throttle. 

(3) See part 1065 of this chapter for 

detailed specifications of tolerances and 

calculations. 

(4) Table 1 follows:

TABLE 1 OF § 1051.615.—6-MODE DUTY CYCLE FOR RECREATIONAL ENGINES

Engine speed 

(percent of 

maximum test 

speed) 

Torque 

(percent of 

maximum test 

torque at test 

speed) 

Minimum time 

in mode 

(minutes) 

Weighting

factors 

Mode number: 

1 ................................................................................................................ 85 100 5.0 0.09 

2 ................................................................................................................ 85 75 5.0 0.20

3 ................................................................................................................ 85 50 5.0 0.29

4 ................................................................................................................ 85 25 5.0 0.30

5 ................................................................................................................ 85 10 5.0 0.07

6 ................................................................................................................ Idle 0 5.0 0.05

(e) All other requirements and 

prohibitions of this part apply to these 

engines and vehicles.

§ 1051.620 When may a manufacturer 

obtain an exemption for competition 

recreational vehicles? 

(a) We may grant you an exemption 

from the standards and requirements of 

this part for a new recreational vehicle 

on the grounds that it is to be used 

solely for competition. The provisions 

of this part other than those in this 

section do not apply to recreational 

vehicles that we exempt for use solely 

for competition. 

(b) We will exempt vehicles that we 

determine will be used solely for 

competition. The basis of our 

determinations are described in 

paragraphs (b)(1), (b)(2), and (c) of this 

section. Exemptions granted under this 

section are good for only one model year 

and you must request renewal for each 

subsequent model year. We will not 

approve your renewal request if we 

determine the vehicles will not be used 

solely for competition. 

(1) Off-highway motorcycles.

Motorcycles that are marketed and 

labeled as only for competitive use and 

that meet at least four of the criteria 

listed in paragraphs (b)(1)(i) through (vi) 

of this section are considered to be used 

solely for competition, except in cases 

where other information is available 

that indicates that they are not used 

solely for competition. The following 

features are indicative of motorcycles 

used solely for competition: 

(i) The absence of a headlight or other 

lights. 

(ii) The absence of a spark arrestor. 

(iii) The absence of manufacturer 

warranty. 

(iv) Suspension travel greater than 10 

inches. 

(v) Engine displacement greater than 

50 cc. 

(vi) The absence of a functional seat. 

(For example, a seat less with than 30 

square inches of seating surface would 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68403

generally not be considered a functional 

seat). 

(2) Snowmobiles and ATVs.

Snowmobiles and ATVs meeting all of 

the following criteria are considered to 

be used solely for competition, except in 

cases where other information is 

available that indicates that they are not 

used solely for competition: 

(i) The vehicle or engine may not be 

displayed for sale in any public 

dealership. 

(ii) Sale of the vehicle must be limited 

to professional racers or other qualified 

racers. 

(iii) The vehicle must have 

performance characteristics that are 

substantially superior to noncompetitive 

models. 

(c) Vehicles not meeting the 

applicable criteria listed in paragraph 

(b) of this section will be exempted only 

in cases where the manufacturer has 

clear and convincing evidence that the 

vehicles will be used solely for 

competition. 

(d) You must permanently label 

vehicles exempted under this section to 

clearly indicate that they are to be used 

only for competition. Failure to properly 

label a vehicle will void the exemption 

for that vehicle. 

(e) If we request it, you must provide 

us any information we need to 

determine whether the vehicles are used 

solely for competition.

§ 1051.625 What special provisions apply 

to unique snowmobile designs for smallvolume manufacturers? 

(a) If you are a small-volume 

manufacturer, we may permit you to 

produce up to 600 snowmobiles per 

year that are certified to less stringent 

emission standards than those in 

§ 1051.103, as long as you meet all the 

conditions and requirements in this 

section. 

(b) To apply for alternate standards 

under this section, send the Designated 

Officer a written request. In your 

request, do two things: 

(1) Show that the snowmobile has 

unique design, calibration, or operating 

characteristics that make it atypical and 

infeasible or highly impractical to meet 

the emission standards in § 1051.103, 

considering technology, cost, and other 

factors. 

(2) Identify the level of compliance 

you can achieve, including a description 

of available emission-control 

technologies and any constraints that 

may prevent more effective use of these 

technologies. 

(c) You must give us other relevant 

information if we ask for it. 

(d) An authorized representative of 

your company must sign the request and 

include the statement: ‘‘All the 

information in this request is true and 

accurate, to the best of my knowledge.’’. 

(e) Send your request for this 

extension at least nine months before 

the relevant deadline. If different 

deadlines apply to companies that are 

not small-volume manufacturers, do not 

send your request before the regulations 

in question apply to the other 

manufacturers. 

(f) If we approve your request, we will 

set alternate standards for your 

qualifying snowmobiles. These 

standards will not be above 400 g/kWhr for CO or 150 g/kW-hr for HC. 

(g) You may produce these 

snowmobiles to meet the alternate 

standards we establish under this 

section as long as you continue to 

produce them at the same or lower 

emission levels. 

(h) You may not include snowmobiles 

you produce under this section in any 

averaging, banking, or trading 

calculations under Subpart H of this 

part. 

(i) You must meet all the 

requirements of this part, except as 

noted in this section.

§ 1051.630 What special provisions apply 

to unique snowmobile designs for all 

manufacturers? 

(a) We may permit you to produce up 

to 600 snowmobiles per year that are 

certified to the FELs listed in this 

section without new test data, as long as 

you meet all the conditions and 

requirements in this section. 

(b) You may certify these 

snowmobiles with FELs of 560 g/kW-hr 

for CO and 270 g/kW-hr for HC (using 

the normal certification procedures). 

(c) The emission levels described in 

this section are intended to represent 

worst-case emission levels. You may not 

certify snowmobiles under this section 

if good engineering judgment indicates 

that they have emission rates higher 

than these levels. 

(d) Include snowmobiles you produce 

under this section in your averaging 

calculations under Subpart H of this 

part. 

(e) You must meet all the 

requirements of this part, unless the 

regulations of this part specify 

otherwise.

§ 1051.635 What provisions apply to new 

manufacturers that are small businesses? 

(a) If you are a small business (as 

defined by the Small Business 

Administration) that manufactures 

recreational vehicles, but does not 

otherwise qualify for the small-volume 

manufacturer provisions of this part, 

you may ask us to designate you to be 

a small-volume manufacturer. You may 

do this whether you began 

manufacturing recreational vehicles 

before, during, or after 2002. 

(b) We may set other reasonable 

conditions that are consistent with the 

intent of this section and the Act. For 

example, we may place sales limits on 

companies that we designate to be 

small-volume manufacturers under this 

section.

Subpart H—Averaging, Banking, and 

Trading for Certification

§ 1051.701 General provisions. 

(a) You may average, bank, and trade 

emission credits for purposes of 

certification as described in this subpart 

to show compliance with the standards 

of this part. To do this you must show 

that your average emission levels are 

below the applicable standards in 

subpart B of this part, or that you have 

sufficient credits to offset a credit deficit 

for the model year (as calculated in 

§ 1051.720). If you cannot show in your 

end-of-year report that your average 

emission levels are below the applicable 

standards in subpart B of this part, or 

that you have sufficient credits to offset 

a credit deficit for the model year, we 

may void the certificates for all families 

certified to FELs above the allowable 

average. (b) The following averaging set 

restrictions apply: 

(1) You may not average together 

engine families that are certified to 

different standards. You may, however, 

use banked credits that were generated 

relative to different standards, except as 

prohibited by paragraphs (b)(2) and (3) 

of this section, paragraph (e) of this 

section, or by other provisions in this 

part. For example, you may not average 

together within a model year offhighway motorcycles that are certified 

to the standards in § 1051.105(a)(1) and 

§ 1051.105(a)(2); but you may use 

banked credits generated by off-highway 

motorcycles that are certified to the 

standards in § 1051.105(a)(1) to show 

compliance with the standards in 

§ 1051.105(a)(2) in a later model year, 

and vice versa. 

(2) There are separate averaging, 

banking, and trading programs for 

snowmobiles, ATVs, and off-highway 

motorcycles. You may not average or 

exchange banked or traded credits from 

engine families of one type of vehicle 

with those from engine families of 

another type of vehicle. 

(3) You may not average or exchange 

banked or traded credits with other 

engine families if you use 

fundamentally different measurement 

procedures for the different engine 

families (for example, ATVs certified to 

68404 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

chassis-based vs. engine-based 

standards). This paragraph (b)(3) does 

not restrict you from averaging together 

engine families that use test procedures 

that we determine provide equivalent 

emission results. 

(4) You may not average or exchange 

banked or traded exhaust credits with 

evaporative credits, or vice versa. 

(c) The definitions of Subpart I of this 

part apply to this subpart. The following 

definitions also apply: 

(1) Average standard means a 

standard that allows you comply by 

averaging all your vehicles under this 

part. See subpart B of this part to 

determine which standards are average 

standards. 

(2) Broker means any entity that 

facilitates a trade between a buyer and 

seller. 

(3) Buyer means the entity that 

receives credits as a result of trade. 

(4) Family emission limit (FEL) has 

the meaning given in it in § 1051.801. 

(5) Reserved credits means credits you 

have generated that we have not yet 

verified in reviewing the end-of-year 

report. 

(6) Seller means the entity that 

provides credits during a trade. 

(d) Do not include any exported 

vehicles in the certification averaging, 

banking, and trading program. Include 

only vehicles certified under this part.

§ 1051.705 How do I average emission 

levels? 

(a) As specified in subpart B of this 

part, certify each vehicle to a family 

emission limit (FEL). 

(b) Calculate a preliminary average 

emission level according to § 1051.720 

using projected U.S.-directed 

production volumes for your 

application for certification. 

(c) After the end of your model year, 

calculate a final average emission level 

according to § 1051.720 for each type of 

recreational vehicle or engine you 

manufacture or import. Use actual U.S.-

directed production volumes. 

(d) If your preliminary average 

emission level is below the allowable 

average standard, see § 1051.710 for 

information about generating and 

banking emission credits. These credits 

will be considered reserved until we 

verify them in reviewing the end-of-year 

report.

§ 1051.710 How do I generate and bank 

emission credits? 

(a) If your average emission level is 

below the average standard, you may 

calculate credits according to 

§ 1051.720. 

(b) You may generate credits if you 

are a certifying manufacturer. 

(c) You may bank unused emission 

credits, but only after the end of the 

calendar year and after we have 

reviewed your end-of-year reports. 

Credits you generate do not expire.

(d) During the calendar year and 

before you send in your end-of-year 

report, you may consider reserved any 

credits you originally designate for 

banking during certification. You may 

redesignate these credits for trading in 

your end-of-year report, but they are not 

valid to demonstrate compliance until 

verified. 

(e) You may use for averaging or 

trading any credits you declared for 

banking from the previous calendar year 

that we have not reviewed. But, we may 

revoke these credits later—following our 

review of your end-of-year report or 

audit actions. For example, this could 

occur if we find that credits are based 

on erroneous calculations; or that 

emission levels are misrepresented, 

unsubstantiated, or derived incorrectly 

in the certification process.

§ 1051.715 How do I trade emission 

credits? 

(a) You may trade only banked 

emission credits, not reserved credits. 

(b) You may trade banked credits to 

any certifying manufacturer. 

(c) If a negative credit balance results 

from a credit trade, both buyers and 

sellers are liable, except in cases 

involving fraud. We may void the 

certificates of all emission families 

participating in a negative trade. 

(1) If you buy credits but have not 

caused the negative credit balance, you 

must only supply more credits 

equivalent to the amount of invalid 

credits you used. 

(2) If you caused the credit shortfall, 

you may be subject to the requirement 

sof § 1051.730(b)(6).

§ 1051.720 How do I calculate my average 

emission level or emission credits? 

(a) Calculate your average emission 

level for each type of recreational 

vehicle or engine for each model year 

according to the following equation and 

round it to the nearest tenth of a g/km 

or g/kW-hr. Use consistent units 

throughout the calculation. 

(1) For exhaust emissions: 

(i) Calculate the average emission 

level as:

Emission level = (FEL) (UL) (Production) Production (UL) 

i

∑ ∑ ii i i × ×





 



 ×





 



( ) 

i

i

Where: 

FELi = The FEL to which the engine 

family is certified. 

ULi = The useful life of the engine 

family. 

Productioni = The number of vehicles in 

the engine family.

(ii) Use U.S.-directed production 

projections for initial certification, and 

actual U.S.-directed production volumes 

to determine compliance at the end of 

the model year. 

(2) For vehicles that have standards 

expressed as g/kW-hr and a useful life 

in km, convert the useful life to kW-hr 

based on the maximum power output 

observed over the emission test and an 

assumed vehicle speed of 30 km/hr as 

follows: UL (kW-hr) = UL (km) ×

Maximum Test Power (kW)÷30 km/hr. 

(Note: It is not necessary to include a 

load factor, since credit exchange is not 

allowed between vehicles certified to g/

kW-hr standards and vehicles certified 

to g/km standards.) 

(3) For evaporative permeation 

standards expressed as g/m2/day, use 

the useful life value in years multiplied 

by 365.24, and calculate the average 

emission level as:

Emission level = (FEL) (UL) (Production) Production (UL) 

i

∑ ∑ ii i i × ×





 



 ×





 



( ) 

i

i


ER08NO02.011</MATH> ER08NO02.012</MATH>
Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68405

Where: 

Productioni = The number of vehicles in 

the engine family times the average 

internal surface area of the vehicles’

fuel tanks.

(b) If your average emission level is 

below the average standard, calculate 

credits available for banking according 

to the following equation and round 

them to the nearest tenth of a gram:

Credit = (Average standard Emission level) Production (UL) [ ] − × × i





 

 ∑( ) 

i

i

(c) If your average emission level is 

above the average standard, calculate 

your preliminary credit deficit 

according to the following equation, 

rounding to the nearest tenth of a gram:

Deficit = (Emission level Average standard) (Production) (UL)

i

[ ] − × ×i i





 

 ∑ 

§ 1051.725 What information must I keep? 

(a) Maintain and keep five types of 

properly organized and indexed records 

for each engine family: 

(1) Model year and EPA engine 

family.

(2) FEL. 

(3) Useful life. 

(4) Projected U.S.-directed production 

volume for the model year. 

(5) Actual U.S.-directed production 

volume for the model year. 

(b) Keep paper records of this 

information for three years from the due 

date for the end-of-year report. You may 

use any additional storage formats or 

media if you like. 

(c) Keep a copy of all of the 

information you send us under 

§ 1051.730. 

(d) We may ask you to keep or send 

other information necessary to 

implement this subpart.

§ 1051.730 What information must I 

report? 

(a) Include the following information 

in each of your applications for 

certification: 

(1) A statement that, to the best of 

your belief, you will not have a negative 

credit balance for any type of 

recreational vehicle or engine when all 

credits are calculated. This means that 

if you believe that your average 

emission level will be above the 

standard (i.e., that you will have a 

deficit for the model year), you must 

have banked credits (or project to have 

received traded credits) to offset the 

deficit. 

(2) Detailed calculations of projected 

emission credits (zero, positive, or 

negative) based on U.S.-directed 

production projections. If you project a 

credit deficit, state the source of credits 

needed to offset the credit deficit. 

(b) At the end of each model year, 

send an end-of-year report. 

(1) Your report must include three 

things: 

(i) Calculate in detail your average 

emission level and any emission credits 

(positive, or negative) based on actual 

U.S.-directed production volumes. 

(ii) If your average emission level is 

above the allowable average standard, 

demonstrate that you have the credits 

needed to offset the credit deficit. If you 

cannot demonstrate that you have the 

credits at the time you submit your endof-year report, we may void the 

certificates for all families certified to 

FELs above the allowable average. 

(iii) If your average emission level is 

below the allowable average standard, 

state whether you will reserve the 

credits for banking. 

(2) Base your U.S.-directed 

production volumes on the point of first 

retail sale. You may consider 

distributors to be the point of first retail 

sale if all their engines are sold to 

ultimate buyers in the United States. 

(3) Send end-of-year reports to the 

Designated Officer within 120 days of 

the end of the model year. If you send 

reports later, you are violating the Act. 

(4) If you generate credits for banking 

and you do not send your end-of-year 

reports within 120 days after the end of 

the model year, you may not use or 

trade the credits until we receive and 

review your reports. You may not use 

projected credits pending our review. 

(5) You may correct errors discovered 

in your end-of-year report, including 

errors in calculating credits according to 

the following table:

If— And if— Then we—

(i) Our review discovers an error in your end-of-year report that increases your credit balance.the discovery occurs within 180 days of receipt ............. restore the credits for your 

use. 

(ii) You discover an error in your report that increases 

your credit balance.

the discovery occurs within 180 days of receipt ............. restore the credits for your 

use. 

(iii) We or you discover and error in your report that increases your credit balance.the discovery occurs more than 180 days after receipt do not restore the credits 

for your use. 

(iv) We discover an error in your report that reduces 

your credit balance.

at any time after receipt .................................................. reduce your credit balance 

(6) If our review of a your end-of yearreport shows a negative balance, you may buy credits to bring your credit 

balance to zero. But you must buy 1.1 

credits for each 1.0 credit needed. If 

enough credits are not available to bring 


ER08NO02.013</MATH> ER08NO02.014</MATH>
68406 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

your credit balance to zero within 90 

days of when we notify you, we may 

void the certificates for all families 

certified to FELs above the allowable 

average. 

(c) Within 90 days of any credit trade, 

you must send the Designated Officer a 

report of the trade that includes three 

types of information: 

(1) The corporate names of the buyer, 

seller, and any brokers. 

(2) Copies of contracts related to 

credit trading from the buyer, seller, and 

broker, as applicable. 

(d) Include in each report a statement 

certifying the accuracy and authenticity 

of its contents. 

(e) We may void a certificate of 

conformity for any emission family if 

you do not keep the records this section 

requires or give us the information 

when we ask for it.

§ 1051.735 Are there special averaging 

provisions for snowmobiles? 

For snowmobiles, you may only use 

credits for the same phase or set of 

standards against which they were 

generated, except as allowed by this 

section. 

(a) Restrictions. (1) You may not use 

any Phase 1 or Phase 2 credits for Phase 

3 compliance. 

(2) You may not use Phase 1 HC 

credits for Phase 2 HC compliance. 

However, because the Phase 1 and 

Phase 2 CO standards are the same, you 

may use Phase 1 CO credits for 

compliance with the Phase 2 CO 

standards. 

(b) Special credits for next phase of 

standards. You may choose to generate 

credits early for banking for purposes of 

compliance with later phases of 

standards as follows: 

(1) If your corporate average emission 

level at the end of the model year 

exceeds the applicable (current) phase 

of standards (without the use of traded 

or previously banked credits), you may 

choose to redesignate some of your 

snowmobile production to a calculation 

to generate credits for a future phase of 

standards. To generate credits the 

snowmobiles designated must have an 

FEL below the emission level of that set 

of standards. This can be done on a 

pollutant specific basis. 

(2) Do not include the snowmobiles 

that you redesignate in the final 

compliance calculation of your average 

emission level for the otherwise 

applicable (current) phase of standards. 

Your average emission level for the 

remaining (non-redesignated) 

snowmobiles must comply with the 

otherwise applicable (current) phase of 

standards. 

(3) Include the snowmobiles that you 

redesignate in a separate calculation of 

your average emission level for 

redesignated engines. Calculate credits 

using this average emission level 

relative to the specific pollutant in the 

future phase of standards. These credits 

may be used for compliance with the 

future standards. 

(4) For generating early Phase 3 

credits, you may generate credits for 

HC+NOX or CO separately as described: 

(i) To determine if you qualify to 

generate credits in accordance with 

paragraphs (b)(1) through (3) of this 

section, you must meet the credit trigger 

level. For HC+NOX this value is 62 g/

kW-hr (which would be the HC+NOX

standard that would result from 

inputting the highest allowable CO 

standard (275 g/kW-hr) into the Phase 3 

equation). For CO the value is 200 g/

kW-hr (which would be the CO standard 

that would result from inputting the 

highest allowable HC+NOX standard (90 

g/kW-hr) into the Phase 3 equation). 

(ii) HC+NOX and CO credits for Phase 

3 are calculated relative to the 62 g/kWhr and 200 g/kW-hr values, respectively. 

(5) Credits can also be calculated for 

Phase 3 using both sets of standards. 

Without regard to the trigger level 

values, if your net emission reduction 

for the redesignated averaging set 

exceeds the requirements of Phase 3 in 

§ 1051.103 (using both HC+NOX and CO 

in the Phase 3 equation in § 1051.103), 

then your credits are the difference 

between the Phase 3 reduction 

requirement of that section and your 

calculated value.

Subpart I—Definitions and Other 

Reference Information

§ 1051.801 What definitions apply to this 

part? 

The following definitions apply to 

this part. The definitions apply to all 

subparts unless we note otherwise. All 

undefined terms have the meaning the 

Act gives to them. The definitions 

follow: 

Act means the Clean Air Act, as 

amended, 42 U.S.C. 7401 et seq. 

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust (including those 

which are difficult to access) and that, 

if adjusted, may affect emissions or 

engine performance during emission 

testing or normal in-use operation. You 

may ask us to exclude a parameter that 

is difficult to access if it cannot be 

adjusted to affect emissions without 

significantly degrading performance, or 

if you otherwise show us that it will not 

be adjusted in use in a way that affect 

emissions 

Aftertreatment means relating to any 

system, component, or technology 

mounted downstream of the exhaust 

valve or exhaust port whose design 

function is to reduce exhaust emissions. 

All-terrain vehicle means a land-based 

or amphibious nonroad vehicle that 

meets the criteria listed in paragraph (1) 

of this definition; or, alternatively, the 

criteria of paragraph (2) of this 

definition but not the criteria of 

paragraph (3) of this definition. 

(1) Vehicles designed to travel on four 

low pressure tires, having a seat 

designed to be straddled by the operator 

and handlebars for steering controls, 

and intended for use by a single 

operator and no other passengers are allterrain vehicles. 

(2) Other all-terrain vehicles have 

three or more wheels and one or more 

seats, are designed for operation over 

rough terrain, and are intended 

primarily for transportation. Golf carts 

generally do not meet these criteria 

since they are generally not designed for 

operation over rough terrain. 

(3) Vehicles that meet the definition 

of ‘‘offroad utility vehicle’’ in this 

section are not all-terrain vehicles. 

However, § 1051.1(a) specifies that some 

offroad utility vehicles are required to 

meet the same requirements as allterrain vehicles. 

Auxiliary emission-control device

means any element of design that senses 

temperature, engine rpm, motive speed, 

transmission gear, atmospheric 

pressure, manifold pressure or vacuum, 

or any other parameter to activate, 

modulate, delay, or deactivate the 

operation of any part of the emissioncontrol system. This also includes any 

other feature that causes in-use 

emissions to be higher than those 

measured under test conditions, except 

as we allow under this part. For 

example, an accelerator pump would be 

considered an auxiliary emissioncontrol device. 

Brake power means the usable power 

output of the engine not including 

power required to operate fuel pumps, 

oil pumps, or coolant pumps. 

Broker means any entity that 

facilitates a trade of emission credits 

between a buyer and seller. 

Calibration means the set of 

specifications and tolerances specific to 

a particular design, version, or 

application of a component or assembly 

capable of functionally describing its 

operation over its working range. 

Certification means obtaining a 

certificate of conformity for an engine 

family that complies with the emission 

standards and requirements in this part. 

Compression-ignition means relating 

to a type of reciprocating, internalcombustion engine that is not a sparkignition engine. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68407

Crankcase emissions means airborne 

substances emitted to the atmosphere 

from any part of the engine crankcase’s 

ventilation or lubrication systems. The 

crankcase is the housing for the 

crankshaft and other related internal 

parts. 

Designated Officer means the 

Manager, Engine Programs Group 

(6405–J), U.S. Environmental Protection 

Agency, 1200 Pennsylvania Ave., 

Washington, DC 20460. 

Emission-control system means any 

device, system, or element of design that 

controls or reduces the regulated 

emissions from a vehicle. 

Emission-data vehicle means a 

vehicle or engine that is tested for 

certification. 

Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emissions deterioration. 

Engine family means a group of 

vehicles with similar emission 

characteristics, as specified in 

§ 1051.230. 

Evaporative means relating to fuel 

emissions that result from permeation of 

fuel through the fuel system materials 

and from ventilation of the fuel system. 

Family emission limit (FEL) means an 

emission level declared by the 

manufacturer to serve in place of an 

emission standard for certification 

under the emission-credit program in 

subpart H of this part. The family 

emission limit must be expressed to the 

same number of decimal places as the 

emission standard it replaces. 

Fuel system means all components 

involved in transporting, metering, and 

mixing the fuel from the fuel tank to the 

combustion chamber(s), including the 

fuel tank, fuel tank cap, fuel pump, fuel 

filters, fuel lines, carburetor or fuelinjection components, and all fuelsystem vents. 

Good engineering judgment has the 

meaning we give it in § 1068.5 of this 

chapter. 

Hydrocarbon (HC) means the 

hydrocarbon group on which the 

emission standards are based for each 

fuel type. For gasoline- and LPG-fueled 

engines, HC means total hydrocarbon 

(THC). For natural gas-fueled engines, 

HC means nonmethane hydrocarbon 

(NMHC). For alcohol-fueled engines, HC 

means total hydrocarbon equivalent 

(THCE). 

Identification number means a unique 

specification (for example, model 

number/serial number combination) 

that allows someone to distinguish a 

particular vehicle or engine from other 

similar vehicle or engines. 

Manufacturer has the meaning given 

in section 216(1) of the Act. In general, 

this term includes any person who 

manufactures a vehicle or engine for 

sale in the United States or otherwise 

introduces a new vehicle or engine into 

commerce in the United States. This 

includes importers that import for 

resale. 

Maximum brake power means the 

maximum brake power of an engine at 

test conditions. 

Maximum test power means the 

maximum brake power of an engine at 

maximum test speed. 

Maximum test speed has the meaning 

we give in § 1065.515 of this chapter 

Maximum test torque means the 

torque output observed at wide-open 

throttle at a given speed. 

Model year means one of the 

following things: 

(1) For freshly manufactured vehicles 

or engines (see definition of ‘‘new,’’

paragraph (1)), model year means one of 

the following:

(i) Calendar year. 

(ii) Your annual new model 

production period if it is different than 

the calendar year. This must include 

January 1 of the calendar year for which 

the model year is named. It may not 

begin before January 2 of the previous 

calendar year and it must end by 

December 31 of the named calendar 

year. 

(2) For a vehicle or engine that is 

converted to a nonroad vehicle or 

engine after being placed into service in 

a motor vehicle, model year means the 

calendar year in which the vehicle or 

engine was originally produced (see 

definition of ‘‘new,’’ paragraph (2)). 

(3) For a nonroad vehicle excluded 

under § 1051.5 that is later converted to 

operate in an application that is not 

excluded, model year means the 

calendar year in which the vehicle was 

originally produced (see definition of 

‘‘new,’’ paragraph (3)). 

(4) For engines that are not freshly 

manufactured but are installed in new 

nonroad vehicles, model year means the 

calendar year in which the engine is 

installed in the new nonroad vehicle. 

This installation date is based on the 

time that final assembly of the vehicle 

is complete (see definition of ‘‘new,’’

paragraph (4)). 

(5) For a vehicle or engine modified 

by an importer (not the original 

manufacturer) who has a certificate of 

conformity for the imported vehicle or 

engine (see definition of ‘‘new,’’

paragraph (5)), model year means one of 

the following: 

(i) The calendar year in which the 

importer finishes modifying and 

labeling the vehicle or engine. 

(ii) Your annual production period for 

producing vehicles or engines if it is 

different than the calendar year; follow 

the guidelines in paragraph (1)(ii) of this 

definition. 

(6) For a vehicle or engine you import 

that does not meet the criteria in 

paragraphs (1) through (5) of the 

definition of ‘‘new’’ model year means 

the calendar year in which the 

manufacturer completed the original 

assembly of the vehicle or engine. In 

general, this applies to used equipment 

that you import without conversion or 

major modification. 

Motor vehicle has the meaning we 

give in § 85.1703(a) of this chapter. In 

general, motor vehicle means a selfpropelled vehicle that can transport one 

or more people or any material, but does 

not include any of the following: 

(1) Vehicles having a maximum 

ground speed over level, paved surfaces 

no higher than 40 km per hour (25 miles 

per hour). 

(2) Vehicles that lack features usually 

needed for safe, practical use on streets 

or highways-for example, safety features 

required by law, a reverse gear (except 

for motorcycles), or a differential. 

(3) Vehicles whose operation on 

streets or highways would be unsafe, 

impractical, or highly unlikely. 

Examples are vehicles with tracks 

instead of wheels, very large size, or 

features associated with military 

vehicles, such as armor or weaponry. 

New means relating to any of the 

following vehicles or engines: 

(1) A freshly manufactured engine or 

vehicle for which the ultimate buyer has 

never received the equitable or legal 

title. This kind of vehicle might 

commonly be thought of as ‘‘brand 

new.’’ In the case of this paragraph (1), 

the vehicle or engine is no longer new 

when the ultimate buyer receives this 

title or the product is placed into 

service, whichever comes first. 

(2) An engine originally manufactured 

as a motor vehicle engine that is later 

intended to be used in a piece of 

nonroad equipment. In this case, the 

engine ceases being a motor vehicle 

engine and becomes a ‘‘new nonroad 

engine’’. The engine is no longer new 

when it is placed into nonroad service. 

(3) A nonroad engine that has been 

previously placed into service in an 

application we exclude under § 1051.5 

or exempt under 1051.620, where that 

engine is installed in a piece of 

equipment for which these exclusions 

or exemptions do not apply. The engine 

is no longer new when it is placed into 

nonroad service. For example, this 

would apply to a competition vehicle 

that is no longer used solely for 

competition. 

(4) An engine not covered by 

paragraphs (1) through (3) of this 

68408 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

definition that is intended to be 

installed in new nonroad equipment. 

The engine is no longer new when the 

ultimate buyer receives a title for the 

equipment or the product is placed into 

service, whichever comes first. This 

generally includes installation of used 

engines in new vehicles. 

(5) An imported nonroad vehicle or 

engine covered by a certificate of 

conformity issued under this part, 

where someone other than the original 

manufacturer modifies the vehicle or 

engine after its initial assembly and 

holds the certificate. The vehicle or 

engine is no longer new when it is 

placed into nonroad service. 

(6) An imported nonroad vehicle or 

engine that is not covered by a 

certificate of conformity issued under 

this part at the time of importation. This 

addresses uncertified engines and 

vehicles that have been placed into 

service in other countries and that 

someone seeks to import into the United 

States. Importation of this kind of new 

nonroad engine or vehicle is generally 

prohibited by part 1068 of this chapter. 

Noncompliant vehicle or engine

means a vehicle or engine that was 

originally covered by a certificate of 

conformity, but is not in the certified 

configuration or otherwise does not 

comply with the conditions of the 

certificate. 

Nonconforming vehicle or engine

means a vehicle or engine not covered 

by a certificate of conformity that would 

otherwise be subject to emission 

standards. 

Nonmethane hydrocarbon means the 

difference between the emitted mass of 

total hydrocarbons and the emitted mass 

of methane. 

Nonroad means relating to nonroad 

engines, or to vehicles or equipment 

that include nonroad engines. 

Nonroad engine has the meaning 

given in § 1068.30 of this chapter. In 

general this means all internalcombustion engines except motor 

vehicle engines, stationary engines, or 

engines used solely for competition. 

This part only applies to nonroad 

engines that are used in snowmobiles, 

off-highway motorcycles, and ATVs (see 

§ 1051.5). 

Off-highway motorcycle means a twowheeled vehicle with a nonroad engine 

and a seat (excluding marine vessels 

and aircraft). (Note: highway 

motorcycles are regulated under 40 CFR 

part 86.) 

Offroad utility vehicle means a 

nonroad vehicle that has four or more 

wheels, seating for two or more persons, 

is designed for operation over rough 

terrain, and has either a rear payload 

350 pounds or more or seating for six or 

more passengers. Vehicles intended 

primarily for recreational purposes that 

are not capable of transporting six 

passengers (such as dune buggies) are 

not offroad utility vehicles. (Note: 

§ 1051.1(a) specifies that some offroad 

utility vehicles are required to meet the 

requirements that apply for all-terrain 

vehicles.) 

Oxides of nitrogen has the meaning 

given it in 40 CFR part 1065. 

Phase 1 means relating to Phase 1 

standards of §§ 1051.103, 1051.105, or 

1051.107, or other Phase 1 standards 

specified in subpart B of this part.

Phase 2 means relating to Phase 2 

standards of § 1051.103, or other Phase 

2 standards specified in subpart B of 

this part. 

Phase 3 means relating to Phase 3 

standards of § 1051.103, or other Phase 

3 standards specified in subpart B of 

this part. 

Physically adjustable range means the 

entire range over which an engine 

parameter can be adjusted, except as 

modified by § 1051.115(c). For parts 

described in § 1051.115(d), ‘‘physically 

adjustable range’’ means the adjustable 

range defined in that paragraph. 

Placed into service means used for its 

intended purpose. 

Point of first retail sale means the 

location at which the retail sale occurs. 

This generally means a dealership. 

Recreational means, for purposes of 

this part, relating to snowmobiles, allterrain vehicles, off-highway 

motorcycles, and other vehicles that we 

regulate under this part. Note that 40 

CFR part 90 applies to other recreational 

vehicles. 

Revoke means to discontinue the 

certificate for an engine family. If we 

revoke a certificate, you must apply for 

a new certificate before continuing to 

produce the affected vehicles or 

engines. This does not apply to vehicles 

or engines you no longer possess. 

Round means to round numbers 

according to ASTM E29–02 

(incorporated by reference in 

§ 1051.810), unless otherwise specified. 

Scheduled maintenance means 

adjusting, repairing, removing, 

disassembling, cleaning, or replacing 

components or systems that is 

periodically needed to keep a part from 

failing or malfunctioning. It also may 

mean actions you expect are necessary 

to correct an overt indication of failure 

or malfunction for which periodic 

maintenance is not appropriate. 

Small-volume manufacturer means: 

(1) For motorcycles and ATVs, a 

manufacturer that sold motorcycles or 

ATVs before 2003 and had annual U.S.-

directed production of no more than 

5,000 off-road motorcycles and ATVs 

(combined number) in 2002 and all 

earlier calendar years. For 

manufacturers owned by a parent 

company, the limit applies to the 

production of the parent company and 

all of its subsidiaries. 

(2) For snowmobiles, a manufacturer 

that sold snowmobiles before 2003 and 

had annual U.S.-directed production of 

no more than 300 snowmobiles in 2002 

and all earlier model years. For 

manufacturers owned by a parent 

company, the limit applies to the 

production of the parent company and 

all of its subsidiaries. 

(3) A manufacturer that we designate 

to be a small-volume manufacturer 

under § 1051.635. 

Snowmobile means a vehicle designed 

to operate outdoors only over snowcovered ground, with a maximum width 

of 1.5 meters or less. 

Spark-ignition means relating to a 

gasoline-fueled engine, or any other 

engine with a spark plug (or other 

sparking device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation. 

Suspend means to temporarily 

discontinue the certificate for an engine 

family. If we suspend a certificate, you 

may not sell vehicles or engines from 

that engine family unless we reinstate 

the certificate or approve a new one. 

Test sample means the collection of 

vehicles or engines selected from the 

population of an engine family for 

emission testing. 

Test vehicle or engine means a vehicle 

or engine in a test sample. 

Total hydrocarbon means the 

combined mass organic compounds 

measured by our total hydrocarbon test 

procedure, expressed as a hydrocarbon 

with a hydrogen-to-carbon mass ratio of 

1.85:1. 

Total hydrocarbon equivalent means 

the sum of the carbon mass 

contributions of non-oxygenated 

hydrocarbons, alcohols and aldehydes, 

or other organic compounds that are 

measured separately as contained in a 

gas sample, expressed as petroleumfueled engine hydrocarbons. The 

hydrogen-to-carbon ratio of the 

equivalent hydrocarbon is 1.85:1. 

Ultimate buyer means ultimate 

purchaser. 

Ultimate purchaser means, with 

respect to any new vehicle or engine, 

the first person who in good faith 

purchases such vehicle or engine for 

purposes other than resale. 

United States means the States, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68409

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands. 

Upcoming model year means for an 

engine family the model year after the 

one currently in production. 

U.S.-directed production means the 

number of vehicle units, subject to the 

requirements of this part, produced by 

a manufacturer (and/or imported) for 

which the manufacturer has a 

reasonable assurance that sale was or 

will be made to ultimate buyers in the 

United States. 

Useful life means the period during 

which a vehicle is required to comply 

with all applicable emission standards, 

specified as a number of kilometers, 

hours, and/or calendar years. It must be 

at least as long as both of the following: 

(1) The expected average service life 

before the vehicle is remanufactured or 

retired from service. 

(2) The minimum useful life value. 

Void means to invalidate a certificate 

or an exemption. If we void a certificate, 

all the vehicles produced under that 

engine family for that model year are 

considered noncompliant, and you are 

liable for each vehicle produced under 

the certificate and may face civil or 

criminal penalties or both. If we void an 

exemption, all the vehicles produced 

under that exemption are considered 

uncertified (or nonconforming), and you 

are liable for each vehicle produced 

under the exemption and may face civil 

or criminal penalties or both. You may 

not produce any additional vehicles 

using the voided exemption. 

Wide-open throttle means maximum 

throttle opening. Unless this is specified 

at a given speed, it refers to maximum 

throttle opening at maximum speed. For 

electronically controlled or other 

engines with multiple possible fueling 

rates, wide-open throttle also means the 

maximum fueling rate at maximum 

throttle opening under test conditions.

§ 1051.805 What symbols, acronyms, and 

abbreviations does this part use? 

The following symbols, acronyms, 

and abbreviations apply to this part:

°—degrees. 

ASTM—American Society for Testing and 

Materials. 

ATV—all-terrain vehicle. 

cc—cubic centimeters. 

cm—centimeter. 

C—Celsius. 

CO—carbon monoxide. 

CO2—carbon dioxide. 

EPA—Environmental Protection Agency. 

F—Fahrenheit. 

g—grams. 

g/gal/day—grams per gallon per test day. 

g/m2/day—grams per meter-square per test 

day. 

Hg—mercury. 

hr—hours. 

km—kilometer. 

kW—kilowatt. 

LPG—liquefied petroleum gas. 

m—meters. 

mm—millimeters. 

mW—milliwatts. 

NMHC—nonmethane hydrocarbons. 

NOX—oxides of nitrogen (NO and NOX). 

psig—pounds per square inches of gauge 

pressure. 

rpm—revolutions per minute. 

SAE—Society of Automotive Engineers. 

SI—spark-ignition. 

THC—total hydrocarbon. 

THCE—total hydrocarbon equivalent. 

U.S.C.—United States Code.

§ 1051.810 What materials does this part 

reference? 

We have incorporated by reference 

the documents listed in this section. 

The Director of the Federal Register

approved the incorporation by reference 

as prescribed in 5 U.S.C. 552(a) and 1 

CFR part 51. Anyone may inspect copies 

at the U.S. EPA, Air and Radiation 

Docket and Information Center, 1301 

Constitution Ave., NW., Room B102, 

EPA West Building, Washington, DC 

20460 or the Office of the Federal 

Register, 800 N. Capitol St., NW., 7th 

Floor, Suite 700, Washington, DC. 

(a) ASTM material. Table 1 of 

§ 1051.810 lists material from the 

American Society for Testing and 

Materials that we have incorporated by 

reference. The first column lists the 

number and name of the material. The 

second column lists the sections of this 

part where we reference it. Anyone may 

purchase copies of these materials from 

the American Society for Testing and 

Materials, 100 Barr Harbor Dr., West 

Conshohocken, PA 19428. Table 1 

follows:

TABLE 1 OF § 1051.810.—ASTM 

MATERIALS

Document number and name Part 1051 

reference 

ASTM D471–98, Standard Test 

Method for Rubber PropertyEffect of Liquids. ..................... 1051.501 

ASTM D814–95 (reapproved 

2000), Standard Test Method 

for Rubber Property-Vapor 

Transmission of Volatile Liquids. ......................................... 1051.245 

ASTM E29–02, Standard Practice for Using Significant Digits 

in Test Data to Determine 

Conformance with Specifications. ........................................ 1051.801 

(b) SAE material. Table 2 of 

§ 1051.810 lists material from the 

Society of Automotive Engineering that 

we have incorporated by reference. The 

first column lists the number and name 

of the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096. Table 2 follows:

TABLE 2 OF § 1051.810.—SAE 

MATERIALS

Document number and name Part 1051 

reference 

SAE J30, Fuel and Oil Hoses, 

June 1998. .............................. 1051.245, 

1051.501 

SAE J1930, Electrical/Electronic 

Systems Diagnostic Terms, 

Definitions, Abbreviations, and 

Acronyms, May 1998. ............. 1051.135 

SAE J2260, Nonmetallic Fuel 

System Tubing with One or 

More Layers, November 1996. 1051.245 

§ 1051.815 How should I request EPA to 

keep my information confidential? 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. 

(b) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(c) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in § 2.204 of 

this chapter.

§ 1051.820 How do I request a hearing? 

See 40 CFR part 1068, subpart G, for 

information related to hearings.

PART 1065—TEST PROCEDURES AND 

EQUIPMENT

Subpart A—Applicability and General 

Provisions 

Sec. 

1065.1 Applicability. 

1065.5 Overview of test procedures. 

1065.10 Other test procedures. 

1065.15 Engine testing. 

1065.20 Limits for test conditions.

Subpart B—Equipment and Analyzers 

1065.101 Overview. 

1065.105 Dynamometer and engine 

equipment specifications. 

1065.110 Exhaust gas sampling system; 

spark-ignition (SI) engines. 

68410 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

1065.115 Exhaust gas sampling system; 

compression-ignition engines. [Reserved] 

1065.120 Raw sampling. [Reserved] 

1065.125 Analyzers (overview/general 

response characteristics). 

1065.130 Hydrocarbon analyzers. 

1065.135 NOX analyzers. 

1065.140 CO and CO2 analyzers. 

1065.145 Smoke meters. [Reserved] 

1065.150 Flow meters. 

1065.155 Temperature and pressure 

sensors.

Subpart C—Test Fuels and Analytical 

Gases 

1065.201 General requirements for test 

fuels. 

1065.205 Test fuel specifications for 

distillate diesel fuel. [Reserved] 

1065.210 Test fuel specifications for 

gasoline. 

1065.215 Test fuel specifications for natural 

gas. 

1065.220 Test fuel specifications for 

liquefied petroleum gas. 

1065.240 Lubricating oils. 

1065.250 Analytical gases.

Subpart D—Analyzer and Equipment 

Calibrations 

1065.301 Overview. 

1065.305 International calibration 

standards. 

1065.310 CVS calibration. [Reserved] 

1065.315 Torque calibration.

Subpart E—Engine Selection, Preparation, 

and Service Accumulation 

1065.401 Selecting a test engine. 

1065.405 Preparing and servicing a test 

engine. 

1065.410 Service limits for stabilized test 

engines. 

1065.415 Durability demonstration.

Subpart F—Running an Emission Test 

1065.501 Overview of the engine 

dynamometer test procedures. 

1065.510 Engine mapping procedures. 

1065.515 Test cycle generation. 

1065.520 Engine starting, restarting, and 

shutdown. 

1065.525 Engine dynamometer test run. 

1065.530 Test cycle validation criteria.

Subpart G—Data Analysis and Calculations 

1065.601 Overview. 

1065.605 Required records. 

1065.610 Bag sample analysis. 

1065.615 Bag sample calculations.

Subpart H—Particulate Measurements 

[Reserved]

Subpart I—Testing With Oxygenated Fuels 

1065.801 Applicability. 

1065.805 Sampling system. 

1065.810 Calculations.

Subpart J—Field Testing 

1065.901 Applicability. 

1065.905 General provisions. 

1065.910 Measurement accuracy and 

precision. 

1065.915 Equipment specifications for SI 

engines. 

1065.920 Equipment setup and test run for 

SI engines. 

1065.925 Calculations. 

1065.930 Specifications for mass air flow 

sensors. 

1065.935 Specifications for THC analyzers. 

1065.940 Specifications for NOX and air/

fuel sensors. 

1065.945 Specifications for CO analyzers. 

1065.950 Specifications for speed and 

torque measurement.

Subpart K—Definitions and Other 

Reference Information 

1065.1001 Definitions. 

1065.1005 Symbols, acronyms, and 

abbreviations. 

1065.1010 Reference materials. 

1065.1015 Confidential information.

Authority: 42 U.S.C. 7401–7671(q).

Subpart A—Applicability and General 

Provisions

§ 1065.1 Applicability. 

(a) This part describes the procedures 

that apply to testing that we require for 

the following engines or for equipment 

using the following engines: 

(1) Large nonroad spark-ignition 

engines we regulate under 40 CFR part 

1048. 

(2) Vehicles that we regulate under 40 

CFR part 1051 (i.e., recreational SI 

vehicles) that are regulated based on 

engine testing. See 40 CFR part 1051 to 

determine which vehicles may be 

certified based on engine test data. 

(b) This part does not apply to any of 

the following engine or vehicle 

categories: 

(1) Light-duty highway vehicles (see 

40 CFR part 86). 

(2) Heavy-duty highway Otto-cycle 

engines (see 40 CFR part 86). 

(3) Heavy-duty highway diesel 

engines (see 40 CFR part 86). 

(4) Aircraft engines (see 40 CFR part 

87). 

(5) Locomotive engines (see 40 CFR 

part 92). 

(6) Land-based nonroad diesel engines 

(see 40 CFR part 89). 

(7) General marine engines (see 40 

CFR parts 89 and 94). 

(8) Marine outboard and personal 

watercraft engines (see 40 CFR part 91). 

(9) Small nonroad spark-ignition 

engines (see 40 CFR part 90). 

(c) This part is addressed to you as a 

manufacturer, but it applies equally to 

anyone who does testing for you, and to 

us when we conduct testing to 

determine if you meet emission 

standards. 

(d) Paragraph (a) of this section 

identifies the parts of the CFR that 

define emission standards and other 

requirements for particular types of 

engines. In this part 1065, we refer to 

each of these other parts generically as 

the ‘‘standard-setting part.’’ For 

example, 40 CFR part 1051 is always the 

standard-setting part for snowmobiles. 

Follow the standard-setting part if it 

differs from this part. 

(e) For equipment subject to this part 

and regulated under equipment-based or 

vehicle-based standards, interpret the 

term ‘‘engine’’ in this part to include 

equipment and vehicles(see 40 CFR 

1068.30).

§ 1065.5 Overview of test procedures. 

(a) Some of the provisions of this part 

do not apply to all types of engines. For 

example, measurement of particulate 

matter is generally not required for 

spark-ignition engines. See the 

standard-setting part to determine 

which provisions in this part may not 

apply. Before using this part’s 

procedures, read the standard-setting 

part to answer at least the following 

questions: 

(1) How should I warm up the test 

engine before measuring emissions? Do 

I need to measure cold-start emissions 

during this warm-up segment of the 

duty cycle? 

(2) Do I measure emissions while the 

warmed-up engine operates over a 

steady-state schedule, a transient 

schedule, or both? 

(3) What are the speed and load 

points of the test cycle(s)? 

(4) Which exhaust constituents do I 

need to measure? 

(5) Does testing require full-flow 

dilute sampling? Is raw sampling 

acceptable? Is partial-flow dilute 

sampling acceptable? 

(6) Do any unique specifications 

apply for test fuels? 

(7) What maintenance steps may I do 

before or between tests on an emissiondata engine? 

(8) Do any unique requirements apply 

to stabilizing emission levels on a new 

engine? 

(9) Do any unique requirements apply 

to testing conditions, such as ambient 

temperatures or pressures? 

(10) Are there special emission 

standards that affect engine operation 

and ambient conditions? 

(11) Are there different emission 

standards that apply to field testing 

under normal operation? 

(b) The following table shows how 

this part divides testing specifications 

into subparts:

This subpart... Describes these specifications 

or procedures... 

Subpart A ..... General provisions for test 

procedures. 

Subpart B ..... Equipment for testing. 

Subpart C ..... Fuels and analytical gases for 

testing. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68411

This subpart... Describes these specifications 

or procedures... 

Subpart D ..... How to calibrate test equipment. 

Subpart E ..... How to prepare engines for 

testing, including service 

accumulation. 

Subpart F ..... How to test for emissions. 

Subpart G ..... How to calculate emission 

levels from measured data. 

Subpart H ..... [Reserved]. 

Subpart I ...... How to measure emissions 

from engines fueled with an 

oxygenated fuel such as 

methanol or ethanol. 

Subpart J ...... How to do field testing of inuse vehicles and equipment. 

Subpart K ..... Definitions, abbreviations, and 

other reference information 

that apply to emission testing. 

§ 1065.10 Other test procedures. 

(a) Your testing. These test procedures 

apply for all testing that you do to show 

compliance with emission standards, 

with a few exceptions listed in this 

section. 

(b) Our testing. These test procedures 

generally apply for testing that we do to 

determine if your engines comply with 

applicable emission standards. We may 

conduct other testing as allowed by the 

Act.

(c) Exceptions. You may be allowed or 

required to use test procedures other 

than those specified in this part in the 

following cases: 

(1) The test procedures in this part are 

intended to produce emission 

measurements equivalent to those that 

would result from measuring emissions 

during in-use operation using the same 

engine configuration installed in a piece 

of equipment. If good engineering 

judgment indicates that use of the 

procedures in this part for an engine 

would result in measurements that are 

not representative of in-use operation of 

that engine, you must notify us. If we 

determine that using these procedures 

would result in measurements that are 

significantly unrepresentative and that 

changing the procedures will result in 

more representative measurements and 

not decrease the stringency of emission 

standards, we will specify changes to 

the procedures. In your notification to 

us, you should recommend specific 

changes you think are necessary. 

(2) You may ask to use emission data 

collected using other test procedures, 

such as those of the California Air 

Resources Board or the International 

Organization for Standardization. We 

will allow this only if you show us that 

these data are equivalent to data 

collected using our test procedures. 

(3) You may ask to use alternate 

procedures that produce measurements 

equivalent to those from the specified 

procedures. If you send us a written 

request showing your procedures are 

equivalent, and we agree that they are 

equivalent, we will allow you to use 

them. You may not use an alternate 

procedure until we approve them, either 

by: telling you directly that you may use 

this procedure; or issuing guidance to 

all manufacturers, which allows you to 

use the alternate procedure without 

additional approval. 

(4) You may ask to use special test 

procedures if your engine cannot be 

tested under the specified procedures 

(for example, your engine cannot 

operate on the specified transient cycle). 

In this case, tell us in writing why you 

cannot satisfactorily test your engines 

using this part’s procedures and ask to 

use a different approach. We will 

approve your special test procedures if 

we determine they would produce 

emission measurements that are 

representative of those that would result 

from measuring emissions during in-use 

operation. You may not use special 

procedures until we approve them. 

(5) The standard-setting part may 

contain other specifications for test 

procedures that apply for your engines. 

In cases where it is not possible to 

comply with both the test procedures in 

those parts and the test procedures in 

this part, you must comply with the test 

procedures specified in the standardsetting part. Those other parts may also 

allow you to deviate from the test 

procedures of this part for other reasons.

§ 1065.15 Engine testing. 

(a) This part describes the procedures 

for performing exhaust emission tests on 

engines that must meet emission 

standards. 

(b) Generally, you must test an engine 

while operating it on a laboratory 

dynamometer over a prescribed 

sequence. (Subpart J of this part 

describes in-use testing of engines 

installed in vehicles or equipment.) You 

need to sample and analyze the exhaust 

gases generated during engine operation 

to determine the concentration of the 

regulated pollutants. 

(c) Concentrations are converted into 

units of grams of pollutant per kilowatthour (g/kW-hr) or similar units for 

comparison to emission standards. If the 

applicable emission standards are 

expressed as g/bhp-hr, references in this 

part to kW should generally be 

interpreted to mean horsepower.

§ 1065.20 Limits for test conditions. 

(a) Unless specified elsewhere in this 

chapter, you may conduct tests to 

determine compliance with duty-cycle 

emission standards at ambient 

temperatures of 20–30° C (68–86° F), 

ambient pressures of 600–775 mm Hg, 

and any ambient humidity level. 

(b) Follow the standard-setting part 

for ambient conditions when testing to 

determine compliance with not-toexceed or other off-cycle emission 

standards. 

(c) For engine testing in a laboratory, 

you may heat, cool, and/or dehumidify 

the dilution air before it enters the CVS. 

(d) For engine testing in a laboratory, 

if the barometric pressure observed 

while generating the maximum-torque 

curve changes by more than 25 mm Hg 

from the value measured when you 

started mapping, you must remap the 

engine. Also, to have a valid test, the 

average barometric pressure observed 

during the exhaust emission test must 

be within 25 mm Hg of the average 

observed during the maximum torque 

curve generation (see § 1065.510).

Subpart B—Equipment and Analyzers

§ 1065.101 Overview. 

This subpart describes equipment and 

analyzers for measuring emissions. 

Subpart D of this part describes how to 

calibrate these devices and subpart C of 

this part defines the accuracy and purity 

specifications of analytical gases.

§ 1065.105 Dynamometer and engine 

equipment specifications. 

(a) The engine dynamometer system 

must be able to control engine torque 

and speed simultaneously over the 

applicable test cycles within the 

accuracies specified in § 1065.530. If 

your dynamometer cannot meet the 

accuracy requirements in § 1065.530, 

you must get our approval before using 

it. For transient testing, issue command 

set points for engine torque and speed 

at 5 Hz or greater (10 Hz recommended). 

Record feedback engine torque and 

speed at least once every second during 

the test. In addition to these general 

requirements, make sure your engine or 

dynamometer’s readout signals for 

speed and torque meet the following 

accuracies for all testing: 

(1) Engine speed readout must be 

accurate to within ±2 percent of the 

absolute standard value. A 60-tooth (or 

greater) wheel in combination with a 

common mode rejection frequency 

counter is considered an absolute 

standard for engine or dynamometer 

speed. 

68412 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(2) Engine flywheel torque readout 

must meet one of the two following 

standards for accuracy: 

(i) Within ±3 percent of the NIST true 

value torque (as defined in § 1065.315). 

(ii) The following accuracies:

If the full-scale torque 

value is... 

Engine flywheel 

torque readout must 

be within... 

T ≤ 550 ft-lbs. ............ ±2.5 ft-lbs. of NIST 

true value. 

550 < T ≤ 1050 ft-lbs. ±5.0 ft-lbs. of NIST 

true value. 

T > 1050 ft-lbs. ±10.0 ft-lbs. of NIST 

true value. 

(3) Option: You may use internal 

dynamometer signals (such as armature 

current) to measure torque if you can 

show that the engine flywheel torque 

during the test cycle conforms to 

paragraph (b)(2) of this section. Your 

measurements must compensate for 

increased or decreased flywheel torque 

because of the armature’s inertia during 

accelerations and decelerations in the 

test cycle. 

(b) To verify that the test engine has 

followed the test cycle correctly, collect 

the dynamometer or engine readout 

signals for speed and torque so you can 

statistically correlate the engine’s actual 

performance with the test cycle (see 

§ 1065.530). Normally, to do this, you 

would convert analog signals from the 

dynamometer or engine into digital 

values for computer storage, but all 

conversions must meet two criteria: 

(1) Speed values used to evaluate 

cycles must be accurate to within 2 

percent of the readout value for 

dynamometer or engine speed.

(2) Engine flywheel torque values 

used to evaluate cycles must be accurate 

to within 2 percent of the readout value 

for dynamometer or engine flywheel 

torque. 

(c) You may combine the tolerances in 

paragraphs (a) and (b) of this section if 

you use the root mean square (RMS) 

method and refer accuracies of the RMS 

values to absolute-standard or NIST true 

values. 

(1) Speed values used to evaluate 

cycles must be accurate to within ±2.8 

percent of the absolute standard values, 

as defined in paragraph (a)(1) of this 

section. 

(2) Engine flywheel torque values 

used to evaluate cycles must be accurate 

to within ±3.6 percent of NIST true 

values, as determined in § 1065.315.

§ 1065.110 Exhaust gas sampling system; 

spark-ignition (SI) engines. 

(a) General. The exhaust gas sampling 

system described in this section is 

designed to measure the true mass of 

gaseous emissions in the exhaust of SI 

engines. (If the standard-setting part 

requires determination of THCE or 

NMHCE for your engine, then see 

subpart I of this part for additional 

requirements.) Under the constantvolume sampler (CVS) concept, you 

must measure the total volume of the 

mixture of exhaust and dilution air and 

collect a continuously proportioned 

volume of sample for analysis. You 

must control flow rates so that the ratio 

of sample flow to CVS flow remains 

constant. You then determine the mass 

emissions from the sample 

concentration and total flow over the 

test period. 

(1) Do not let the CVS or dilution air 

inlet system artificially lower exhaust 

system backpressure. To verify proper 

backpressures, measure pressure in the 

raw exhaust immediately upstream of 

the inlet to the CVS. Continuously 

measure and compare the static pressure 

of the raw exhaust observed during a 

transient cycle—with and without the 

CVS operating. Static pressure measured 

with the CVS system operating must 

remain within ±5 inches of water (1.2 

kPa) of the static pressure measured 

when disconnected from the CVS, at 

identical moments in the test cycle. 

(Note: We will use sampling systems 

that can maintain the static pressure to 

within ±1 inch of water (0.25 kPa) if 

your written request shows that this 

closer tolerance is necessary.) This 

requirement serves as a design 

specification for the CVS/dilution air 

inlet system, and should be performed 

as often as good engineering practice 

dictates (for example, after installing an 

uncharacterized CVS, adding an 

unknown inlet restriction on the 

dilution air, or otherwise altering the 

system). 

(2) The system for measuring 

temperature (sensors and readout) must 

have an accuracy and precision of ±3.4°

F (±1.9° C). The temperature measuring 

system for a CVS without a heat 

exchanger must respond within 1.50 

seconds to 62.5 percent of a temperature 

change (as measured in hot silicone oil). 

For a CVS with a heat exchanger, there 

is no specific requirement for response 

time. 

(3) The system for measuring pressure 

(sensors and readout) must have an 

accuracy and precision of ±3 mm Hg 

(0.4 kPa). 

(4) The flow capacity of the CVS must 

be large enough to keep water from 

condensing in the system. You may 

dehumidify the dilution air before it 

enters the CVS. You also may heat or 

cool the air if three conditions exist: 

(i) The air (or air plus exhaust gas) 

temperature does not exceed 250° F 

(121° C). 

(ii) You calculate the CVS flow rate 

necessary to prevent water condensation 

based on the lowest temperature in the 

CVS before sampling. (We recommend 

insulating the CVS system when you 

use heated dilution air.) 

(iii) The dilution ratio is high enough 

to prevent condensation in bag samples 

as they cool to room temperature. 

(5) Bags for collecting dilution air and 

exhaust samples must be big enough for 

samples to flow freely. 

(6) The general CVS sample system 

consists of a dilution air filter (optional) 

and mixing assembly, cyclone 

particulate separator (optional), a 

sample line for the bag sample or other 

sample lines a dilution tunnel, and 

associated valves and sensors for 

pressure and temperature. Except for the 

system to sample hydrocarbons from 

two-stroke engines, the temperature of 

the sample lines must be more than 3°

C above the mixture’s maximum dew 

point and less than 121° C. We 

recommend maintaining them at 113 ±

8° C. For the hydrocarbon sampling 

system with two-stroke engines, the 

temperature of the sample lines should 

be maintained at 191 ± 11° C. A general 

schematic of the SI sampling system is 

shown in Figure 1065.110–1, which 

follows:

BILLING CODE 6560–50–P

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68413

BILLING CODE 6460–50–C (b) Steady-state testing. Constant 

proportional sampling is required 

throughout transient testing, but is not 

required throughout steady-state testing. 


ER08NO02.017</GPH>
68414 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Steady-state testing requires that you 

draw a proportional sample for each test 

mode, but you may sample in different 

proportions for different test modes, as 

long as you know the ratio of the sample 

flow to total flow during each test mode. 

This allowance means that you may use 

simpler flow control systems for steadystate testing than are shown in Figure 

1065.110–1 of this section. 

(c) Configuration variations. Since 

various configurations can produce 

equivalent results, you need not 

conform exactly to the drawings in this 

subpart. You may use other 

components—such as instruments, 

valves, solenoids, pumps and 

switches—to provide more information 

and coordinate the components’

functions. Based on good engineering 

judgment, you may exclude other 

components that are not needed to 

maintain accuracy on some systems. 

(d) CFV–CVS component description.

The flow characteristics of a CriticalFlow Venturi, Constant-Volume 

Sampler (CFV–CVS) are governed by the 

principles of fluid dynamics associated 

with critical flow. The CFV system is 

commonly called a constant-volume 

system (CVS) even though the mass flow 

varies. More properly, they are constantproportion sampling systems, because 

small CFVs in each of the sample lines 

maintains proportional sampling while 

temperatures vary. This CFV maintains 

the mixture’s flow rate at choked flow, 

which is inversely proportional to the 

square root of the gas temperature, and 

the system computes the actual flow 

rate continuously. Because pressures 

and temperatures are the same at all 

venturi inlets, the sample volume is 

proportional to the total volume. The 

CFV–CVS sample system uses critical 

flow venturis for the bag sample or other 

sample lines (these are shown in the 

figure as flow control valves) and a 

critical flow venturi for the dilution 

tunnel. All venturis must be maintained 

at the same temperature. 

(e) EFC–CVS component description.

The electronic flow control-CVS (EFC–

CVS) system for sampling is identical to 

the CFV system described in paragraph 

(b) of this section, except that it adds 

electronic flow controllers (instead of 

sampling venturis), a subsonic venturi 

and an electronic flow controller for the 

CVS (instead of the critical flow 

venturi), metering valves, and separate 

flow meters (optional) to totalize sample 

flow volumes. The EFC sample system 

must conform to the following 

requirements: 

(1) The system must meet all the 

requirements in paragraph (b) of this 

section. 

(2) The ratio of sample flow to CVS 

flow must not vary by more than ±5 

percent from the test’s setpoint. 

(3) Sample flow totalizers must meet 

the accuracy specifications in 

§ 1065.150. You may obtain total 

volumes from the flow controllers, with 

our advance approval, if you can show 

they meet these accuracies. 

(f) Component description, PDP–CVS.

The positive-displacement pump-CVS 

(PDP–CVS) system for sampling is 

identical to the CFV system described in 

paragraph (b) of this section, except for 

the following changes: 

(1) Include a heat exchanger. 

(2) Use positive-displacement pumps 

for the CVS flow and sampling-system 

flow. You do not need sampling 

venturis or a venturi for the dilution 

tunnel. All pumps must operate at a 

constant flow rate. 

(3) All pumps must operate at a 

nominally constant temperature. 

Maintain the gas mixture’s 

temperature—measured at a point just 

ahead of the positive-displacement 

pump (and after the heat exchanger for 

the main CVS pump)—within ±10° F 

(±5.6° C) of the average operating 

temperature observed during the test. 

(You may estimate the average operating 

temperature from the temperatures 

observed during similar tests.) The 

system for measuring temperature 

(sensors and readout) must have an 

accuracy and precision of ±3.4° F (1.9°

C), and response time consistent with 

good engineering judgment. 

(g) Mixed systems. You may combine 

elements of paragraphs (d), (e), and (f) 

consistent with good engineering 

judgment. For example, you may control 

the CVS flow rate using a CFV, and 

control sample flow rates using 

electronic flow controllers.

§ 1065.115 Exhaust gas sampling system; 

compression-ignition engines. [Reserved]

§ 1065.120 Raw sampling. [Reserved]

§ 1065.125 Analyzers (overview/general 

response characteristics). 

(a) General. The following sections 

and subparts describe the specifications 

for analyzers and analytical equipment: 

(1) The analyzers for measuring 

hydrocarbon, NOX, CO, and CO2

emission concentrations are specified in 

§ 1065.130 through § 1065.140. 

(2) The analytical equipment for 

measuring particulate emissions is 

specified in Subpart H of this part. 

(3) The analytical equipment for 

measuring emissions of oxygenated 

compounds (for example, methanol) is 

specified in Subpart I of this part. 

(4) The analytical equipment for 

measuring in-use emissions is specified 

in Subpart J of this part. 

(b) Response time. Analyzers must 

have the following response 

characteristics: 

(1) For steady-state testing and 

transient testing with bag sample 

analysis, the analyzer must reach at 

least 90 percent of its final response 

within 5.0 seconds after any step change 

to the input concentration at or above 80 

percent of full scale. 

(2) For transient testing with 

continuous measurement, the analyzer 

must reach at least 90 percent of its final 

response within 1.0 second after any 

step change to the input concentration 

at or above 80 percent of full scale. 

(c) Precision and noise. Analyzers 

must meet the following characteristics 

for precision and noise: 

(1) Precision must be no worse than 

±1 percent of full-scale concentration for 

each range used above 155 ppm (or 

ppmC), or ±2 percent for each range 

used below 155 ppm (or ppmC). For this 

paragraph (c)(1), we define precision as 

2.5 times the standard deviation of 10 

repetitive responses to a given 

calibration or span gas. 

(2) Peak-to-peak response to zero and 

calibration or span gases over any 10-

second period must be no more than 2 

percent of full-scale chart deflection on 

all ranges used. 

(d) Drift. Analyzers must meet 

specifications for zero-response and 

span drift. 

(1) The zero-response drift during one 

hour must be less than 2 percent of fullscale chart deflection on the lowest 

range used. Zero-response is the mean 

response, including noise, to a zero-gas 

during a 30-second interval. 

(2) The span drift during one hour 

must be less than 2 percent of full-scale 

chart deflection on the lowest range 

used. Span is the difference between the 

span-response and the zero-response. 

Span-response is the mean response, 

including noise, to a span gas during a 

30-second interval. 

(e) Calibration. See subpart D of this 

part for specifications to calibrate 

analyzers.

§ 1065.130 Hydrocarbon analyzers. 

This section describes the 

requirements for flame ionization 

detectors (FIDs) used to measure 

hydrocarbons. 

(a) Fuel the FID with a mixture of 

hydrogen in helium and calibrate it 

using propane. 

(b) If you use a heated FID (required 

only for diesels and two-stroke, sparkignition engines), keep the temperature 

191 ±11° C). 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68415

(c) Use an overflow sampling system 

for heated continuous FIDs. (In an 

overflow system excess zero gas or span 

gas spills out of the probe when you are 

doing zero or span checks.) 

(d) Do not premix the FID fuel and 

burner air. 

(e) Make sure the FID meets accuracy 

and precision specifications in ISO 

8178–1 (incorporated by reference in 

§ 1065.1010).

§ 1065.135 NOX analyzers. 

This section describes the 

requirements for chemiluminescent 

detectors (CLD) used to measure NOX. 

Good engineering practice may require 

the use of other detectors. 

(a) A CLD must meet the following 

requirements: 

(1) Make sure your CLD meets the 

accuracy and precision specifications in 

ISO 8178–1 (incorporated by reference 

in § 1065.1010). 

(2) The NO to NO2 converter must 

have an efficiency of at least 90 percent. 

(3) Use an overflow sampling system 

for continuous CLDs. (In an overflow 

system excess zero gas or span gas spills 

out of the probe when you are doing 

zero or span checks.) 

(4) You do not need a heated CLD to 

test spark-ignition engines. 

(b) Using CLDs is generally acceptable 

even though they measure only NO and 

NO2, since conventional engines do not 

emit significant amounts of other NOX

species.

§ 1065.140 CO and CO2 analyzers. 

This section describes the 

requirements for non-dispersive infrared 

absorption detectors (NDIR) to measure 

CO and CO2. 

(a) The NDIR must meet the 

applicable accuracy and precision 

specifications of ISO 8178–1 

(incorporated by reference in 

§ 1065.1010). 

(b) The NDIR must meet the 

applicable quench and interference 

requirements of ISO 8178–1 

(incorporated by reference in 

§ 1065.1010).

§ 1065.145 Smoke meters. [Reserved]

§ 1065.150 Flow meters. 

(a) Flow meters must have accuracy 

and precision of ±2 percent of point or 

better and be traceable to NIST 

standards. 

(b) You may correct flow 

measurements for temperature or 

pressure, if your temperature and 

pressure measurements have accuracy 

and precision of ±2 percent of point or 

better (absolute).

§ 1065.155 Temperature and pressure 

sensors. 

(a) Except where we specify otherwise 

in this part, must meet the applicable 

accuracy and precision specifications of 

ISO 8178–1 (incorporated by reference 

in § 1065.1010). 

(b) Use good engineering judgment to 

design and operate your temperature 

and pressure measuring systems to 

minimize delays in response time and 

avoid hysteresis.

Subpart C—Test Fuels and Analytical 

Gases

§ 1065.201 General requirements for test 

fuels. 

(a) For all emission tests, use test fuels 

meeting the specifications in this 

subpart, unless the standard-setting part 

directs otherwise. For any service 

accumulation on a test engine, if we do 

not specify a fuel, use the specified test 

fuel or a fuel typical of what you would 

expect the engine to use in service. 

(b) We may require you to test the 

engine with each type of fuel it can use 

(for example, gasoline and natural gas). 

(c) If you will produce engines that 

can run on a type of fuel (or mixture of 

fuels) that we do not specify in this 

subpart, we will allow you to test with 

fuel representing commercially 

available fuels of that type. However, we 

must approve your fuel’s specifications 

before you may use it for emission 

testing. 

(d) You may use a test fuel other than 

those we specify in this subpart if you 

do all of the following: 

(1) Show that it is commercially 

available. 

(2) Show that your engines will use 

only the designated fuel in service. 

(3) Show that operating the engines 

on the fuel we specify would increase 

emissions or decrease durability. 

(4) Get our written approval before 

you start testing. 

(e) We may allow you to use other test 

fuels (for example, California Phase 2 

gasoline) if they do not affect the 

demonstration of compliance.

§ 1065.205 Test fuel specifications for 

distillate diesel fuel. [Reserved]

§ 1065.210 Test fuel specifications for 

gasoline. 

Gasoline used as a test fuel must meet 

the following specifications: 

(a) Unless the standard-setting part 

requires testing with fuel appropriate for 

low temperatures, use gasoline test fuels 

meeting the specifications in the 

following table:

TABLE 1 OF § 1065.210.—GENERAL TEST-FUEL SPECIFICATIONS FOR GASOLINE

Item Procedure 1 Value 1

Distillation Range: 

1. Initial boiling point, °C .................................................................................................................. ASTM D 86–01 23.9–35.02

2. 10% point, °C ............................................................................................................................... ASTM D 86–01 48.9–57.2 

3.50% point, °C ................................................................................................................................ ASTM D 86–01 93.3–110.0 

4. 90% point, °C ............................................................................................................................... ASTM D 86–01 148.9–162.8 

5. End point, °C (maximum) ............................................................................................................. ASTM D 86–01 212.8. 

Hydrocarbon composition: 

1. Olefins, volume % ........................................................................................................................ ASTM D 1319–02 10 maximum 

2. Aromatics, volume % .................................................................................................................... ASTM D 1319–02 35 maximum 

3. Saturates ...................................................................................................................................... ASTM D 1319–02 Remainder 

Lead (organic), g/liter ............................................................................................................................... ASTM D 3237–97 0.013 maximum 

Phosphorous, g/liter ................................................................................................................................. ASTM D 3231–02 0.0013 maximum 

68416 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

TABLE 1 OF § 1065.210.—GENERAL TEST-FUEL SPECIFICATIONS FOR GASOLINE—Continued

Item Procedure 1 Value 1

Sulfur, weight % ....................................................................................................................................... ASTM D 1266–98 0.008 maximum 

Volatility (Reid Vapor Pressure), kPa ...................................................................................................... ASTM D 323–99a 60.0 to 63.4.2,3

1All ASTM standards are incorporated by reference in § 1065.1010. 2For testing at altitudes above 1 219 m, the specified volatility range is 52 to 55 kPa (7.5 to 8.0) and the specified initial boiling point range is 

23.9° to 40.6° C. 3For testing unrelated to evaporative emissions, the specified range is 55 to 63 kPa (8.0 to 9.1 psi). 

(b) If the standard-setting part requires 

testing with fuel appropriate for low 

temperatures, use gasoline test fuels 

meeting the specifications in the 

following table:

TABLE 2 OF § 1065.210.—LOW-TEMPERATURE TEST-FUEL SPECIFICATIONS FOR GASOLINE

Item Procedure 1 Value 1

Distillation Range: 

1. Initial boiling point, °C .................................................................................................................. ASTM D 86–01 24.4–35.6. 

2. 10% point, °C ............................................................................................................................... ASTM D 86–01 36.7–47.8. 

3. 50% point, °C ............................................................................................................................... ASTM D 86–01 81.7–101.1. 

4. 90% point, °C ............................................................................................................................... ASTM D 86–01 157.8–174.4. 

5. End point, °C (maximum) ............................................................................................................. ASTM D 86–01 211.7. 

Hydrocarbon composition: 

1. Olefins, volume % ........................................................................................................................ ASTM D 1319–02 17.5 maximum. 

2. Aromatics, volume % .................................................................................................................... ASTM D 1319–02 30.4 maximum. 

3. Saturates ...................................................................................................................................... ASTM D 1319–02 Remainder. 

Lead (organic), g/liter ............................................................................................................................... ASTM D 3237–97 0.013 maximum. 

Phosphorous, g/liter ................................................................................................................................. ASTM D 3231–02 0.005 maximum. 

Sulfur, weight % ....................................................................................................................................... ASTM D 1266–98 0.08 maximum. 

Volatility (Reid Vapor Pressure), kPa ...................................................................................................... ASTM D 323–99a 11.2—11.8 psi. 

1All ASTM standards are incorporated by reference in § 1065.1010. 

(c) Use gasoline test fuel with octane 

values that represent commercially 

available fuels for the appropriate 

application.

§ 1065.215 Test fuel specifications for 

natural gas. 

(a) Natural gas used as a test fuel must 

meet the specifications in the following 

table:

TABLE 1 OF § 1065.215.—TEST-FUEL SPECIFICATIONS FOR NATURAL GAS

Item Procedure1 Value

(mole percent) 

1. Methane ............................................................................................................................................... ASTM D 1945–96 87.0 minimum. 

2. Ethane .................................................................................................................................................. ASTM D 1945–96 5.5 maximum. 

3. Propane ............................................................................................................................................... ASTM D 1945–96 1.2 maximum. 

4. Butane .................................................................................................................................................. ASTM D 1945–96 0.35 maximum. 

5. Pentane ................................................................................................................................................ ASTM D 1945–96 0.13 maximum. 

6. C6 and higher ...................................................................................................................................... ASTM D 1945–96 0.1 maximum. 

7. Oxygen ................................................................................................................................................. ASTM D 1945–96 1.0 maximum. 

8. Inert gases (sum of CO2 and N2) ........................................................................................................ ASTM D 1945–96 5.1 maximum. 

1All ASTM standards are incorporated by reference in § 1065.1010. 

(b) At ambient conditions, the fuel 

must have a distinctive odor detectable 

down to a concentration in air of not more than one-fifth of the lower 

flammability limit.

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68417

§ 1065.220 Test fuel specifications for 

liquefied petroleum gas. 

(a) Liquefied petroleum gas used as a 

test fuel must meet the specifications in 

the following table:

TABLE 1 OF § 1065.220.—TEST-FUEL SPECIFICATIONS FOR LIQUEFIED PETROLEUM GAS

Item Procedure 1 Value 

1. Propane .......................................................................................................................... ASTM D 2163–91 85.0 vol. percent minimum. 

2. Vapor pressure at 38° C ................................................................................................ ASTM D 1267–02 

or 2598–02 2

14 bar maximum. 

3. Volatility residue (evaporated temp., 35° C) .................................................................. ASTM D 1837–02 –38° C maximum. 

4. Butanes .......................................................................................................................... ASTM D 2163–91 5.0 vol. percent maximum. 

5. Butenes .......................................................................................................................... ASTM D 2163–91 2.0 vol. percent maximum. 

6. Pentenes and heavier .................................................................................................... ASTM D 2163–91 0.5 vol. percent maximum. 

7. Propene .......................................................................................................................... ASTM D 2163–91 10.0 vol. percent maximum. 

8. Residual matter (residue on evap. of 100 ml oil stain observ.) .................................... ASTM D 2158–02 0.05 ml maximum pass.3

9. Corrosion, copper strip ................................................................................................... ASTM D 1838–91 No. 1 maximum. 

10. Sulfur ............................................................................................................................ ASTM D 2784–98 80 ppm maximum. 

11. Moisture content ........................................................................................................... ASTM D 2713–91 pass. 

1All ASTM standards are incorporated by reference in § 1065.1010. 2 If these two test methods yield different results, use the results from ASTM D 1267–02. 3The test fuel must not yield a persistent oil ring when you add 0.3 ml of solvent residue mixture to a filter paper in 0.1 ml increments and examine it in daylight after two minutes (see ASTM D 2158–02). 

(b) At ambient conditions, the fuel 

must have a distinctive odor detectable 

down to a concentration in air of not 

over one-fifth of the lower flammability 

limit.

§ 1065.240 Lubricating oils. 

Lubricating oils you use to comply 

with this part must be commercially 

available and represent the oil that will 

be used with your in-use engines.

§ 1065.250 Analytical gases. 

Analytical gases that you use to 

comply with this part must meet the 

accuracy and purity specifications of 

this section. You must record the 

expiration date specified by the gas 

supplier and may not use any gas after 

the expiration date. 

(a) Pure gases. Use the ‘‘pure gases’’

shown in the following table:

TABLE 1 OF § 1065.250.—CONCENTRATION LIMITS FOR PURE GASES

Gas type 

Maximum contaminant concentrations 

Oxygen content 

Organic carbon Carbon monoxide Carbon dioxide Nitric oxide (NO) 

Purified Nitrogen .......... 1 ppmC ....................... 1 ppm .......................... 400 ppm ...................... 0.1 ppm ....................... NA. 

Purified Oxygen ........... NA ............................... NA ............................... NA ............................... NA ............................... 99.5–100.0%. 

Purified Synthetic Air, 

or Zero-Grade Air.

1 ppmC ....................... 1 ppm .......................... 400 ppm ...................... 0.1 ppm ....................... 18–21%. 

(b) Fuel for flame ionization detectors.

Use a hydrogen-helium mixture as the 

fuel. Make sure the mixture contains 40 

± 2 percent hydrogen and no more than 

1 ppmC of organic carbon or 400 ppm 

of CO2. 

(c) Calibration and span gases. Apply 

the following provisions to calibration 

and span gases: 

(1) Use the following gas mixtures, as 

applicable, for calibrating and spanning 

your analytical instruments: 

(i) Propane in purified synthetic air. 

You may ask us to allow you to use 

propane in purified nitrogen for high 

concentrations of propane. 

(ii) CO in purified nitrogen. 

(iii) NO and NO2 in purified nitrogen 

(the amount of NO2 in this calibration 

gas must not exceed 5 percent of the NO 

content). 

(iv) Oxygen in purified nitrogen. 

(v) CO2 in purified nitrogen. 

(vi) Methane in purified synthetic air. 

(2) The calibration gases in paragraph 

(c)(1) of this section must be traceable 

to within one percent of NIST gas 

standards or other gas standards we 

have approved. Span gases in paragraph 

(c)(1) of this section must be accurate to 

68418 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

within two percent of true 

concentration, where true concentration 

refers to NIST gas standards, or other 

gas standards we have approved. Record 

concentrations of calibration gas as 

volume percent or volume ppm. 

(3) You may use gases for species 

other than those in paragraph (c)(1) of 

this section (such as methanol in air 

gases used to determine response 

factors), as long as they meet the 

following criteria: 

(i) They are traceable to within ±2 

percent of NIST gas standards or other 

standards we have approved. 

(ii) They remain within ±2 percent of 

the labeled concentration. Show this by 

measuring quarterly with a precision of 

±2 percent (two standard deviations) or 

by using another method we approve. 

You may take multiple measurements. If 

the true concentration of the gas 

changes by more than two percent, but 

less than ten percent, you may relabel 

the gas with the new concentration. 

(4) You may generate calibration and 

span gases using precision blending 

devices (gas dividers) to dilute gases 

with purified nitrogen or with purified 

synthetic air. Make sure the mixing 

device produces a concentration of 

blended calibration gases that is 

accurate to within ± 1.5 percent. To do 

so, you must know the concentration of 

primary gases used for blending to an 

accuracy of at least ± 1 percent, 

traceable to NIST gas standards or other 

gas standards we have approved. For 

each calibration incorporating a 

blending device, verify the blending 

accuracy between 15 and 50 percent of 

full scale. You may optionally check the 

blending device with an instrument that 

is linear by nature (for example, using 

NO gas with a CLD). Adjust the 

instrument’s span value with the span 

gas connected directly to it. Check the 

blending device at the used settings to 

ensure that the difference between 

nominal values and measured 

concentrations at each point stays 

within ± 0.5 percent of the nominal 

value. 

(d) Oxygen interference gases. Gases 

to check oxygen interference are 

mixtures of oxygen, nitrogen, and 

propane. The oxygen concentration 

must be 20–22 percent and the propane 

concentration must be 50–90 percent of 

the maximum value in the most 

typically used FID range. Independently 

measure the concentration of total 

hydrocarbons plus impurities by 

chromatographic analysis or by dynamic 

blending.

Subpart D—Analyzer and Equipment 

Calibrations

§ 1065.301 Overview. 

Calibrate all analyzers and equipment 

at least annually, but make the actual 

frequency consistent with good 

engineering judgment. We may establish 

other guidelines as appropriate. 

Calibrate following specifications in one 

of three sources: 

(a) Recommendations from the 

manufacturer of the analyzers or 

equipment. 

(b) 40 CFR part 86, subpart F or 

subpart N. 

(c) 40 CFR part 90, subparts D and E, 

as applicable.

§ 1065.305 International calibration 

standards. 

(a) You may ask to use international 

standards for calibration. 

(b) You need not ask for approval to 

use standards that have been shown to 

be traceable to NIST standards.

§ 1065.310 CVS calibration. [Reserved]

§ 1065.315 Torque calibration. 

You must use one of two techniques 

to calibrate torque: the lever-arm deadweight or the transfer technique. You 

may use other techniques if you show 

they are equally accurate. The NIST 

‘‘true value’’ torque is defined as the 

torque calculated by taking the product 

of an NIST traceable weight or force and 

a sufficiently accurate horizontal 

distance along a lever arm, corrected for 

the lever arm’s hanging torque. 

(a) The lever-arm dead-weight 

technique involves placing known 

weights at a known horizontal distance 

from the torque-measuring device’s 

center of rotation. You need two types 

of equipment: 

(1) Calibration weights. This 

technique requires at least six 

calibration weights for each range of 

torque-measuring device used. Equally 

space the weights and make sure each 

one is traceable to NIST weights. You 

also may use weights certified by a U.S. 

state government’s bureau of weights 

and measures. If your laboratory is 

outside the U.S., see § 1065.305 for 

information about using non-NIST 

standards. You may account for effects 

of changes in gravitational constant at 

the test site. 

(2) Lever arm. This technique also 

requires a lever arm at least 20 inches 

long. Make sure the horizontal distance 

from the torque-measurement device’s 

centerline to the point where you apply 

the weight is accurate to within ±0.10 

inches. You must balance the arm or 

know its hanging torque to within ±0.1 

ft-lbs. 

(b) The transfer technique involves 

calibrating a master load cell 

(dynamometer case load cell). You may 

calibrate the master load cell with 

known calibration weights at known 

horizontal distances. Or you may use a 

hydraulically actuated, precalibrated, 

master load cell and then transfer this 

calibration to the device that measures 

the flywheel torque. The transfer 

technique involves three main steps: 

(1) Precalibrate a master load cell or 

calibrate it following paragraph (a)(1) of 

this section. Use known weights 

traceable to NIST with the lever arms 

specified in paragraph (b)(2) of this 

section. Run or vibrate the 

dynamometer during this calibration to 

reduce static hysteresis. 

(2) Use lever arms at least 20 inches 

long. The horizontal distances from the 

master load cell’s centerline to the 

dynamometer’s centerline and to the 

point where you apply weight or force 

must be accurate to within ±0.10 inches. 

Balance the arms or know their net 

hanging torque to within ±0.1 ft-lbs. 

(3) Transfer calibration from the case 

or master load cell to the torquemeasuring device with the 

dynamometer operating at a constant 

speed. Calibrate the torquemeasurement device’s readout to the 

master load cell’s torque readout at a 

minimum of six loads spaced about 

equally across the full useful ranges of 

both measurement devices. (Good 

engineering practice requires that both 

devices have about the same useful 

ranges of torque measurement.) Transfer 

the calibration so it meets the accuracy 

requirements in § 1065.105(a)(2) for 

readouts from the torque-measurement 

device.

Subpart E—Engine Selection, 

Preparation, and Service Accumulation

§ 1065.401 Selecting a test engine. 

While all engine configurations 

within a certified engine family must 

comply with the applicable standards in 

the standard-setting part, you are not 

required to test each configuration for 

certification. 

(a) Select for testing according to the 

following guidance the engine 

configuration within the engine family 

that is most likely to exceed an emission 

standard: 

(1) Test the engine that we specify, 

whether we do this through general 

guidance or give you specific 

instructions. 

(2) If we do not tell you which engine 

to test, follow any instructions in the 

standard-setting part. 

(3) If we do not tell you which engine 

to test and the standard-setting part does 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68419

not include specifications for selecting 

test engines, use good engineering 

judgment to select the engine 

configuration within the engine family 

that is most likely to exceed an emission 

standard. 

(b) In the absence of other 

information, the following 

characteristics are appropriate to 

consider when selecting the engine to 

test: 

(1) Maximum fueling rates. 

(2) Maximum in-use engine speed 

(governed or ungoverned, as applicable). 

(3) Highest sales volume. 

(c) We may select any engine 

configuration within the engine family 

for our testing.

§ 1065.405 Preparing and servicing a test 

engine. 

(a) If you are testing an emission-data 

engine for certification, make sure you 

have built it to represent production 

engines. 

(b) Run the test engine, with all 

emission-control systems operating, 

long enough to stabilize emission levels. 

If you accumulate 50 hours of operation, 

you may consider emission levels stable 

without measurement. 

(c) Do not service the test engine 

before you stabilize emission levels, 

unless we approve other maintenance in 

advance. This prohibition does not 

apply to your recommended oil and 

filter changes for newly produced 

engines, or to idle-speed adjustments. 

(d) Select engine operation for 

accumulating operating hours on your 

test engines to represent normal in-use 

operation for the engine family. 

(e) If you need more than 50 hours to 

stabilize emission levels, record your 

reasons and the method you use to do 

this. Give us these records if we ask for 

them.

§ 1065.410 Service limits for stabilized test 

engines. 

(a) After you stabilize the test engine’s 

emission levels, you may do scheduled 

maintenance, other than during 

emission testing, as the standard-setting 

part specifies. 

(b) You may not do any unscheduled 

maintenance to the test engine or its 

emission-control system or fuel system 

without our advance approval. 

Unscheduled maintenance includes 

adjusting, repairing, removing, 

disassembling, cleaning, or replacing 

the test engine. We may approve routine 

maintenance that is not scheduled such 

as maintaining the proper oil level. 

(1) We may approve other 

unscheduled maintenance if all of the 

following occur: 

(i) You determine that a part failure or 

system malfunction (or the associated 

repair) does not make the engine 

unrepresentative of production engines 

in the field and does not require anyone 

to access the combustion chamber. 

(ii) Something clearly malfunctions 

(such as persistent misfire, engine stall, 

overheating, fluid leakage, or loss of oil 

pressure) and needs maintenance or 

repair. 

(iii) You give us a chance to verify the 

extent of the malfunction before you do 

the maintenance. 

(2) If we determine that a part’s failure 

or a system’s malfunction (or the 

associated repair) has made the engine 

unrepresentative of production engines, 

you may no longer use it as a test 

engine. 

(3) You may not do unscheduled 

maintenance based on emission 

measurements from the test engine. 

(4) Unless we approve otherwise in 

advance, you may not use equipment, 

instruments, or tools to identify bad 

engine components unless you specify 

they should be used for scheduled 

maintenance on production engines. In 

this case, if they are not generally 

available, you must also make them 

available at dealerships and other 

service outlets. 

(c) If you do maintenance that might 

affect emissions, you must completely 

test the engine for emissions before and 

after the maintenance, unless we waive 

this requirement. 

(d) If your test engine has a major 

mechanical failure that requires you to 

take it apart, you may no longer use it 

as a test engine.

§ 1065.415 Durability demonstration. 

If the standard-setting part requires 

durability testing, you must accumulate 

service in a way that represents how 

you expect the engine to operate in use. 

You may accumulate service hours 

using an accelerated schedule, such as 

through continuous operation. 

(a) Maintenance. The following limits 

apply to the maintenance that we allow 

you to do on test engine: 

(1) You may perform scheduled 

maintenance that you recommend to 

operators, but only if it is consistent 

with the standard-setting part’s 

restrictions. 

(2) You may perform additional 

maintenance only if we approve it in 

advance, as specified in § 1065.410(b). 

(3) If your test engine has a major 

mechanical failure that requires you to 

take it apart, you may no longer use it 

as a test engine. 

(b) Emission measurements. You must 

measure emissions following two main 

requirements: 

(1) Perform emission tests to 

determine deterioration factors 

consistent with good engineering 

judgment. Evenly space any tests 

between the first and last test points 

throughout the durability period. 

(2) Perform emission tests following 

the provisions of this part and the 

standard-setting part.

Subpart F—Running an Emission Test

§ 1065.501 Overview of the engine 

dynamometer test procedures. 

(a) The engine dynamometer test 

procedure measures brake-specific 

emissions of hydrocarbons (total and 

nonmethane, as applicable), carbon 

monoxide, and oxides of nitrogen. To 

perform this test procedure, you first 

dilute exhaust emissions with ambient 

air and collect a continuous 

proportional sample for analysis, then 

analyze the composite samples (either 

in bags after the test or continuously 

during the test). The general test 

procedure consists of a test cycle made 

of one or more segments (check the 

standard-setting part for specific cycles): 

(1) Either a cold-start cycle (where 

you measure emissions) or a warm-up 

cycle (where you do not measure 

emissions). 

(2) A hot-start transient test (some test 

cycles may omit engine starting from the 

‘‘hot-start’’ cycle). 

(3) A steady-state test. 

(b) Measure power using the 

dynamometer’s feedback signals for 

torque and speed. The power 

measurement produces a brake kilowatthour value that allows you to calculate 

brake-specific emissions (see Subpart G 

of this part). 

(c) Prepare engines for testing 

consistent with § 1065.10(c)(1) and 

according to the following provisions: 

(1) When you test an engine or 

operate it for service accumulation, use 

the complete engine with all emissioncontrol devices installed and 

functioning. 

(2) Install the fan for any air-cooled 

engine (if applicable). 

(3) You may install accessories such 

as an oil cooler, alternators, and air 

compressors or simulate their loading if 

they are typical of in-use operation. 

Apply this loading during all testing 

operations, including mapping. 

(4) You may install a production-type 

starter on the engine. 

(5) Cool the engine in a way that will 

maintain its operating temperatures 

including the intake air, oil, water 

temperatures about the same as they 

would be during normal operation. You 

may use auxiliary fans if necessary. You 

may use rust inhibitors and lubrication 

additives, up to the levels that the 

additive manufacturer recommends. 

68420 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

You may also use antifreeze mixtures 

and other coolants typical of those 

approved for use by the manufacturer. 

(6) Use representative exhaust and airintake systems. Make sure the exhaust 

restriction is 80 to 100 percent of the 

recommended maximum specified 

exhaust restriction and the air inlet 

restriction is between that of a clean 

filter and the maximum restriction 

specification. As the manufacturer, you 

are liable for emission compliance from 

the minimum in-use restrictions to the 

maximum restrictions you specify for 

that particular engine.

§ 1065.510 Engine mapping procedures. 

(a) Torque map. Map your engine’s 

torque while it is mounted on the 

dynamometer. Use the torque curve 

resulting from the mapping to convert 

the normalized torque values in the 

engine cycle to actual torque values for 

the test cycle. Make sure the speed 

ranges at least from the warm no-load 

idle speed to 105 percent of the 

maximum test speed. Because you 

determine the maximum test speed from 

the torque map, you may have to 

perform a preliminary torque map to 

determine the full mapping range. You 

may perform this preliminary torque 

map while the engine warms up. To 

map the engine, do the following things 

in sequence: 

(1) Warm up the engine so oil and 

water temperatures (on an absolute scale 

such as the Kelvin scale) vary by less 

than two percent for two minutes; or 

until the thermostat opens if the enginecoolant system includes a thermostat. 

(2) Operate the engine at the warm noload idle speed. 

(3) Fully open the throttle. 

(4) While maintaining wide-open 

throttle and full-load, keep the engine at 

minimum speed for at least 15 seconds. 

Record the average torque during the 

last 5 seconds. 

(5) In increments of 100±20 rpm, 

determine the maximum torque curve 

for the full speed range. Hold each test 

point for 15 seconds and record the 

average torque over the last 5 seconds. 

You may use larger increments for 

engines with maximum test speed over 

4000 rpm, as long as you include at least 

40 points and space them evenly. 

(6) Fit all data points recorded with a 

cubic spline, Akima, or other technique 

we approve in advance. The resultant 

curve must be accurate to within ±1.0 ftlbs. of all recorded engine torques. 

(b) Torque map with continual engine 

speed sweep. In place of paragraphs 

(a)(1) through (a)(4) of this section, you 

may do a continual sweep of engine 

speed. While operating at wide-open 

throttle, increase the engine speed at an 

average rate of 8±1 rpm/sec over the full 

speed range. You may use higher 

sweeping rates for naturally-aspirated 

engines, in accordance with good 

engineering judgment. Record speed 

and torque points at a rate of at least one 

point per second. Connect all points 

generated under this approach by linear 

interpolation. 

(c) Alternate mapping. You may use 

other mapping techniques if you believe 

those in paragraphs (a) and (b) of this 

section are unsafe or unrepresentative 

for any engine or engine family. These 

alternate techniques must satisfy the 

intent of the specified mapping 

procedures—to determine the maximum 

available torque at all engine speeds that 

occur during the test cycles. Report 

deviations from this section’s mapping 

techniques for reasons of safety or 

representativeness. In no case, however, 

may you use descending continual 

sweeps of engine speed for governed or 

turbocharged engines. 

(d) Replicate tests. You need not map 

an engine before every test, but you do 

need to remap the engine in any of the 

following situations: 

(1) Good engineering judgment 

determines that an unreasonable 

amount of time has passed since the last 

map. 

(2) The barometric pressure before the 

test begins has changed more than 25 

mm Hg from the average barometric 

pressure observed during the map. 

(3) The engine has undergone 

physical changes or recalibration that 

might affect its performance. 

(e) Power map. Where applicable, 

generate a power map using the 

procedures this section specifies for 

torque maps. You may generate the 

power map directly or convert the 

torque map to a power map using 

engine speeds. The power map is also 

called a lug curve.

(f) Cycles based only on torque/power 

at maximum test speed. If the applicable 

test cycle for your engine does not 

require map information for engine 

speeds other than the maximum test 

speed, you may make the following 

simplifications: 

(1) You need not perform the entire 

torque or power map, as long as you 

map the engines for speeds between 75 

and 105 percent of the maximum test 

speed. 

(2) You need not remap an engine 

according to paragraph (d) of this 

section. You need only verify the 

maximum torque or power at maximum 

test speed.

§ 1065.515 Test cycle generation. 

(a) Denormalizing test cycles. The 

standard-setting parts establish the 

applicable test cycles consisting of 

second-by-second specifications for 

normalized torque and speed for 

transient cycles, or modal specifications 

for normalized torque and speed (or 

power and speed) for steady-state 

cycles. You must denormalize these 

values to get actual torque and speed for 

your engine. 

(1) Torque is normalized to a 

maximum-torque value. Check the 

standard-setting part to see if it is 

normalized based on the maximum 

torque at the given speed or based on 

the maximum torque for all speeds. To 

denormalize the torque values in the 

cycle, use the engine’s maximum-torque 

point or its torque map (§ 1065.510 

describes how to generate the torque 

map). 

(2) Power is normalized to a 

maximum-power value. Check the 

standard-setting part to see if it is 

normalized based on the maximum 

power at the given speed or based on 

the maximum power for all speeds. To 

denormalize the power values in the 

cycle, use the engine’s maximum-power 

point or its power map (§ 1065.510 

describes how to generate the power 

map). 

(3) To denormalize speed, use the 

following equation:

Actual engine speed = (0.01) × (%engine 

speed) × (Maximum test speed—

warm idle speed) + warm idle 

speed

(4) Paragraph (d) of this section 

describes how to calculate maximum 

test speed. 

(b) Example of denormalizing a test 

points. For an engine with maximum 

test speed of 3800 rpm and warm idle 

speed of 600 rpm, denormalize the 

following test point: percent engine 

speed = 43, percent torque = 82. 

(1) Calculate actual engine speed. The 

following equation applies for this 

example:

Actual engine speed = (0.01) × (43) ×

(3800¥600) + 600 = 1976 rpm.

(2) Determine actual torque.

Determine the maximum observed 

torque at 1976 rpm from the maximum 

torque curve. Then multiply this value 

(for example, 358 ft-lbs.) by 0.82. The 

resulting actual torque is 294 ft-lbs. 

(c) Cold-start enhancement devices. If 

an engine has a properly operating 

automatic enhancement device for cold 

starts, let it override the zero-percent 

speed specified in the test cycles. 

(d) Maximum test speed. For 

constant-speed engines, maximum test 

speed is the same as the engine’s 

maximum operating speed in use. 

Maximum test speed for variable-speed 

engines occurs on the lug curve at the 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68421

point farthest from the origin on a plot 

of power vs. speed. To find this speed, 

follow three main steps: 

(1) Generate the lug curve. Before 

testing an engine for emissions, generate 

data points for maximum measured 

brake power with varying engine speed 

(see § 1065.510). These data points form 

the lug curve. 

(2) Normalize the lug curve. To 

normalize the lug curve, do three things: 

(i) Identify the point (power and 

speed) on the lug curve where 

maximum power occurs. 

(ii) Normalize the power values of the 

lug curve—divide them by the 

maximum power and multiply the 

resulting values by 100. 

(iii) Normalize the engine speed 

values of the lug curve—divide them by 

the speed at which maximum power 

occurs and multiply the resulting values 

by 100. 

(3) Determine maximum test speed.

Calculate the maximum test speed from 

the following speed-factor analysis: 

(i) For a given power-speed point, the 

speed factor is the normalized distance 

to the power-speed point from the zeropower, zero-speed point. Compute the 

speed factor’s value:

Speed factor = (power) (speed) 2 2 +

(ii) Determine the maximum value of 

speed factors for all the power-speed 

data points on the lug curve. Maximum 

test speed is the speed at which the 

speed factor’s maximum value occurs. 

Note that this maximum test speed is 

the 100-percent speed point for 

normalized transient duty cycles. 

(e) Intermediate test speed. Determine 

intermediate test speed with the 

following provisions: 

(1) If peak torque speed is 60 to 75 

percent of the maximum test speed, the 

intermediate speed point is at that same 

speed. 

(2) If peak torque speed is less than 60 

percent of the maximum test speed, the 

intermediate speed point is at 60 

percent of maximum test speed. 

(3) If peak torque speed is greater than 

75 percent of the maximum test speed, 

the intermediate speed point is at 75 

percent of maximum test speed.

§ 1065.520 Engine starting, restarting, and 

shutdown. 

Unless the standard-setting part 

specifies otherwise, follow the steps in 

this section to start and shut down the 

test engine: 

(a) Engine starting. Start the engine 

according to the manufacturer’s 

recommended starting procedure in the 

owner’s manual, using either a 

production starter motor or the 

dynamometer. Use the dynamometer to 

crank (or motor) the engine at the 

typical in-use cranking speed with a 

fully charged battery (nominal speed 

±10 percent), accelerating the engine to 

cranking speed in the same time it 

would take with a starter motor 

(nominal ±0.5 seconds). Stop motoring 

by the dynamometer within one second 

of starting the engine. The cycle’s freeidle period begins when you determine 

that the engine has started. 

(1) If the engine does not start after 15 

seconds of cranking, stop cranking and 

determine the reason it failed to start. 

While diagnosing the problem, turn off 

the device that measures gas flow (or 

revolution counter) on the constantvolume sampler (and all integrators 

when measuring emissions 

continuously). Also, turn off the 

constant-volume sampler or disconnect 

the exhaust tube from the tailpipe. If 

failure to start is an operational error, 

reschedule the engine for testing (this 

may require soaking the engine if the 

test requires a cold-start). 

(2) If longer cranking times are 

necessary, you may use them instead of 

the 15-second limit, as long as the 

owner’s manual and the service-repair 

manual describe the longer cranking 

times as normal. 

(3) If an engine malfunction causes a 

failure to start, you may correct it in less 

than 30 minutes and continue the test. 

Reactivate the sampling system at the 

same time cranking begins. When the 

engine starts, begin the timing sequence. 

If an engine malfunction causes a failure 

to start, and you cannot restart the 

engine, the test is void. 

(b) Engine stalling. Respond to engine 

stalling as follows: 

(1) If the engine stalls during the 

warm-up period, the initial idle period 

of test, or the steady-state segment, you 

may restart the engine immediately 

using the appropriate starting procedure 

and continue the test. 

(2) If the engine stalls at any other 

time, the test is void. 

(c) Engine shutdown. Shut the engine 

down according to the manufacturer’s 

specifications.

§ 1065.525 Engine dynamometer test run. 

Take the following steps for each test: 

(a) Prepare the engine, dynamometer, 

and sampling system. Change filters or 

other replaceable items and check for 

leaks as necessary. 

(b) If you are using bag samples, 

connect evacuated sample-collection 

bags to the collection system for the 

dilute exhaust and dilution air sample. 

(c) Attach the CVS to the engine’s 

exhaust system any time before starting 

the CVS. 

(d) Start the CVS (if not already 

started), the sample pumps, the engine 

cooling fans, and the data-collection 

system. Before the test begins, preheat 

the CVS’s heat exchanger (if used) and 

the heated components of any 

continuous sampling systems to 

designated operating temperatures. 

(e) Adjust the sample flow rates to the 

desired levels and set to zero the 

devices in the CVS that measure gas 

flow. The venturi design fixes the 

sample flow rate in a CFV–CVS. 

(f) Start the engine if engine starting 

is not part of the test cycle, as specified 

in the standard-setting part. 

(g) Run the test cycle specified in the 

standard-setting part and collect the test 

data. 

(h) As soon as practical after the test 

cycle is complete, analyze the bag 

samples.

§ 1065.530 Test cycle validation criteria. 

(a) Steady-state emission testing.

Make sure your engine’s speeds and 

loads stay within ±2 percent of the set 

point during the sampling period. 

(b) Transient emission testing 

performed by EPA. Emission tests must 

meet the specifications of this paragraph 

(b). Otherwise, they do not comply with 

the test cycle requirements of the 

standard-setting part, unless we 

determine the cause of the failure to 

meet these specifications is related to 

the engine rather than the test 

equipment. 

(1) Shifting feedback signals. The time 

lag between the feedback and referencecycle values may bias results. To reduce 

this effect, you may advance or delay 

the entire sequence of engine-speed and 

torque-feedback signals with respect to 

the reference sequence for speed and 

torque. If you shift the feedback signals, 

you must shift speed and torque the 

same amount in the same direction. 

(2) Calculating brake kilowatt-hour 

emissions. Calculate brake kilowatt-hour 

emissions for each pair of feedback 

values recorded for engine speed and 

torque. Also calculate the reference 

brake kilowatt-hour for each pair of 

reference values for engine speed and 

torque. Calculate to five significant 

figures. 

(3) Performing regression-line 

analysis. Perform regression analysis to 

calculate validation statistics as follows: 

(i) Perform linear regressions of 

feedback value on reference value for 

speed, torque, and brake power on 1 Hz 

data after the feedback shift has 

occurred (see paragraph (b)(1) of this 

section). Use the method of least 

squares, with the best-fit equation 

having the form:

y = mx + b


ER08NO02.015</MATH>
68422 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Where:

y = The feedback (actual) value of speed 

(rpm), torque (ft-lbs.), or brake 

power. 

m = Slope of the regression line. 

x = The reference value (speed, torque, 

or brake power). 

b = The y-intercept of the regression 

line.

(ii) Calculate the standard error of 

estimate (SE) of y on x and the 

coefficient of determination (r2) for each 

regression line. 

(iii) For a valid test, make sure the 

feedback cycle’s integrated brake 

kilowatt-hour is within 5 percent of the 

reference cycle’s integrated brake 

kilowatt-hour. Also, ensure that the 

slope, intercept, standard error, and 

coefficient of determination meet the 

criteria in the following table (you may 

delete individual points from the 

regression analyses, consistent with 

good engineering judgment):

TABLE 1 OF § 1065.530.—STATISTICAL CRITERIA FOR VALIDATING TEST CYCLES

Speed Torque Power 

1. Slope of the regression line (m) 0.980 to 1.020 .............................. 0.880 to 1.030 .............................. 0.880 to 1.030. 

2. Y intercept of the regression line 

(b).

b ≤ 40 rpm ................................. b ≤ 5.0 percent of maximum 

torque from power map.

b ≤ 3.0 percent of maximum 

torque from power map. 

3. Standard error of the estimate 

of Y on X (SE).

100 rpm ........................................ 15 percent of maximum torque 

from power map.

10 percent of maximum power 

from power map. 

4. Coefficient of determination (r2) r2 ≥ 0.970 ...................................... r2 ≥ 0.900 ...................................... r2 ≥ 0.900. 

(c) Transient testing performed by 

manufacturers. Emission tests that meet 

the specifications of paragraph (b) of 

this section satisfy the standard-setting 

part’s requirements for test cycles. You 

may ask to use a dynamometer that 

cannot meet those specifications, 

consistent with good engineering 

practice. We will approve your request 

as long as using the alternate 

dynamometer does not affect your 

ability to show that you comply with all 

applicable emission standards.

Subpart G—Data Analysis and 

Calculations

§ 1065.601 Overview. 

This subpart describes how to use the 

responses on the analyzers and other 

meters to calculate final gram per 

kilowatt-hour emission rates.

Note: Volume and density values used in 

these calculations are generally corrected to 

standard conditions of 20°C and 101.3 kPa.)

§ 1065.605 Required records. 

Retain the following information for 

each test: 

(a) Test number. 

(b) System or device tested (brief 

description). 

(c) Date and time of day for each part 

of the test schedule. 

(d) Test results. 

(e) Operator’s name. 

(f) Engine: ID number, manufacturer, 

model year, emission standards, engine 

family, basic engine description, fuel 

system, engine code, and idle speed, as 

applicable. 

(g) Dynamometer: Dynamometer 

identification, records to verify 

compliance with the duty cycle 

requirements of the test. 

(h) Gas analyzers: Analyzer bench 

identification, analyzer ranges, 

recordings of analyzer output during 

zero, span, and sample readings. 

(i) Recorder charts: Test number, date, 

identification, operator’s name, and 

identification of the measurements 

recorded. 

(j) Test cell barometric pressure, 

ambient temperature, and humidity as 

required. (Some test systems may 

require continuous measurements; 

others may require a single 

measurement, or measurements before 

and after the test.) 

(k) Temperatures: Records to verify 

compliance with the ambient 

temperature requirements throughout 

the test procedure. 

(l) CFV–CVS: Total dilute exhaust 

volume (Vmix) for each phase of the 

exhaust test. 

(m) PDP–CVS: Test measurements for 

calculating the total dilute exhaust 

volume (Vmix), and the Vmix for each 

phase of the exhaust test. 

(n) The humidity of the dilution air.

Note: If you do not use conditioning 

columns, this measurement is not necessary. 

If you use conditioning columns and take the 

dilution air from the test cell, you may use 

the ambient humidity for this measurement.

§ 1065.610 Bag sample analysis. 

(a) Zero the analyzers and obtain a 

stable zero reading. Recheck after tests. 

(b) Introduce span gases and set 

instrument gains. To avoid errors, span 

and calibrate at the same flow rates used 

to analyze the test sample. Span gases 

should have concentrations equal to 75 

to 100 percent of full scale. If gain has 

shifted significantly on the analyzers, 

check the calibrations. Show actual 

concentrations on the chart. 

(c) Check zeroes; if necessary, repeat 

the procedure in paragraphs (a) and (b) 

of this section. 

(d) Check flow rates and pressures. 

(e) Measure HC, CO, CO2, and NOX

concentrations of samples. 

(f) Check zero and span points. If the 

difference is greater than 2 percent of 

full scale, repeat the procedure in 

paragraphs (a) through (e) of this 

section.

§ 1065.615 Bag sample calculations. 

(a) Calculate the dilution factor. The 

dilution factor is the ratio of the total 

volume of the raw exhaust to the total 

volume of the diluted exhaust. It is 

calculated as 134,000 divided by the 

sum of the diluted ppmC concentrations 

of carbon-containing compounds in the 

exhaust, as follows:

DF = 134,000/

(CO2sample+THCsample+COsample), 

Where:

CO2sample and COsample are expressed as 

ppm, and THCsample is expressed as 

ppmC.

(b) Calculate mass emission rates (g/

test) for the transient segment using the 

general equation in paragraph (b)(1) of 

this section: 

(1) The general equation is:

Emission rate = (total dilute exhaust 

flow volume)(ppm)(density factor)/

106

Mx = (Vmix)(Ci)(fdi)/106

Where:

Mx = Mass emission rate in g/test 

segment. 

Vmix = Total dilute exhaust flow volume 

flow in m3 per test segment 

corrected to 20°C and 101.3 kPa. 

Ci = The concentration of species i, in 

ppm or ppmC, corrected for background 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68423

contribution according to the equation 

in paragraph (b)(2) of this section. 

fdi = The density factor for species i. The 

density factors are 576.8 g/m3 for 

THC, 1913 g/m3 for NOX, and 1164 

g/m3 for CO.

(2) The equation to calculate Ci is:

Ci = Csample–Cbackground [1—(1/DF)] 

Where:

Csample = Concentration of species i in 

the diluted exhaust sample, in ppm 

or ppmC. 

Cbackground = Concentration of species i in 

the dilution air background sample, 

in ppm or ppmC. 

DF = Dilution factor, as calculated in 

paragraph (a) of this section.

(c) Calculate total brake work (kW–hr) 

done during the emissions sampling 

period of each segment or mode. 

(d) Calculate emissions in g/kW–hr by 

dividing the mass emission rate (g/test 

segment) by the total brake work for the 

test segment. 

(e) Apply deterioration factors or 

other adjustment factors to the brakespecific emission rate in paragraph (e) 

as specified in the standard-setting part.

Subpart H—Particulate Measurements 

[Reserved]

Subpart I—Testing With Oxygenated 

Fuels

§ 1065.801 Applicability. 

(a) This subpart applies for testing 

with oxygenated fuels. Except where 

specified otherwise in the standardsetting part, compliance with this 

subpart is not required for fuels that 

contain less than 25 percent oxygenated 

compounds by volume. For example, 

you generally would not need to follow 

the requirements of this subpart for tests 

performed using a fuel that was 10 

percent ethanol and 90 percent gasoline, 

but you would need to follow these 

requirements for tests performed using a 

fuel that was 85 percent ethanol and 15 

percent gasoline. 

(b) This subpart specifies sampling 

procedures and calculations that are 

different than those used for nonoxygenated fuels. The other test 

procedures of this part apply for testing 

with oxygenated fuels.

§ 1065.805 Sampling system. 

(a) Use the sampling procedures 

specified in 40 CFR part 86 for methanol 

and formaldehyde to measure alcohols 

and aldehydes in the exhaust. This 

requires the following: 

(1) Bubbling a sample of the exhaust 

through water to collect the alcohols. 

(2) Passing a sample of the exhaust 

through cartridges impregnated with 

2,4-dinitrophenylhydrazine to measure 

aldehydes. 

(b) Use good engineering judgment to 

measure other oxygenated compounds 

in the exhaust.

§ 1065.810 Calculations. 

(a) THCE emissions. (1) Calculate 

THCE emissions as the sum of the mass 

of the nonoxygenated hydrocarbons in 

the exhaust and the carbon-equivalent 

mass of each measured oxygenated 

species in the exhaust. 

(2) Calculate carbon-equivalent mass 

of each measured oxygenated species 

from the following equation:

Carbon equivalent = 13.8756 × MOC/

MWPC 

Where:

MOC is the mass of the oxygenated 

compound in the exhaust, and MWPC is 

the molecular weight of compound per 

carbon atom of compound. 

(b) NMHCE emissions. Calculate 

NMHCE emissions as either: 

(1) The sum of the mass of the 

nonoxygenated nonmethane 

hydrocarbons in the exhaust and the 

carbon-equivalent mass of each 

measured oxygenated species in the 

exhaust. 

(2) THCE minus the mass of methane 

in the exhaust. 

(c) Sample calculation. (1) Assume 

the following emissions for a test: 40.00 

grams of nonoxygenated hydrocarbons, 

100.00 grams of ethanol, and 10.00 

grams of acetaldehyde, and 1.00 gram of 

formaldehyde. 

(2) The carbon-equivalent of the 

masses of oxygenated compounds are: 

(i) 13.8756 × 100.00/(46.068/2) = 

60.24 grams of ethanol. 

(ii) 13.8756 × 10.00/(44.052/2) = 6.30 

grams of acetaldehyde. 

(iii) 13.8756 × 1.00/(30.026) = 0.46 

grams of formaldehyde. 

(3) THCE = 40.00 + 60.24 + 6.30 + 

0.46 = 107.00 grams per test.

Subpart J—Field Testing

§ 1065.901 Applicability. 

(a) The test procedures in this subpart 

measure brake-specific emissions from 

engines while they remain installed in 

vehicles or equipment in the field. 

(b) These test procedures apply to 

your engines as specified in the 

standard-setting part. For example, part 

1048 of this chapter specifies emission 

standard to be used for in-use tests 

conducted in accordance with the 

provisions of this part. Unless this 

subpart is specifically mentioned in the 

standard-setting part, compliance with 

the provisions of this subpart is not 

required.

§ 1065.905 General provisions. 

(a) Unless the standard-setting part 

specifies deviations from the provisions 

of this subpart, testing conducted under 

this subpart must conform to all of the 

provisions of this subpart. 

(b) Testing conducted under this 

subpart may include any normal in-use 

operation of the engine.

§ 1065.910 Measurement accuracy and 

precision. 

(a) Measurement systems used for inuse testing must be accurate to within 

±5 percent compared to engine 

dynamometer testing conducted 

according to the test procedures of this 

part that are applicable for your engine. 

These systems must also have a 

precision of ±5 percent or better. 

Determine accuracy and precision of an 

in-use system by simultaneously 

measuring emissions using the enginedynamometer test procedures of this 

part and the in-use system. To have a 

statistically valid sample, measure 

emissions during at least 3 tests each for 

at least 3 different engines. You must 

conduct these verification tests using 

the test cycle specified in the standardsetting part, unless we approve a 

different test cycle. 

(1) A system must meet the following 

conditions to be considered sufficiently 

accurate: 

(i) The correlation coefficient (r) for a 

least-squares linear fit that includes the 

origin must be 0.95 or higher. 

(ii) The average ratio (for all tests) of 

the emission rate from the in-use system 

divided by the emission rate from the 

dynamometer procedure must be 0.97 to 

1.05. 

(2) For a system to be considered 

sufficiently precise, the average 

coefficient of variance for all engines 

must be 5 percent or less for each 

pollutant.

Note: Increasing the length of the sampling 

period may be an effective way to improve 

precision.

(b) Measurement systems that 

conform to the provisions of 

§§ 1065.915 through 1065.950 are 

considered to be in compliance with the 

accuracy and precision requirements of 

paragraph (a) of this section.

§ 1065.915 Equipment specifications for SI 

engines. 

This section describes equipment you 

may use to measure in-use emissions. 

You may use other equipment and 

measurement systems that conform to 

the requirements of §§ 1065.905 and 

1065.910. 

(a) The primary components of the inuse measurement system are a mass air 

flow sensor, a portable FID, a zirconiaVerDate 0ct<31>2002 17:09 Nov 07, 2002 Jkt 200001 PO 00000 Frm 00183 Fmt 4701 Sfmt 4700 E:\FR\FM\08NOR2.SGM 08NOR2
68424 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

based NOX sensor, a zirconia-based air/

fuel ratio sensor, and a portable NDIR 

analyzer. 

(1) The mass air flow sensor must 

meet the requirements of § 1065.930. 

(2) The portable FID must meet the 

requirements of § 1065.935. 

(3) The NOX and air/fuel sensors must 

meet the requirements of § 1065.940 

(4) The NDIR analyzer must meet the 

requirements of § 1065.945. 

(b) You must measure the following 

parameters continuously at a rate of 3 

Hz or higher and store the data 

electronically: 

(1) THC, NOX, CO concentrations. 

(2) Mass air-fuel ratio. 

(3) Intake air flow rate. 

(4) Engine speed. 

(5) Parameters used to calculate 

torque. 

(c) You must minimize sample line 

length for any analyzers that require a 

physical sample be drawn from the 

exhaust to the analyzer (i.e., THC and 

CO analyzers). You must draw these 

samples at a constant flow rate. In no 

case may you use any combination of 

sample line length and sample flow rate 

that would require more than 10 

seconds for the analyzer to reach 90 

percent of its final response after a step 

change to the input concentration at the 

opening of the sample probe. For 

residence time delays between 1 and 10 

seconds, you must correct the 

measurements to be consistent with the 

data for engine speed, torque, and air 

intake. You may also correct other 

measurements with less than delays less 

than 1 second. 

(d) You may insert the sample probes 

and sensors into the exhaust pipe, or 

mount them in an exhaust extension 

that is connected to the exhaust pipe 

with negligible leaking. Place the 

sample probes and sensors close enough 

to the center line of the exhaust pipe to 

minimize boundary layer effects from 

the wall.

§ 1065.920 Equipment setup and test run 

for SI engines. 

This section describes how to set up 

the equipment specified in § 1065.915, 

and how to use it to measure in-use 

emissions from SI engines. 

(a) Inspect the vehicle or equipment 

to determine whether it meets any 

applicable requirements of the standardsetting part. This may include 

requirements related to model year, 

accumulated hours of operation, fuel 

specifications, maintenance history, 

engine temperatures, etc. 

(b) Perform calibrations as specified 

in this subpart. In the field, this 

generally will require only zeroing and 

spanning the instruments. However, 

each instrument must have been fully 

calibrated according to the instrument 

manufacturer’s specifications. Nonlinear 

calibrations generated previously from 

the full calibration may be used after 

zeroing and spanning the instruments. 

Spanning can be performed using a 

single gas bottle, consistent with good 

engineering practice, and provided that 

stability of the span mixture has been 

demonstrated. 

(c) Connect the data recorder (with 

any necessary signal interpreters or 

converters) to the engine’s electronic 

control module. 

(d) Disconnect the air intake system, 

as necessary, to attach the mass air flow 

sensor. Reconnect the system after 

attaching the mass air flow sensor. 

(e) Attach the sample extension to the 

exhaust outlet. 

(f) Turn on instruments and allow 

them to warm up as necessary. 

(g) Begin sampling. You do not need 

to begin recording the data at this point. 

(h) Begin operating the vehicle or 

equipment in a normal manner.

Note: We may require you to operate the 

vehicle or equipment in a specific manner.

(i) Begin recording engine speed, 

engine torque (or surrogate), intake air 

flow, emissions data (THC, NOX, CO, 

air/fuel ratio), and time. This time 

marks the beginning of the sampling 

period. 

(j) Continue recording data and 

operating the vehicle or equipment in a 

normal manner until the end of the 

sampling period. The length of the 

sampling period is based on good 

engineering practice, the precision 

requirements of § 1065.910, and 

applicable limits in the standard-setting 

part. 

(k) You may measure background 

concentrations and correct measured 

emission values accordingly. However, 

if any background corrections are 

equivalent to 5 percent or more of the 

maximum emissions allowed by the 

applicable standard, the test shall be 

voided and repeated in an environment 

with lower background concentrations.

§ 1065.925 Calculations. 

(a) [Reserved] 

(b) Convert emission analyzer data to 

instantaneous concentrations in ppm 

(ppmC for the FID). 

(c) Calculate instantaneous exhaust 

volumetric flow rates in standard m3/hr 

(volume and density values used in 

these calculations are corrected to 

standard conditions of 20 °C and 101.3 

kPa.). Calculate exhaust volumetric flow 

rate from the following equation:

Exhaust volumetric flow rate = (intake 

air mass flow rate)(1+mass fuel/air 

ratio)/(density of exhaust)

(1) If you do not know the 

instantaneous density of the exhaust, 

use the minimum density of the exhaust 

that occurs over the course of the test, 

corrected to standard conditions. 

(2) For gasoline-fueled engines 

designed to be operated at 

stoichiometric fuel/air ratios, you may 

assume that the density of the exhaust 

is 1202 g/m3 at standard conditions of 

20 °C and 101.3 kPa. 

(3) For LPG-fueled engines designed 

to be operated at stoichiometric fuel/air 

ratios, you may assume that the density 

of the exhaust is 1175 g/m3 at standard 

conditions of 20 °C and 101.3 kPa. 

(4) For CNG-fueled engines designed 

to be operated at stoichiometric fuel/air 

ratios, you may assume that the density 

of the exhaust is 1149 g/m3 at standard 

conditions of 20 °C and 101.3 kPa.

(d) Calculate instantaneous emission 

rates (g/hr) using the following general 

equation:

Emission rate = (exhaust volumetric 

flow rate)(ppm)(density factor)/106

Where:

Density factors are 576.8 g/m3 for 

THC, 1913 g/m3 for NOX, 1164 g/m3 for 

CO.

(e) Integrate instantaneous emission 

rates for the entire specified sample 

period. 

(f) Determine instantaneous brake 

torque and speed. 

(g) Calculate instantaneous brake 

power. 

(h) Integrate instantaneous brake 

power for the entire specified sample 

period. 

(i) Divide the integrated emission 

rates by the integrated brake power. 

These are your final brake-specific 

emission rates.

§ 1065.930 Specifications for mass air flow 

sensors. 

(a) Measure the intake air flow using 

the engine’s mass air flow sensor. If the 

engine is not equipped with a mass air 

flow sensor, you need to install one. 

(b) The sensor design must have an 

accuracy and precision of ±5 percent 

under steady-state laboratory 

conditions. 

(c) The sensor must reach at least 90 

percent of its final response within 0.3 

seconds after any step change to the 

flow rate greater than or equal 80 

percent of full scale. 

(d) Calibrate the sensor according to 

good engineering practice. Verify for 

each engine before testing that the 

sensor accurately reads the idle intake 

air flow rate based on measured 

manifold temperature (TM) and pressure 

PM). Use the following equation:

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68425

Intake air flow = 

(displacement)(rpm)(volumetric 

efficiency)(PM/101.3 kPa)(293.15 K/TM)

§ 1065.935 Specifications for THC 

analyzers. 

(a) Use a flame ionization detector 

(FID). 

(b) The analyzer must have an 

accuracy and precision of ±2 percent of 

point or better under steady-state 

laboratory conditions. 

(c) The analyzer must reach at least 90 

percent of its final response within 1.0 

second after any step change to the 

input concentration greater than or 

equal 80 percent of full scale. 

(d) Zero and span the analyzer daily 

during testing. Calibrate it according to 

the analyzer manufacturer’s 

specifications.

§ 1065.940 Specifications for NOX and air/

fuel sensors. 

(a) Use stabilized zirconia-based 

sensors. 

(b) The sensors must have an accuracy 

and precision of ±2 percent of point or 

better under steady-state laboratory 

conditions. 

(c) The sensors must reach at least 90 

percent of its final response within 1.0 

second after any step change to the 

input concentration greater than or 

equal 80 percent of full scale. 

(d) The sensors must be zeroed and 

spanned daily during testing, and must 

be calibrated according to the sensor 

manufacturer’s specifications.

§ 1065.945 Specifications for CO 

analyzers. 

(a) Use a non-dispersive infrared 

(NDIR) detector that is compensated for 

CO2 and water interference. 

(b) The analyzer must have an 

accuracy and precision of ±2 percent of 

point or better under steady-state 

laboratory conditions. 

(c) The analyzer must reach at least 90 

percent of its final response within 5.0 

second after any step change to the 

input concentration greater than or 

equal 80 percent of full scale. 

(d) The analyzer must be zeroed and 

spanned daily during testing, and must 

be calibrated according to the analyzer 

manufacturer’s specifications.

§ 1065.950 Specifications for speed and 

torque measurement. 

(a) Determine torque from a 

previously determined relationship of 

torque and engine speed, throttle 

position, and/or manifold absolute 

pressure. Torque estimates must be 

between 85 percent and 105 percent of 

the true value. You can demonstrate 

compliance with this accuracy 

requirement using steady-state 

laboratory data. 

(b) Measure speed from the engine’s 

electronic control module. Speed 

estimates must be within ±5 rpm of the 

true value.

Subpart K—Definitions and Other 

Reference Information

§ 1065.1001 Definitions. 

The following definitions apply to 

this part. The definitions apply to all 

subparts unless we note otherwise. All 

undefined terms have the meaning the 

Act gives to them. The definitions 

follow: 

Accuracy means the maximum 

difference between a measured or 

calculated value and the true value, 

where the true value is determined by 

NIST. 

Act means the Clean Air Act, as 

amended, 42 U.S.C. 7401 et seq.

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust (including those 

which are difficult to access) and that, 

if adjusted, may affect emissions or 

engine performance during emission 

testing or normal in-use operation. 

Aftertreatment means relating to any 

system, component, or technology 

mounted downstream of the exhaust 

valve or exhaust port whose design 

function is to reduce exhaust emissions. 

Auxiliary emission-control device

means any element of design that senses 

temperature, engine speed, motive 

speed, transmission gear, atmospheric 

pressure, manifold pressure or vacuum, 

or any other parameter to activate, 

modulate, delay, or deactivate the 

operation of any part of the emissioncontrol system. This also includes any 

other feature that causes in-use 

emissions to be higher than those 

measured under test conditions, except 

as we allow under this part.

Brake power has the meaning given in 

the standard-setting part. If it is not 

defined in the standard-setting part, 

brake power means the usable power 

output of the engine not including 

power required to operate fuel pumps, 

oil pumps, or coolant pumps. 

Calibration means the set of 

specifications and tolerances specific to 

a particular design, version, or 

application of a component or assembly 

capable of functionally describing its 

operation over its working range. 

Certification means obtaining a 

certificate of conformity for an engine 

family that complies with the emission 

standards and requirements in this part. 

Compression-ignition means relating 

to a type of reciprocating, internalcombustion engine that is not a sparkignition engine. 

Constant-speed engine means an 

engine governed to operate only at its 

rated speed. 

Designated Officer means the 

Manager, Engine Programs Group 

(6405–J), U.S. Environmental Protection 

Agency, 1200 Pennsylvania Ave., 

Washington, DC 20460. 

Emission-control system means any 

device, system, or element of design that 

controls or reduces the regulated 

emissions from an engine. 

Emission-data engine means an 

engine that is tested for certification. 

Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emissions deterioration. 

Engine means an engine to which this 

part applies. 

Engine-based means having emission 

standards related to measurements 

using an engine dynamometer, in units 

of grams of pollutant per kilowatt-hour. 

Engine family means a group of 

engines with similar emission 

characteristics, as specified in the 

standard-setting part. 

Equipment-based or vehicle-based

means relating to programs that require 

that a piece of equipment of vehicle be 

certified, rather than only the engine. 

Fuel system means all components 

involved in transporting, metering, and 

mixing the fuel from the fuel tank to the 

combustion chamber(s), including the 

fuel tank, fuel tank cap, fuel pump, fuel 

filters, fuel lines, carburetor or fuelinjection components, and all fuelsystem vents. 

Fuel type means a general category of 

fuels such as gasoline or LPG. There can 

be multiple grades within a single type 

of fuel, such as summer-grade gasoline 

and winter-grade gasoline. 

Good engineering judgment has the 

meaning we give it in § 1068.5 of this 

chapter. 

Identification number means a unique 

specification (for example, model 

number/serial number combination) 

that allows someone to distinguish a 

particular engine from other similar 

engines. 

Idle speed means the lowest engine 

speed with zero load.

Note: Warm idle speed is the idle speed of 

a warmed-up engine.

Manufacturer has the meaning given 

in section 216(1) of the Act. In general, 

this term includes any person who 

manufactures an engine for sale in the 

United States or otherwise introduces a 

new engine into commerce in the 

United States. This includes importers 

that import engines for resale. 

Maximum test torque means: 

68426 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(1) For throttled engines, the torque 

output observed at wide-open throttle at 

a given speed. 

(2) For non-throttled engines, the 

torque output observed with the 

maximum fueling rate possible at a 

given speed. 

Nonmethane hydrocarbons means the 

sum of all hydrocarbon species 

measured by a FID except methane, 

expressed with an assumed mass 13.876 

grams per mole of carbon atoms. 

Nonroad means relating to nonroad 

engines. 

Nonroad engine has the meaning 

given in § 89.2 of this chapter. In general 

this means all internal combustion 

engines except motor vehicle engines, 

stationary engines, or engines used 

solely for competition. 

Oxides of nitrogen means compounds 

containing only nitrogen and oxygen. 

Oxides of nitrogen are expressed 

quantitatively as if the NO is in the form 

of NO2 (assume a molecular weight for 

all oxides of nitrogen equivalent to that 

of NO2). This correction is included in 

the equations specified for calculating 

NOX emissions. 

Oxygenated fuel means a fuel that is 

comprised of oxygen-containing 

compound, such as ethanol or 

methanol. Generally, testing engines 

that use oxygenated fuels requires the 

use of the sampling methods in subpart 

I of this part. However, you should read 

the standard-setting part and subpart I 

of this part to determine which 

sampling methods to use. 

Precision means two times the 

coefficient of variance of multiple 

measurements, except where specified 

otherwise. 

Revoking a certificate of conformity

means discontinuing the certificate for 

an engine family. If we revoke a 

certificate, you must apply for a new 

certificate before continuing to 

introduce into commerce the affected 

engines. This does not apply to engines 

you no longer possess. 

Scheduled maintenance means 

maintenance (i.e., adjusting, repairing, 

removing, disassembling, cleaning, or 

replacing components or systems) that 

is periodically needed to keep a part 

from failing or malfunctioning. It also 

may mean actions you expect are 

necessary to correct an overt indication 

of failure or malfunction for which 

periodic maintenance is not 

appropriate. 

Span means to adjust an instrument 

so that it gives a proper response to a 

calibration standard that represents 

between 75 and 100 percent of the 

maximum value in the instrument range 

(e.g. a span gas). 

Spark-ignition means relating to a 

gasoline-fueled engine or other engines 

with a spark plug (or other sparking 

device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation. 

Standard-setting part means the part 

in the Code of Federal Regulations that 

defines emission standards for a 

particular engine (see § 1065.1(a)). 

Stoichiometry means the proportion 

of a mixture of air and fuel such that the 

fuel is fully oxidized with no remaining 

oxygen. For example, stoichiometric 

combustion in gasoline engines 

typically occurs at an air-fuel mass ratio 

of about 14.7. 

Suspending a certificate of conformity

means temporarily discontinuing the 

certificate for an engine family. If we 

suspend a certificate, you may not sell 

engines from that engine family unless 

we reinstate the certificate or approve a 

new one. 

Test engine means an engine in a test 

sample. 

Test sample means the collection of 

engines selected from the population of 

an engine family for emission testing. 

Total Hydrocarbon (THC) means the 

sum of all hydrocarbon species 

measured by an FID, expressed with an 

assumed mass 13.876 grams per mole of 

carbon atoms. 

Total Hydrocarbon Equivalent means 

the sum of the carbon mass 

contributions of non-oxygenated 

hydrocarbons, alcohols and aldehydes, 

or other organic compounds that are 

measured separately as contained in a 

gas sample, expressed as petroleumfueled engine hydrocarbons. The 

hydrogen-to-carbon ratio of the 

equivalent hydrocarbon is 1.85:1. 

United States means the States, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands. 

Wide-open throttle means maximum 

throttle opening for throttled engines. 

Unless this is specified at a given speed, 

it refers to maximum throttle opening at 

maximum speed. For electronically 

controlled or other engines with 

multiple possible fueling rates, wideopen throttle also means the maximum 

fueling rate at maximum throttle 

opening under test conditions. 

Zero means to adjust an instrument so 

that it gives a proper response to a blank 

calibration standard (e.g. zero-grade air).

§ 1065.1005 Symbols, acronyms, and 

abbreviations. 

The following symbols, acronyms, 

and abbreviations apply to this part:

° degrees. 

′′ inches. 

ASTM American Society for Testing and 

Materials. 

C Celsius. 

cc cubic centimeters. 

CFR Code of Federal Regulations. 

CFV critical-flow venturi. 

CI compression-ignition. 

CLD chemiluminescent detector. 

CO carbon monoxide. 

CO2 carbon dioxide. 

CVS constant-volume sampler. 

DF deterioration factor. 

F Fahrenheit. 

EFC electronic flow control. 

EPA Environmental Protection Agency. 

ft feet. 

FID flame ionization detector. 

g/kW-hr grams per kilowatt-hour. 

g/liter grams per liter. 

g/m3 grams per cubic meter. 

Hz hertz. 

IBP initial boiling point. 

ISO International Organization for 

Standardization. 

kPa kilopascal. 

lbs. pounds. 

LPG liquefied petroleum gas. 

m meters. 

ml milliliters. 

mm Hg millimeters of mercury. 

NDIR nondispersive infrared. 

NIST National Institute for Standards and 

Testing. 

NMHC nonmethane hydrocarbons. 

NMHCE nonmethane hydrocarbon 

equivalent. 

NO nitric oxide. 

NO2 nitrogen dioxide. 

NOX oxides of nitrogen (NO and NO2). 

O2 oxygen. 

PDP positive-displacement pump. 

ppm parts per million. 

ppmC parts per million carbon. 

RMS root-mean square. 

rpm revolutions per minute. 

sec seconds. 

SI spark-ignition. 

THC total hydrocarbon. 

THCE total hydrocarbon equivalent. 

U.S.C. United States Code.

§ 1065.1010 Reference materials. 

We have incorporated by reference 

the documents listed in this section. 

The Director of the Federal Register 

approved the incorporation by reference 

as prescribed in 5 U.S.C. 552(a) and 1 

CFR part 51. Anyone may inspect copies 

at the U.S. EPA, Air and Radiation 

Docket and Information Center, 1301 

Constitution Ave., NW., Room B102, 

EPA West Building, Washington, DC 

20460 or the Office of the Federal 

Register, 800 N. Capitol St., NW., 7th 

Floor, Suite 700, Washington, DC. 

(a) ASTM material. Table 1 of 

§ 1065.1010 lists material from the 

American Society for Testing and 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68427

Materials that we have incorporated by 

reference. The first column lists the 

number and name of the material. The 

second column lists the sections of this 

part where we reference it. Anyone may 

purchase copies of these materials from 

the American Society for Testing and 

Materials, 100 Barr Harbor Dr., West 

Conshohocken, PA 19428. Table 1 

follows:

TABLE 1 OF § 1065.1010.—ASTM MATERIALS

Document number and name Part 1065

reference 

ASTM D 86–01, Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure ......................................... 1065.210 

ASTM D 323–99a, Standard Test Method for Vapor Pressure of Petroleum Products (Reid Method) ............................................. 1065.210 

ASTM D 1266–98, Standard Test Method for Sulfur in Petroleum Products (Lamp Method) ........................................................... 1065.210 

ASTM D 1319–02, Standard Test Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator Adsorption ............................................................................................................................................................................................. 1065.210 

ASTM D 1267–02, Standard Test Method for Gage Vapor Pressure of Liquefied Petroleum (LP) Gases (LP-Gas Method) .......... 1065.220 

ASTM D 1837–02, Standard Test Method for Volatility of Liquefied Petroleum (LP) Gases ............................................................. 1065.220 

ASTM D 1838–91 (Reapproved 2001), Standard Test Method for Copper Strip Corrosion by Liquefied Petroleum (LP) Gases .... 1065.220 

ASTM D 1945–96 (Reapproved 2001), Standard Test Method for Analysis of Natural Gas by Gas Chromatography .................... 1065.215 

ASTM D 2158–02, Standard Test Method for Residues in Liquefied Petroleum (LP) Gases ........................................................... 1065.220 

ASTM D 2163–91 (Reapproved 1996), Standard Test Method for Analysis of Liquefied Petroleum (LP) Gases and Propene 

Concentrates by Gas Chromatography ........................................................................................................................................... 1065.220 

ASTM D 2598–02, Standard Practice for Calculation of Certain Physical Properties of Liquefied Petroleum (LP) Gases from 

Compositional Analysis .................................................................................................................................................................... 1065.220 

ASTM D 2713–91 (Reapproved 2001), Standard Test Method for Dryness of Propane (Valve Freeze Method) ............................ 1065.220 

ASTM D 2784–98, Standard Test Method for Sulfur in Liquefied Petroleum Gases (Oxy-Hydrogen Burner or Lamp) ................... 1065.220 

ASTM D 3231–02, Standard Test Method for Phosphorus in Gasoline ............................................................................................. 1065.210 

ASTM D 3237–97, Standard Test Method for Lead in Gasoline By Atomic Absorption Spectroscopy ............................................. 1065.210 

(b) ISO material. Table 2 of 

§ 1065.1010 lists material from the 

International Organization for 

Standardization that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the section of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

International Organization for 

Standardization, Case Postale 56, CH–

1211 Geneva 20, Switzerland. Table 2 

follows:

TABLE 2 OF § 1065.1010.—ISO MATERIALS

Document number and name Part 1065

reference 

ISO 8178–1, Reciprocating internal combustion engines—Exhaust emission measurement—Part 1: Testbed measurement of gaseous and particulate exhaust emissions, 1996.1065.130, 1065.135, 1065.140, 

1065.155. 

§ 1065.1015 Confidential information. 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. 

(b) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(c) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in § 2.204 of 

this chapter.

PART 1068—GENERAL COMPLIANCE 

PROVISIONS FOR NONROAD 

PROGRAMS

Subpart A—Applicability and 

Miscellaneous Provisions

Sec. 

1068.1 Does this part apply to me? 

1068.5 How must manufacturers apply 

good engineering judgment? 

1068.10 How do I request EPA to keep my 

information confidential 

1068.15 Who is authorized to represent the 

Agency? 

1068.20 May EPA enter my facilities for 

inspections? 

1068.25 What information must I give to 

EPA? 

1068.30 What definitions apply to this part? 

1068.35 What symbols, acronyms, and 

abbreviations does this part use?

68428 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Subpart B—Prohibited Actions and Related 

Requirements 

1068.101 What general actions does this 

regulation prohibit? 

1068.105 What other provisions apply to 

me specifically if I manufacture 

equipment needing certified engines? 

1068.110 What other provisions apply to 

engines in service? 

1068.115 When must manufacturers honor 

emission-related warranty claims? 

1068.120 What requirements must I follow 

to rebuild engines? 

1068.125 What happens if I violate the 

regulations?

Subpart C—Exemptions and Exclusions 

1068.201 Does EPA exempt or exclude any 

engines from the prohibited acts? 

1068.210 What are the provisions for 

exempting test engines? 

1068.215 What are the provisions for 

exempting manufacturer-owned engines? 

1068.220 What are the provisions for 

exempting display engines? 

1068.225 What are the provisions for 

exempting engines for national security? 

1068.230 What are the provisions for 

exempting engines for export? 

1068.235 What are the provisions for 

exempting engines used solely for 

competition? 

1068.240 What are the provisions for 

exempting new replacement engines? 

1068.245 What temporary provisions 

address hardship due to unusual 

circumstances? 

1068.250 What are the provisions for 

extending compliance deadlines for 

small-volume manufacturers under 

hardship? 

1068.255 What are the provisions for 

exempting engines for hardship for 

equipment manufacturers and secondary 

engine manufacturers?

Subpart D—Imports 

1068.301 Does this subpart apply to me? 

1068.305 How do I get an exemption or 

exclusion for imported engines? 

1068.310 What are the exclusions for 

imported engines? 

1068.315 What are the permanent 

exemptions for imported engines? 

1068.320 How must I label an imported 

engine with a permanent exemption? 

1068.325 What are the temporary 

exemptions for imported engines? 

1068.330 How do I import engines to 

modify for other applications? 

1068.335 What are the penalties for 

violations?

Subpart E—Selective Enforcement Auditing 

11068.401 What is a selective enforcement 

audit? 

1068.405 What is in a test order? 

1068.410 How must I select and prepare my 

engines? 

1068.415 How do I test my engines? 

1068.420 How do I know when my engine 

family fails an SEA? 

1068.425 What happens if one of my 

production-line engines exceeds the 

emission standards? 

1068.430 What happens if an engine family 

fails an SEA? 

1068.435 May I sell engines from an engine 

family with a suspended certificate of 

conformity? 

1068.440 How do I ask EPA to reinstate my 

suspended certificate? 

1068.445 When may EPA revoke my 

certificate under this subpart and how 

may I sell these engines again? 

1068.450 What records must I send to EPA? 

1068.455 What records must I keep? 

Appendix A to Subpart E of Part 1068-Plans 

for Selective Enforcement Auditing

Subpart F—Reporting Defects and 

Recalling Engines 

1068.501 How do I report engine defects? 

1068.505 How does the recall program 

work? 

1068.510 How do I prepare and apply my 

remedial plan? 

1068.515 How do I mark or label repaired 

engines? 

1068.520 How do I notify affected owners? 

1068.525 What records must I send to EPA? 

1068.530 What records must I keep? 

1068.535 How can I do a voluntary recall 

for emission-related problems? 

1068.540 What terms do I need to know for 

this subpart?

Subpart G—Hearings 

1068.601 What are the procedures for 

hearings? 

Appendix I to Part 1068—Emission-Related 

Components 

Appendix II to Part 1068—Emission-Related 

Parameters and Specifications

Authority: 42 U.S.C. 7401–7671(q).

Subpart A—Applicability and 

Miscellaneous Provisions

§ 1068.1 Does this part apply to me? 

(a) The provisions of this part apply 

to everyone with respect to the 

following engines or to equipment using 

the following engines (including 

owners, operators, parts manufacturers, 

and persons performing maintenance): 

(1) Large nonroad spark-ignition 

engines we regulate under 40 CFR part 

1048. 

(2) Recreational SI engines and 

vehicles that we regulate under 40 CFR 

part 1051 (such as snowmobiles and offhighway motorcycles). 

(b) This part does not apply to any of 

the following engine or vehicle 

categories: 

(1) Light-duty motor vehicles (see 40 

CFR part 86). 

(2) Heavy-duty motor vehicles and 

motor vehicle engines (see 40 CFR part 

86). 

(3) Aircraft engines (see 40 CFR part 

87). 

(4) Locomotive engines (see 40 CFR 

part 92). 

(5) Land-based nonroad diesel engines 

(see 40 CFR part 89). 

(6) Marine diesel engines (see 40 CFR 

parts 89 and 94) 

(7) Marine outboard and personal 

watercraft engines (see 40 CFR part 91). 

(8) Small nonroad spark-ignition 

engines (see 40 CFR part 90). 

(c) For equipment subject to this part 

and regulated under equipment-based 

standards, interpret the term ‘‘engine’’

in this part to include equipment (see 

§ 1068.30). 

(d) Paragraph (a)(1) of this section 

identifies the parts of the CFR that 

define emission standards and other 

requirements for particular types of 

engines and vehicles. This part 1068 

refers to each these other parts 

generically as the ‘‘standard-setting 

part.’’ For example, 40 CFR part 1051 is 

always the standard-setting part for 

snowmobiles. Follow the provisions of 

the standard-setting part if they are 

different than any of the provisions in 

this part.

§ 1068.5 How must manufacturers apply 

good engineering judgment? 

(a) You must use good engineering 

judgment for decisions related to any 

requirements under this chapter. This 

includes your applications for 

certification, any testing you do to show 

that your production-line or in-use 

engines comply with requirements that 

apply to them, and how you select, 

categorize, determine, and apply these 

requirements. 

(b) If we send you a written request, 

you must give us a written description 

of the engineering judgment in question. 

Respond within 15 working days of 

receiving our request unless we allow 

more time. 

(c) We may reject your decision if it 

is not based on good engineering 

judgment or is otherwise inconsistent 

with the requirements that apply, based 

on the following provisions: 

(1) We may suspend, revoke, or void 

a certificate of conformity if we 

determine you deliberately used 

incorrect information or overlooked 

important information, that you did not 

decide in good faith, or that your 

decision was not rational. 

(2) If we believe a different decision 

would better reflect good engineering 

judgment, but none of the provisions of 

paragraph (c)(1) of this section apply, 

we will tell you of our concern (and its 

basis). You will have 30 days to respond 

to our concerns, or more time if we 

agree that you need it to generate more 

information. After considering your 

information, we will give you a final 

ruling. If we conclude that you did not 

use good engineering judgment, we may 

reject your decision and apply the new 

ruling to similar situations as soon as 

possible. 

(d) We will tell you in writing of the 

conclusions we reach under paragraph 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68429

(c) of this section and explain our 

reasons for them. 

(e) If you disagree with our 

conclusions, you may file a request for 

a hearing with the Designated Officer as 

described in subpart F of this part. In 

your request, specify your objections, 

include data or supporting analysis, and 

get your authorized representative’s 

signature. If we agree that your request 

raises a substantial factual issue, we will 

hold the hearing according to subpart F 

of this part.

§ 1068.10 How do I request EPA to keep 

my information confidential 

(a) Clearly identify any information 

you consider confidential by marking, 

circling, bracketing, stamping, or some 

other method. We will store your 

confidential information as described in 

40 CFR part 2. Also, we will disclose it 

only as specified in 40 CFR part 2. This 

procedure applies equally to the 

Environmental Appeals Board. 

(b) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(c) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in § 2.204 of 

this chapter.

§ 1068.15 Who is authorized to represent 

the Agency? 

(a) The Administrator of the 

Environmental Protection Agency or 

any official to whom the Administrator 

has delegated specific authority may 

represent the Agency. For more 

information, ask for a copy of the 

relevant sections of the EPA Delegation 

Manual from the Designated Officer. 

(b) The regulations in this part and in 

the standard-setting part have specific 

requirements describing how to get EPA 

approval before you take specific 

actions. These regulations also allow us 

to waive some specific requirements. 

For provisions or flexibilities that we 

address frequently, we may choose to 

provide detailed guidance in 

supplemental compliance instructions 

for manufacturers. Such instructions 

will generally state how they relate to 

the need for pre-approval. Unless we 

explicitly state so, you should not 

consider full compliance with the 

instructions to be equivalent to EPA 

approval.

§ 1068.20 May EPA enter my facilities for 

inspections? 

(a) We may inspect your engines, 

testing, manufacturing processes, engine 

storage facilities (including port 

facilities for imported engines or other 

relevant facilities), or records, as 

authorized by the Act, to enforce the 

provisions of this chapter. Inspectors 

will have authorizing credentials and 

will limit inspections to reasonable 

times—usually, normal operating hours. 

(b) If we come to inspect, we may or 

may not have a warrant or court order.

(1) If we do not have a warrant or 

court order, you may deny us entry. 

(2) If we have a warrant or court 

order, you must allow us to enter the 

facility and carry out the activities it 

describes. 

(c) We may seek a warrant or court 

order authorizing an inspection 

described in this section, whether or not 

we first tried to get your permission to 

inspect. 

(d) We may select any facility to do 

any of the following: 

(1) Inspect and monitor any aspect of 

engine manufacturing, assembly, 

storage, or other procedures, and any 

facilities where you do them. 

(2) Inspect and monitor any aspect of 

engine test procedures or test-related 

activities, including test engine 

selection, preparation, service 

accumulation, emission duty cycles, 

and maintenance and verification of 

your test equipment’s calibration. 

(3) Inspect and copy records or 

documents related to assembling, 

storing, selecting, and testing an engine. 

(4) Inspect and photograph any part or 

aspect of engines and components you 

use for assembly. 

(e) You must give us reasonable help 

without charge during an inspection 

authorized by the Act. For example, you 

may need to help us arrange an 

inspection with the facility’s managers, 

including clerical support, copying, and 

translation. You may also need to show 

us how the facility operates and answer 

other questions. If we ask in writing to 

see a particular employee at the 

inspection, you must ensure that he or 

she is present (legal counsel may 

accompany the employee). 

(f) If you have facilities in other 

countries, we expect you to locate them 

in places where local law does not keep 

us from inspecting as described in this 

section. We will not try to inspect if we 

learn that local law prohibits it, but we 

may suspend your certificate if we are 

not allowed to inspect.

§ 1068.25 What information must I give to 

EPA? 

If you are subject to the requirements 

of this part, we may require you to give 

us information to evaluate your 

compliance with any regulations that 

apply, as authorized by the Act. This 

includes the following things: 

(a) You must provide the information 

we require in this chapter. 

(b) You must establish and maintain 

records, perform tests, make reports and 

provide additional information that we 

may reasonably require under section 

208 of the Act. This also applies to 

engines we exempt from emission 

standards.

§ 1068.30 What definitions apply to this 

part? 

The following definitions apply to 

this part. The definitions apply to all 

subparts unless we note otherwise. All 

undefined terms have the meaning the 

Act gives to them. The definitions 

follow: 

Act means the Clean Air Act, as 

amended, 42 U.S.C. 7401 et seq.

Aircraft means any vehicle capable of 

sustained air travel above treetop 

heights. 

Certificate holder means a 

manufacturer (including importers) with 

a valid certificate of conformity for at 

least one engine family in a given 

calendar year. 

Designated Officer means the Manager 

of the Engine Programs Group (6405–J), 

U.S. Environmental Protection Agency, 

1200 Pennsylvania Ave., Washington, 

DC 20460. 

Emission-related defect means a 

defect in design, materials or 

workmanship (in an emission control 

device or vehicle component or system) 

that affects an emission-related 

component, parameter, or specification 

that is identified in Appendix I or 

Appendix II of this part. 

Engine means an engine to which this 

part applies. For equipment subject to 

this part and regulated under 

equipment-based standards, the term 

engine in this part shall be interpreted 

to include equipment. 

Engine-based means having emission 

standards related to measurements 

using an engine dynamometer, in units 

of grams of pollutant per kilowatt-hour. 

Engine manufacturer means the 

manufacturer that is subject to the 

certification requirements of the 

standard-setting part. For vehicles/

equipment subject to this part and 

regulated under vehicle/equipmentbased standards, the term engine 

manufacturer in this part includes 

vehicles/equipment manufacturers. 

Equipment-based means having 

emission standards related to 

measurements from an engine installed 

in a vehicle using a chassis 

dynamometer, in units of grams of 

pollutant per kilometer. 

Equipment manufacturer means any 

company producing a piece of 

equipment (such as a vehicle) for sale or 

use in the United States. 

Manufacturer has the meaning given 

in section 216(1) of the Act. In general, 

68430 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

this term includes any person who 

manufactures an engine or vehicle for 

sale in the United States or otherwise 

introduces a new engine or vehicle into 

commerce in the United States. This 

includes importers that import new 

engines or new equipment into the 

United States for resale. It also includes 

secondary engine manufacturers. 

New has the meaning we give it in the 

standard-setting part. 

Nonroad engine means: 

(1) Except as discussed in paragraph 

(2) of this definition, a nonroad engine 

is any internal combustion engine: 

(i) In or on a piece of equipment that 

is self-propelled or serves a dual 

purpose by both propelling itself and 

performing another function (such as 

garden tractors, off-highway mobile 

cranes and bulldozers); or 

(ii) In or on a piece of equipment that 

is intended to be propelled while 

performing its function (such as 

lawnmowers and string trimmers); or 

(iii) That, by itself or in or on a piece 

of equipment, is portable or 

transportable, meaning designed to be 

and capable of being carried or moved 

from one location to another. Indicia of 

transportability include, but are not 

limited to, wheels, skids, carrying 

handles, dolly, trailer, or platform. 

(2) An internal combustion engine is 

not a nonroad engine if: 

(i) The engine is used to propel a 

motor vehicle or a vehicle used solely 

for competition, or is subject to 

standards promulgated under section 

202 of the Act; or 

(ii) The engine is regulated by a 

federal New Source Performance 

Standard promulgated under section 

111 of the Act; or 

(iii) The engine otherwise included in 

paragraph (1)(iii) of this definition 

remains or will remain at a location for 

more than 12 consecutive months or a 

shorter period of time for an engine 

located at a seasonal source. A location 

is any single site at a building, structure, 

facility, or installation. Any engine (or 

engines) that replaces an engine at a 

location and that is intended to perform 

the same or similar function as the 

engine replaced will be included in 

calculating the consecutive time period. 

An engine located at a seasonal source 

is an engine that remains at a seasonal 

source during the full annual operating 

period of the seasonal source. A 

seasonal source is a stationary source 

that remains in a single location on a 

permanent basis (i.e., at least two years) 

and that operates at that single location 

approximately three months (or more) 

each year. This paragraph (2)(iii) does 

not apply to an engine after the engine 

is removed from the location. 

Operating hours means: 

(1) For engine storage areas or 

facilities, times during which people 

other than custodians and security 

personnel are at work near, and can 

access, a storage area or facility. 

(2) For other areas or facilities, times 

during which an assembly line operates 

or any of the following activities occurs: 

(i) Testing, maintenance, or service 

accumulation. 

(ii) Production or compilation of 

records. 

(iii) Certification testing. 

(iv) Translation of designs from the 

test stage to the production stage. 

(v) Engine manufacture or assembly. 

Piece of equipment means any 

vehicle, vessel, locomotive, aircraft, or 

other type of equipment using engines 

to which this part applies.

Placed into service means used for its 

intended purpose. 

Reasonable technical basis means 

information that would lead a person 

familiar with engine design and 

function to reasonably believe a 

conclusion, related to compliance with 

the requirements of this part. For 

example, it would be reasonable to 

believe that parts performing the same 

function as the original parts (and to the 

same degree) would control emissions 

to the same degree as the original parts. 

Standard-setting part means the part 

in the Code of Federal Regulations that 

defines emission standards for a 

particular engine (see § 1068.1(a)). For 

example, the standard-setting part for 

non-recreational spark-ignition engines 

over 19 kW is part 1048 of this chapter. 

Ultimate purchaser means the first 

person who in good faith buys a new 

engine for purposes other than resale. 

United States means the States, the 

District of Columbia, the 

Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana 

Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Trust 

Territory of the Pacific Islands. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives.

§ 1068.35 What symbols, acronyms, and 

abbreviations does this part use? 

The following symbols, acronyms, 

and abbreviations apply to this part:

$ U.S. dollars. 

CFR Code of Federal Regulations. 

EPA Environmental Protection Agency. 

U.S. United States. 

U.S.C. United States Code.

Subpart B—Prohibited Actions and 

Related Requirements

§ 1068.101 What general actions does this 

regulation prohibit? 

This section specifies actions that are 

prohibited and the maximum civil 

penalties that we can assess for each 

violation. The maximum penalty values 

listed in paragraphs (a) and (b) of this 

section are shown for calendar year 

2002. As described in paragraph (e) of 

this section, maximum penalty limits 

for later years are set forth in 40 CFR 

part 19. 

(a) The following prohibitions and 

requirements apply to manufacturers of 

new engines and manufacturers of 

equipment containing these engines, 

except as described in subparts C and D 

of this part: 

(1) You may not sell, offer for sale, or 

introduce or deliver into commerce in 

the United States or import into the 

United States any new engine or 

equipment after emission standards take 

effect for that engine or equipment, 

unless it has a valid certificate of 

conformity for its model year and the 

required label or tag. You also may not 

take any of the actions listed in the 

previous sentence with respect to any 

equipment containing an engine subject 

to this part’s provisions, unless the 

engine has a valid certificate of 

conformity for its model year and the 

required engine label or tag. This 

requirement also covers new engines 

you produce to replace an older engine 

in a piece of equipment, unless the 

engine qualifies for the replacementengine exemption in § 1068.240. We 

may assess a civil penalty up to $31,500 

for each engine in violation.

(2) This chapter requires you to record 

certain types of information to show 

that you meet our standards. You must 

comply with these requirements to 

make and maintain required records 

(including those described in 

§ 1068.501). You may not deny us 

access to or copying of your records if 

we have the authority to see or copy 

them. Also, you must give us the 

required reports or information without 

delay. Failure to comply with the 

requirements of this paragraph is 

prohibited. We may assess a civil 

penalty up to $31,500 for each day in 

violation. 

(3) You may not keep us from entering 

your facility to test engines or inspect if 

we are authorized to do so. Also, you 

must perform the tests we require (or 

have the tests done for you). Failure to 

perform this testing is prohibited. We 

may assess a civil penalty up to $31,500 

for each day in violation. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68431

(b) The following prohibitions apply 

to everyone with respect to the engines 

to which this part applies: 

(1) You may not remove or disable a 

device or element of design that may 

affect an engine’s emission levels. This 

restriction applies before and after the 

engine is placed in service. Section 

1068.120 describes how this applies to 

rebuilding engines. For a manufacturer 

or dealer, we may assess a civil penalty 

up to $31,500 for each engine in 

violation. For anyone else, we may 

assess a civil penalty up to $3,150 for 

each engine in violation. This does not 

apply in any of the following situations: 

(i) You need to repair an engine and 

you restore it to proper functioning 

when the repair is complete. 

(ii) You need to modify an engine to 

respond to a temporary emergency and 

you restore it to proper functioning as 

soon as possible. 

(iii) You modify a new engine that 

another manufacturer has already 

certified to meet emission standards, 

intending to recertify it under your own 

engine family. In this case you must tell 

the original manufacturer not to include 

the modified engines in the original 

engine family. 

(2) You may not knowingly 

manufacture, sell, offer to sell, or install, 

an engine part if one of its main effects 

is to bypass, impair, defeat, or disable 

the engine’s control of emissions. We 

may assess a civil penalty up to $3,150 

for each part in violation. 

(3) For an engine that is excluded 

from any requirements of this chapter 

because it is a stationary engine, you 

may not move it or install it in any 

mobile equipment, except as allowed by 

the provisions of this chapter. You may 

not circumvent or attempt to circumvent 

the residence-time requirements of 

paragraph (2)(iii) of the nonroad engine 

definition in § 1068.30. We may assess 

a civil penalty up to $31,500 for each 

day in violation. 

(4) For an uncertified engine or piece 

of equipment that is excluded or 

exempted from any requirements of this 

chapter because it is to be used solely 

for competition, you may not use it in 

a manner that is inconsistent with use 

solely for competition. We may assess a 

civil penalty up to $31,500 for each day 

in violation. 

(5) You may not import an uncertified 

engine or piece of equipment if it is 

defined to be new in the standardsetting part, and it would have been 

subject to standards had it been built in 

the United States. We may assess a civil 

penalty up to $31,500 for each day in 

violation. Note the following: 

(i) The definition of new is broad for 

imported engines; uncertified engines 

and equipment (including used engines 

and equipment) are generally 

considered to be new when imported. 

(ii) Engines that were originally 

manufactured before applicable EPA 

standards were in effect are generally 

not subject to emission standards. 

(c) Exemptions from these 

prohibitions are described in subparts C 

and D of this part. 

(d) The standard-setting parts describe 

more requirements and prohibitions that 

apply to manufacturers (including 

importers) and others under this 

chapter. 

(e) The maximum penalty values 

listed in paragraphs (a) and (b) of this 

section are shown for calendar year 

2002. Maximum penalty limits for later 

years may be adjusted based on the 

Consumer Price Index. The specific 

regulatory provisions for changing the 

maximum penalties, published in 40 

CFR part 19, reference the applicable 

U.S. Code citation on which the 

prohibited action is based. The 

following table is shown here for 

informational purposes:

TABLE 1 OF § 1068.101.—LEGAL CITATION FOR SPECIFIC PROHIBITIONS FOR DETERMINING MAXIMUM PENALTY AMOUNTS

Part 1068 regulatory citation of prohibited action General description of prohibition U.S. Code citation for 

Clean Air Act authority 

§ 1068.101(a)(1) ................................................................ Introduction into commerce of an uncertified product .... 42 U.S.C. 7522(a)(1) 

§ 1068.101(a)(1) ................................................................ Failure to provide information ......................................... 42 U.S.C. 7522(a)(2) 

§ 1068.101(a)(3) ................................................................ Denying access to facilities ............................................. 42 U.S.C. 7522(a)(2) 

§ 1068.101(b)(1) ................................................................ Tampering with emission controls by a manufacturer or 

dealer.

42 U.S.C. 7522(a)(3) 

Tampering with emission controls by someone other 

than a manufacturer or dealer.

§ 1068.101(b)(2) ................................................................ Sale or use of a defeat device ........................................ 42 U.S.C. 7522(a)(3) 

§ 1068.101(b)(3) ................................................................ Mobile use of a stationary engine ................................... 42 U.S.C. 7522(a)(1) 

§ 1068.101(b)(4) ................................................................ Noncompetitive use of an uncertified engine that is exempted for competition.42 U.S.C. 7522(a)(1) 

§ 1068.101(b)(5) ................................................................ Importation of an uncertified product .............................. 42 U.S.C. 7522(a)(1) 

§ 1068.105 What other provisions apply to 

me specifically if I manufacture equipment 

needing certified engines? 

(a) Transitioning to new standards.

You may use up your normal inventory 

of engines not certified to new emission 

standards if they were built before the 

date of the new standards. However, 

stockpiling these engines violates 

§ 1068.101(a)(1). 

(b) Installing engines. You must 

follow the engine manufacturer’s 

emission-related installation 

instructions. For example, you may 

need to constrain where you place an 

exhaust aftertreatment device or 

integrate into your equipment models a 

device for sending visual or audible 

signals to the operator. Not meeting the 

manufacturer’s emission-related 

installation instructions is a violation of 

§ 1068.101(b)(1). 

(c) Attaching a duplicate label. If you 

obscure the engine’s label, you must do 

three things to avoid violating 

§ 1068.101(a)(1): 

(1) Permanently attach to your 

equipment a duplicate label. Secure it to 

a part needed for normal operation and 

not normally requiring replacement. 

68432 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(2) Make sure your label is identical 

to the engine label. You may make the 

label yourself or get it from the engine 

manufacturer. 

(3) Make sure an average person can 

easily read it. 

(d) Producing nonroad equipment 

certified to highway emission standards.

You may produce nonroad equipment 

from complete or incomplete motor 

vehicles with the motor vehicle engine 

if you meet three criteria: 

(1) The engine or vehicle is certified 

to 40 CFR part 86. 

(2) The engine is not adjusted outside 

the manufacturer’s specifications.

(3) The engine or vehicle is not 

modified in any way that may affect its 

emission control. This applies to 

evaporative emission controls, but not 

refueling emission controls.

§ 1068.110 What other provisions apply to 

engines in service? 

(a) Aftermarket parts and service. As 

the engine manufacturer, you may not 

require anyone to use your parts or 

service to maintain or repair an engine, 

unless we approve this in your 

application for certification. It is a 

violation of the Act for anyone to 

manufacture an engine or vehicle part if 

one of its main effects is to reduce the 

effectiveness of the emission controls. 

See § 1068.101(b)(2). 

(b) Certifying aftermarket parts. As 

the manufacturer or rebuilder of an 

aftermarket engine part, you may—but 

are not required to—certify according to 

§ 85.2114 of this chapter that using the 

part will not cause engines to fail to 

meet emission standards. Whether you 

certify or not, however, you must keep 

any information showing how your 

parts or service affect emissions. 

(c) Compliance with standards. We 

may test engines or equipment to 

investigate compliance with emission 

standards. We may also require the 

manufacturer to do this testing. 

(d) Defeat devices. We may test 

engines or equipment to investigate 

potential defeat devices. We may also 

require the manufacturer to do this 

testing. If we choose to investigate one 

of your designs, we may require you to 

show us that it does not have a defeat 

device. To do this, you may have to 

share with us information regarding test 

programs, engineering evaluations, 

design specifications, calibrations, onboard computer algorithms, and design 

strategies. It is a violation of the Act for 

anyone to make, install or use defeat 

devices. See § 1068.101(b)(2) and the 

standard-setting part. 

(e) Warranty and maintenance.

Owners may make warranty claims 

against the manufacturer for emissionrelated parts, as described in § 1068.115. 

This generally includes any emissionrelated engine parts that were not in 

common use before we have adopted 

emission standards. In general, we 

consider replacement or repair of any 

other components to be the owner’s 

responsibility. The warranty period 

begins when the engine is first placed 

into service. See the standard-setting 

part for specific requirements. It is a 

violation of the Act for anyone to 

disable emission controls. See 

§ 1068.101(b)(1) and the standardsetting part.

§ 1068.115 When must manufacturers 

honor emission-related warranty claims? 

Section 207(a) of the Clean Air Act 

(42 U.S.C. 7541(a)) requires certifying 

manufacturers to warrant to purchasers 

that their engines are designed, built, 

and equipped to conform at the time of 

sale to the applicable regulations for 

their full useful life, including a 

warranty that the engines are free from 

defects in materials and workmanship 

that would cause an engine to fail to 

conform to the applicable regulations 

during the specified warranty period. 

This section codifies the warranty 

requirements of section 207(a) without 

intending to limit these requirements. 

(a) As a certifying manufacturer, you 

may deny warranty claims for failures 

that have been caused by the owner’s or 

operator’s improper maintenance or use. 

For example, you would not need to 

honor warranty claims for failures that 

have been directly caused by the 

operator’s abuse of an engine or the 

operator’s use of the engine in a manner 

for which it was not designed, and are 

not attributable to you in any way. 

(b) As a certifying manufacturer, you 

may not deny emission-related warranty 

claims based on any of the following: 

(1) Maintenance or other service you 

or your authorized facilities performed. 

(2) Engine repair work that an 

operator performed to correct an unsafe, 

emergency condition attributable to you, 

as long as the operator tries to restore 

the engine to its proper configuration as 

soon as possible. 

(3) Any action or inaction by the 

operator unrelated to the warranty 

claim. 

(4) Maintenance that was performed 

more frequently than you specify. 

(5) Anything that is your fault or 

responsibility. 

(6) The use of any fuel that is 

commonly available where the engine 

operates, unless your written 

maintenance instructions state that this 

fuel would harm the engine’s emission 

control system and operators can readily 

find the proper fuel.

§ 1068.120 What requirements must I 

follow to rebuild engines? 

(a) This section describes the steps to 

take when rebuilding engines to avoid 

violating the tampering prohibition in 

§ 1068.101(b)(1). These requirements 

apply to anyone rebuilding an engine 

subject to this part, but the 

recordkeeping requirements in 

paragraphs (j) and (k) of this section 

apply only to businesses. 

(b) The term ‘‘rebuilding’’ refers to a 

rebuild of an engine or engine system, 

including a major overhaul in which 

you replace the engine’s pistons or 

power assemblies or make other changes 

that significantly increase the service 

life of the engine. It also includes 

replacing or rebuilding an engine’s 

turbocharger or aftercooler or the 

engine’s systems for fuel metering or 

electronic control so that it significantly 

increases the service life of the engine. 

For these provisions, rebuilding may or 

may not involve removing the engine 

from the equipment. Rebuilding does 

not normally include the following: 

(1) Scheduled emission-related 

maintenance that the standard-setting 

part allows during the useful life period 

(such as replacing fuel injectors). 

(2) Unscheduled maintenance that 

occurs commonly within the useful life 

period. For example, replacing a water 

pump is not rebuilding. 

(c) For maintenance or service that is 

not rebuilding, you may not make 

changes that might increase emissions, 

but you do not need to keep any 

records. 

(d) If you rebuild an engine or engine 

system, you must have a reasonable 

technical basis for knowing that the 

rebuilt engine has the same emissions 

performance as the engine in its 

certified configuration. Identify the 

model year of the resulting engine 

configuration. You have a reasonable 

basis if you meet two main conditions: 

(1) Install parts—new, used, or 

rebuilt—so a person familiar with 

engine design and function would 

reasonably believe that the engine with 

those parts will control emissions to the 

same degree as with the original parts. 

For example, it would be reasonable to 

believe that parts performing the same 

function as the original parts (and to the 

same degree) would control emissions 

to the same degree as the original parts. 

(2) Adjust parameters or change 

design elements only according to the 

original engine manufacturer’s 

instructions. Or, if you differ from these 

instructions, you must have data or 

some other technical basis to show you 

should not expect in-use emissions to 

increase.

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68433

(e) If the rebuilt engine remains 

installed or is reinstalled in the same 

piece of equipment, you must rebuild it 

to the original configuration or another 

certified configuration of the same or 

later model year. 

(f) If the rebuilt engine replaces 

another engine in a piece of equipment, 

you must rebuild it to a certified 

configuration that equals the emissions 

performance of the engine you are 

replacing. 

(g) Do not erase or reset emissionrelated codes or signals from onboard 

monitoring systems without diagnosing 

and responding appropriately to any 

diagnostic codes. This requirement 

applies regardless of the manufacturer’s 

reason for installing the monitoring 

system and regardless of its form or 

interface. Clear any codes from 

diagnostic systems when you return the 

rebuilt engine to service. Do not disable 

a diagnostic signal without addressing 

its cause. 

(h) When you rebuild an engine, 

check, clean, adjust, repair, or replace 

all emission-related components (listed 

in Appendix I of this part) as needed 

according to the original manufacturer’s 

recommended practice. In particular, 

replace oxygen sensors, replace the 

catalyst if there is evidence of 

malfunction, clean gaseous fuel system 

components, and replace fuel injectors 

(if applicable), unless you have a 

reasonable technical basis for believing 

they do not need replacement. 

(i) If you are installing an engine that 

someone else has rebuilt, check all 

emission-related components listed in 

Appendix I of this part as needed 

according to the original manufacturer’s 

recommended practice. 

(j) Keep at least the following records: 

(1) Identify the hours of operation (or 

mileage, as appropriate) at time of 

rebuild. 

(2) Identify the work done on the 

engine or any emission-related control 

components, including a listing of parts 

and components you used. 

(3) Describe any engine parameter 

adjustments. 

(4) Identify any emission-related 

codes or signals you responded to and 

reset. 

(k) You must show us or send us your 

records if we ask for them. Keep records 

for at least two years after rebuilding an 

engine. Keep them in any format that 

allows us to readily review them. 

(1) You do not need to keep 

information that is not reasonably 

available through normal business 

practices. We do not expect you to have 

information that you cannot reasonably 

access. 

(2) You do not need to keep records 

of what other companies do. 

(3) You may keep records based on 

engine families rather than individual 

engines if that is the way you normally 

do business.

§ 1068.125 What happens if I violate the 

regulations? 

(a) Civil penalties and injunctions. We 

may bring a civil action to assess and 

recover civil penalties and/or enjoin and 

restrain violations in the United States 

District Court for the district where you 

allegedly violated a requirement, or the 

district where you live or have your 

main place of business. Actions to 

assess civil penalties or restrain 

violations of § 1068.101 must be brought 

by and in the name of the United States. 

The selected court has jurisdiction to 

restrain violations and assess civil 

penalties. 

(1) To determine the amount of a civil 

penalty and reach a just conclusion, the 

court considers these main factors: 

(i) The seriousness of your violation. 

(ii) How much you benefitted or saved 

because of the violation. 

(iii) The size of your business. 

(iv) Your history of compliance with 

Title II of the Act. 

(v) What you did to remedy the 

violation. 

(vi) How the penalty will affect your 

ability to continue in business. 

(vii) Such other matters as justice may 

require. 

(2) Subpoenas for witnesses who must 

attend a district court in any district 

may apply to any other district. 

(b) Administrative penalties. Instead 

of bringing a civil action, we may assess 

administrative penalties if the total is 

less than $250,000 against you 

individually. This maximum penalty 

may be greater if the Administrator and 

the Attorney General jointly determine 

that is appropriate for administrative 

penalty assessment, or if the limit is 

adjusted under 40 CFR part 19. No court 

may review such a determination. 

Before we assess an administrative 

penalty, you may ask for a hearing 

(subject to 40 CFR part 22). The 

Administrator may compromise or 

remit, with or without conditions, any 

administrative penalty that may be 

imposed under this section. 

(1) To determine the amount of an 

administrative penalty, we will consider 

the factors described in paragraph (a)(1) 

of this section. 

(2) An administrative order we issue 

under this paragraph (b) becomes final 

30 days after we issue it, unless you ask 

for judicial review by that time (see 

paragraph (c) of this section). You may 

ask for review by any of the district 

courts listed in paragraph (a) of this 

section. Send the Administrator a copy 

of the filing by certified mail. 

(3) We will not pursue an 

administrative action for a violation if 

either of the following two conditions is 

true: 

(i) We are separately prosecuting the 

violation under this part. 

(ii) We have issued a final order for 

a violation, no longer subject to judicial 

review, for which you have already paid 

a penalty. 

(c) Judicial review. If you ask a court 

to review a civil or administrative 

penalty, we will file in the appropriate 

court within 30 days of your request a 

certified copy or certified index of the 

record on which the court or the 

Administrator issued the order. 

(1) The judge may set aside or remand 

any order issued under this section only 

if one of the following is true: 

(i) Substantial evidence does not exist 

in the record, taken as a whole, to 

support finding a violation. 

(ii) The Administrator’s assessment of 

the penalty is an abuse of discretion. 

(2) The judge may not add civil 

penalties unless our penalty is an abuse 

of discretion that favors you. 

(d) Effect of enforcement actions on 

other requirements. Our pursuit of civil 

or administrative penalties does not 

affect or limit our authority to enforce 

any provisions of this chapter. 

(e) Penalties. In any proceedings, the 

United States government may seek to 

collect civil penalties assessed under 

this section. 

(1) Once a penalty assessment is final, 

if you do not pay it, the Administrator 

will ask the Attorney General to bring a 

civil action in an appropriate district 

court to recover the money. We may 

collect interest from the date of the final 

order or final judgment at rates 

established by the Internal Revenue 

Code of 1986 (26 U.S.C. 6621(a)(2)). In 

this action to collect overdue penalties, 

the court will not review the validity, 

amount, and appropriateness of the 

penalty. (2) In addition, if you do not 

pay the full amount of a penalty on 

time, you must then pay more to cover 

interest, enforcement expenses 

(including attorney’s fees and costs for 

collection), and a quarterly nonpayment 

penalty for each quarter you do not pay. 

The nonpayment penalty is 10 percent 

of your total penalties plus any unpaid 

nonpayment penalties from previous 

quarters.

68434 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

Subpart C—Exemptions and 

Exclusions

§ 1068.201 Does EPA exempt or exclude 

any engines from the prohibited acts? 

We may exempt new engines from the 

prohibited acts in subpart B of this part 

under requirements described in this 

subpart. We may exempt an engine 

already placed in service in the United 

States from the prohibition in 

§ 1068.101(b)(1) if the exemption for 

engines used solely for competition 

applies (see § 1068.235). In addition, see 

§ 1068.1 and the standard-setting parts 

to determine if other engines are 

excluded from some or all of the 

regulations in this chapter. 

(a) This subpart identifies which 

engines qualify for exemptions and 

what information we need. We may ask 

for more information. 

(b) If you violate any of the terms, 

conditions, instructions, or 

requirements to qualify for an 

exemption, we may void the exemption. 

(c) If you use an exemption under this 

subpart, we may require you to add a 

permanent label to your exempted 

engines. You may ask us to approve 

wording on the emission label different 

than we specify in this subpart if it is 

more appropriate for your engine. 

(d) If you produce engines we exempt 

under this subpart, we may require you 

to make and keep records, perform tests, 

make reports and provide information 

as needed to reasonably evaluate the 

validity of the exemption. 

(e) If you own or operate engines we 

exempt under this subpart, we may 

require you to provide information as 

needed to reasonably evaluate the 

validity of the exemption. 

(f) Subpart D of this part describes 

how we apply these exemptions to 

engines you import (or intend to 

import). 

(g) If you want to ask for an 

exemption or need more information, 

write to the Designated Officer. 

(h) You may ask us to modify the 

administrative requirements for the 

exemptions described in this subpart. 

We may approve your request if we 

determine that such approval is 

consistent with the intent of this part. 

For example, waivable administrative 

requirements might include some 

reporting requirements, but would not 

include any eligibility requirements or 

use restrictions. 

(i) If you want to take an action with 

respect to an exempted or excluded 

engine that is prohibited by the 

exemption or exclusion, such as selling 

it, you need to certify the engine. We 

will issue a certificate of conformity if 

you send us an application for 

certification showing that you meet all 

the applicable requirements from the 

standard-setting part. Also, in some 

cases, it may be sufficient to modify the 

engine as needed to make it identical to 

engines already covered by a certificate. 

Make sure these engines have emission 

control information labels that 

accurately describe their status.

§ 1068.210 What are the provisions for 

exempting test engines? 

(a) We may exempt engines that are 

not exempted under other sections of 

this part that you will use for research, 

investigations, studies, demonstrations, 

or training. 

(b) Anyone may ask for a testing 

exemption. 

(c) If you are a certificate holder, you 

may request an exemption for engines 

you intend to include in test programs 

over a two-year period. 

(1) In your request, tell us the 

maximum number of engines involved 

and describe how you will make sure 

exempted engines are used only for this 

testing. 

(2) Give us the information described 

in paragraph (d) of this section if we ask 

for it. 

(d) If you are not a certificate holder 

do all of the following: 

(1) Show that the proposed test 

program has a valid purpose under 

paragraph (a) of this section. 

(2) Show you need an exemption to 

achieve the purpose of the test program 

(time constraints may be a basis for 

needing an exemption, but the cost of 

certification alone is not). 

(3) Estimate the duration of the 

proposed test program and the number 

of engines involved. 

(4) Allow us to monitor the testing. 

(5) Describe how you will ensure that 

you stay within this exemption’s 

purposes. Address at least the following 

things: 

(i) The technical nature of the test. 

(ii) The test site. 

(iii) The duration and accumulated 

engine operation associated with the 

test. 

(iv) Ownership of the engines 

involved in the test. 

(v) The intended final disposition of 

the engines. 

(vi) How you will identify, record, 

and make available the engine 

identification numbers. 

(vii) The means or procedure for 

recording test results. 

(e) If we approve your request for a 

testing exemption, we will send you a 

letter or a memorandum for your 

signature describing the basis and scope 

of the exemption. The exemption does 

not take effect until we receive the 

signed letter or memorandum from you. 

It will also include any necessary terms 

and conditions, which normally require 

you to do the following: 

(1) Stay within the scope of the 

exemption. 

(2) Create and maintain adequate 

records that we may inspect. 

(3) Add a permanent, legible label, 

written in block letters in English, to a 

readily visible part of each exempted 

engine. This label must include at least 

the following items: 

(i) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your corporate name and 

trademark. 

(iii) Engine displacement, engine 

family identification (as applicable), and 

model year of the engine; or whom to 

contact for further information. 

(iv) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 1068.210 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’. 

(4) Tell us when the test program is 

finished. 

(5) Tell us the final disposition of the 

engines. 

(6) Send us a written confirmation 

that you meet the terms and conditions 

of this exemption.

§ 1068.215 What are the provisions for 

exempting manufacturer-owned engines? 

(a) You are eligible for the exemption 

for manufacturer-owned engines only if 

you are a certificate holder. 

(b) An engine may be exempt without 

a request if it is a nonconforming engine 

under your ownership and control and 

you operate it to develop products, 

assess production methods, or promote 

your engines in the marketplace. You 

may not lease, sell, or use the engine to 

generate revenue, either by itself or in 

a piece of equipment. 

(c) To use this exemption, you must 

do three things: 

(1) Establish, maintain, and keep 

adequately organized and indexed 

information on each exempted engine, 

including the engine identification 

number, the use of the engine on 

exempt status, and the final disposition 

of any engine removed from exempt 

status. 

(2) Let us access these records, as 

described in § 1068.20. 

(3) Add a permanent, legible label, 

written in block letters in English, to a 

readily visible part of each exempted 

engine. This label must include at least 

the following items: 

(i) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your corporate name and 

trademark. 

(iii) Engine displacement, engine 

family identification, and model year of 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68435

the engine or whom to contact for 

further information. 

(iv) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 1068.215 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’.

§ 1068.220 What are the provisions for 

exempting display engines? 

(a) Anyone may request an exemption 

for display engines. 

(b) A nonconforming display engine 

will be exempted if it is used only for 

displays in the interest of a business or 

the general public. This exemption does 

not apply to engines displayed for 

private use or any other purpose we 

determine is inappropriate for a display 

exemption. 

(c) You may operate the exempted 

engine, but only if we approve specific 

operation that is part of the display. 

(d) You may sell or lease the 

exempted engine only with our advance 

approval; you may not use it to generate 

revenue. 

(e) To use this exemption, you must 

add a permanent, legible label, written 

in block letters in English, to a readily 

visible part of each exempted engine. 

This label must include at least the 

following items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) Engine displacement, engine 

family identification, and model year of 

the engine or whom to contact for 

further information. 

(4) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 1068.220 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’. 

(f) We may set other conditions for 

approval of this exemption.

§ 1068.225 What are the provisions for 

exempting engines for national security? 

(a) You are eligible for the exemption 

for national security only if you are a 

manufacturer. 

(b) Your engine is exempt without a 

request if you produce it for a piece of 

equipment owned or used by an agency 

of the federal government responsible 

for national defense, where the 

equipment has armor, permanently 

attached weaponry, or other substantial 

features typical of military combat. 

(c) You may request a national 

security exemption for engines not 

meeting the conditions of paragraph (b) 

of this section, as long as your request 

is endorsed by an agency of the federal 

government responsible for national 

defense. In your request, explain why 

you need the exemption.

§ 1068.230 What are the provisions for 

exempting engines for export? 

(a) If you export a new engine to a 

country with emission standards 

identical to ours, we will not exempt it. 

These engines must comply with our 

certification requirements. 

(b) If you export an engine to a 

country with different emission 

standards or no emission standards, it is 

exempt from the prohibited acts in this 

part without a request. If you produce 

an exempt engine for export and it is 

sold or offered for sale to someone in 

the United States (except for export), we 

will void the exemption. 

(c) Label each exempted engine and 

shipping container with a label or tag 

showing the engine is not certified for 

sale or use in the United States. The 

label must include at least the statement 

‘‘THIS ENGINE IS SOLELY FOR 

EXPORT AND IS THEREFORE IS 

EXEMPT UNDER 40 CFR 1068.230 

FROM U.S. EMISSION STANDARDS 

AND RELATED REQUIREMENTS.’’.

§ 1068.235 What are the provisions for 

exempting engines used solely for 

competition? 

(a) New engines you produce that are 

used solely for competition are 

generally excluded from emission 

standards. See the standard-setting parts 

for specific provisions where applicable. 

(b) If you modify an engine after it has 

been placed into service in the United 

States so it will be used solely for 

competition, it is exempt without 

request. This exemption applies only to 

the prohibition in § 1068.101(b)(1) and 

is valid only as long as the engine is 

used solely for competition. 

(c) If you modify an engine under this 

exemption, you must destroy the 

original emission label. If you sell or 

give one of these engines to someone 

else, you must tell the new owner in 

writing that it may be used only for 

competition.

§ 1068.240 What are the provisions for 

exempting new replacement engines? 

(a) You are eligible for the exemption 

for new replacement engines only if you 

are a certificate holder. 

(b) The prohibitions in 

§ 1068.101(a)(1) do not apply to an 

engine if all the following conditions 

apply: 

(1) You produce a new engine to 

replace an engine already placed in 

service in a piece of equipment. 

(2) The engine being replaced was 

manufactured before the emission 

standards that would otherwise apply to 

the new engine took effect.

(3) No engine certified to current 

emission requirements is available with 

the appropriate physical or performance 

characteristics for the piece of 

equipment. 

(4) You or your agent takes possession 

of the old engine. 

(5) You make the replacement engine 

in a configuration identical in all 

material respects to the engine being 

replaced (or that of another certified 

engine of the same or later model year). 

This requirement applies only if the old 

engine was certified to emission 

standards less stringent than those in 

effect when you produce the 

replacement engine. 

(c) If the old engine was not certified 

to any emission standards under this 

chapter, clearly label the replacement 

engine with the following language:

THIS ENGINE DOES NOT COMPLY WITH 

FEDERAL NONROAD OR HIGHWAY 

EMISSION REQUIREMENTS. SELLING OR 

INSTALLING THIS ENGINE FOR ANY 

PURPOSE OTHER THAN AS A 

REPLACEMENT ENGINE IN A VEHICLE OR 

PIECE OF EQUIPMENT BUILT BEFORE 

JANUARY 1, [Insert appropriate year 

reflecting when standards began to apply to 

engines of that size and type] IS A 

VIOLATION OF FEDERAL LAW SUBJECT 

TO CIVIL PENALTY.

(d) If the old engine was certified to 

emission standards less stringent than 

those in effect when you produce the 

replacement engine, clearly label the 

replacement engine with the following 

language:

THIS ENGINE DOES NOT COMPLY WITH 

CURRENT FEDERAL NONROAD OR 

HIGHWAY EMISSION REQUIREMENTS. 

SELLING OR INSTALLING THIS ENGINE 

FOR ANY PURPOSE OTHER THAN AS A 

REPLACEMENT ENGINE IN A VEHICLE OR 

PIECE OF EQUIPMENT BUILT BEFORE 

JANUARY 1, [Insert appropriate year 

reflecting when the earlier tier of emission 

standards began to apply to the old engine] 

IS A VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY.

§ 1068.245 What temporary provisions 

address hardship due to unusual 

circumstances? 

(a) After considering the 

circumstances, we may permit you to 

introduce into commerce engines or 

equipment that do not comply with 

emission standards if all the following 

conditions apply: 

(1) Unusual circumstances that are 

clearly outside your control and that 

could not have been avoided with 

reasonable discretion prevent you from 

meeting requirements from this chapter. 

(2) You exercised prudent planning 

and were not able to avoid the violation; 

you have taken all reasonable steps to 

minimize the extent of the 

nonconformity. 

68436 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(3) Not having the exemption will 

jeopardize the solvency of your 

company. 

(4) No other allowances are available 

under the regulations in this chapter to 

avoid the impending violation. 

(b) To apply for an exemption, you 

must send the Designated Officer a 

written request as soon as possible 

before you are in violation. In your 

request, show that you meet all the 

conditions and requirements in 

paragraph (a) of this section. 

(c) Include in your request a plan 

showing how you will meet all the 

applicable requirements as quickly as 

possible. 

(d) You must give us other relevant 

information if we ask for it. 

(e) We may include reasonable 

additional conditions on an approval 

granted under this section, including 

provisions to recover or otherwise 

address the lost environmental benefit 

or paying fees to offset any economic 

gain resulting from the exemption. For 

example, in the case of multiple tiers of 

emission standards, we may require that 

you meet the less stringent standards. 

(f) Add a permanent, legible label, 

written in block letters in English, to a 

readily visible part of each engine 

exempted under this section. This label 

must include at least the following 

items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) Engine displacement (in liters), 

rated power, and model year of the 

engine or whom to contact for further 

information. 

(4) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 1068.245 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’.

§ 1068.250 What are the provisions for 

extending compliance deadlines for smallvolume manufacturers under hardship? 

(a) After considering the 

circumstances, we may extend the 

compliance deadline for you to meet 

new or revised emission standards, as 

long as you meet all the conditions and 

requirements in this section.

(b) To be eligible for this exemption, 

you must qualify under the standardsetting part for special provisions for 

small businesses or small-volume 

manufacturers. 

(c) To apply for an extension, you 

must send the Designated Officer a 

written request. In your request, show 

that all the following conditions and 

requirements apply: 

(1) You have taken all possible 

business, technical, and economic steps 

to comply. 

(i) In the case of importers of engines 

produced by other companies, show 

that you attempted to find a 

manufacturer capable of supplying 

complying products as soon as you 

became aware of the applicable 

requirements, but were unable to do so. 

(ii) For all other manufacturers, show 

that the burden of compliance costs 

prevents you from meeting the 

requirements of this chapter. 

(2) Not having the exemption will 

jeopardize the solvency of your 

company. 

(3) No other allowances are available 

under the regulations in this chapter to 

avoid the impending violation. 

(d) In describing the steps you have 

taken to comply under paragraph (c)(1) 

of this section, include at least the 

following information: 

(1) Describe your business plan, 

showing the range of projects active or 

under consideration. 

(2) Describe your current and 

projected financial standing, with and 

without the burden of complying fully 

with the applicable regulations in this 

chapter. 

(3) Describe your efforts to raise 

capital to comply with regulations in 

this chapter (this may not apply for 

importers). 

(4) Identify the engineering and 

technical steps you have taken or plan 

to take to comply with regulations in 

this chapter. 

(5) Identify the level of compliance 

you can achieve. For example, you may 

be able to produce engines that meet a 

somewhat less stringent emission 

standard than the regulations in this 

chapter require. 

(e) Include in your request a plan 

showing how you will meet all the 

applicable requirements as quickly as 

possible. 

(f) You must give us other relevant 

information if we ask for it. 

(g) An authorized representative of 

your company must sign the request and 

include the statement: ‘‘All the 

information in this request is true and 

accurate, to the best of my knowledge.’’. 

(h) Send your request for this 

extension at least nine months before 

the relevant deadline. If different 

deadlines apply to companies that are 

not small-volume manufacturers, do not 

send your request before the regulations 

in question apply to the other 

manufacturers. Otherwise, do not send 

your request more than three years 

before the relevant deadline. 

(i) We may include reasonable 

requirements on an approval granted 

under this section, including provisions 

to recover or otherwise address the lost 

environmental benefit. For example, we 

may require that you meet a less 

stringent emission standard or buy and 

use available emission credits. 

(j) We will approve extensions of up 

to one year. We may review and revise 

an extension as reasonable under the 

circumstances. 

(k) Add a permanent, legible label, 

written in block letters in English, to a 

readily visible part of each engine 

exempted under this section. This label 

must include at least the following 

items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) Engine displacement (in liters), 

rated power, and model year of the 

engine or whom to contact for further 

information. 

(4) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 1068.250 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’.

§ 1068.255 What are the provisions for 

exempting engines for hardship for 

equipment manufacturers and secondary 

engine manufacturers? 

This section describes how, in 

unusual circumstances, we may exempt 

certain engines to prevent a hardship to 

an equipment manufacturer or a 

secondary engine manufacturer. This 

section does not apply to products that 

are subject to vehicle-based emission 

standards. 

(a) Equipment exemption. As an 

equipment manufacturer, you may ask 

for approval to produce exempted 

equipment for up to 12 months. We will 

generally limit this to the first year that 

new or revised emission standards 

apply. Send the Designated Officer a 

written request for an exemption before 

you are in violation. In your request, 

you must show you are not at fault for 

the impending violation and that you 

would face serious economic hardship if 

we do not grant the exemption. This 

exemption is not available under this 

paragraph (a) if you manufacture the 

engine you need for your own 

equipment or if complying engines are 

available from other engine 

manufacturers that could be used in 

your equipment, unless we allow it 

elsewhere in this chapter. We may 

impose other conditions, including 

provisions to recover the lost 

environmental benefit. In determining 

whether to grant the exemptions, we 

will consider all relevant factors, 

including the following: 

(1) The number of engines to be 

exempted. 

(2) The size of your company and 

your ability to endure the hardship. 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68437

(3) The amount of time you had to 

redesign your equipment to 

accommodate a complying engine. 

(4) Whether there was any breach of 

contract by an engine supplier. 

(5) The potential for market 

disruption. 

(b) Engine exemption. As an engine 

manufacturer, you may produce 

nonconforming engines for the 

equipment we exempt in paragraph (a) 

of this section. You do not have to 

request this exemption for your engines, 

but you must have written assurance 

from equipment manufacturers that they 

need a certain number of exempted 

engines under this section. Add a 

permanent, legible label, written in 

block letters in English, to a readily 

visible part of each exempted engine. 

This label must include at least the 

following items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) Engine displacement (in liters), 

rated power, and model year of the 

engine or whom to contact for further 

information. 

(4) The statement ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 1068.255 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’.

(c) Secondary engine manufacturers.

As a secondary engine manufacturer, 

you may ask for approval to produce 

exempted engines under this section for 

up to one year. We may require you to 

certify your engines to compliance 

levels above the emission standards that 

apply. For example, if you need an 

exemption from a second tier of 

standards, we may require you to meet 

the standards that applied to earlier 

model years. 

(1) For the purpose of this section, a 

secondary engine manufacturer is a 

manufacturer that produces an engine 

by modifying an engine that is made by 

a different manufacturer for a different 

type of application. This includes, for 

example, automotive engines converted 

for use in industrial applications, or 

land-based engines converted for use in 

marine applications. This applies 

whether the secondary engine 

manufacturer is modifying a complete 

or partially complete engine and 

whether the engine was previously 

certified to emission standards or not. 

To be a secondary engine manufacturer, 

you must not be controlled by the 

manufacturer of the base engine (or by 

an entity that also controls the 

manufacturer of the base engine). In 

addition, equipment manufacturers that 

substantially modify engines become 

secondary engine manufacturers. For 

the purpose of this definition, 

‘‘substantially modify’’ means changing 

an engine in a way that could change its 

emission characteristics. 

(2) The provisions in paragraph (a) of 

this section that apply to equipment 

manufacturers requesting an exemption 

apply equally to you, except that you 

may manufacture the engines. Before we 

can approve the exemption under this 

section, you must commit to a plan to 

make up the lost environmental benefit. 

(i) If you produce uncertified engines 

under this exemption, we will calculate 

the lost environmental benefit based on 

our best estimate of uncontrolled 

emission rates for your engines. 

(ii) If you produce engines under this 

exemption that are certified to a 

compliance level less stringent than the 

emission standards that would 

otherwise apply, we will calculate the 

lost environmental benefit based on the 

compliance level you select for your 

engines. 

(3) The labeling requirements in 

paragraph (b) of this section apply to 

your exempted engines; however, if you 

certify engines to specific compliance 

levels, state on the label the compliance 

levels that apply to each engine.

Subpart D—Imports

§ 1068.301 Does this subpart apply to me? 

(a) This subpart applies to you if you 

import into the United States engines or 

equipment subject to our emission 

standards or equipment containing 

engines subject to our emission 

standards. 

(b) In general, engines that you import 

must be covered by a certificate of 

conformity unless they were built before 

emission standards started to apply. 

This subpart describes the limited cases 

where we allow importation of exempt 

or excluded engines. 

(c) The U.S. Customs Service may 

prevent you from importing an engine if 

you do not meet the requirements of this 

subpart. In addition, U.S. Customs 

Service regulations may contain other 

requirements for engines imported into 

the United States (see 19 CFR Chapter 

I).

§ 1068.305 How do I get an exemption or 

exclusion for imported engines? 

(a) Complete the appropriate EPA 

declaration form before importing any 

nonconforming engine. These forms are 

available on the Internet at http://

www.epa.gov/OMS/imports/ or by 

phone at 202–564–9660. 

(b) If we ask for it, prepare a written 

request in which you do the following: 

(1) Give your name, address, 

telephone number, and taxpayer 

identification number. 

(2) Give the engine owner’s name, 

address, telephone number, and 

taxpayer identification number.

(3) Identify the make, model, 

identification number, and original 

production year of each engine. 

(4) Identify which exemption or 

exclusion in this subpart allows you to 

import a nonconforming engine and 

describe how your engine qualifies. 

(5) Tell us where you will keep your 

engines if you might need to store them 

until we approve your request. 

(6) Authorize us to inspect or test 

your engines as the Act allows. 

(c) We may ask for more information. 

(d) You may import the 

nonconforming engines you identify in 

your request if you get prior written 

approval from us. The U.S. Customs 

Service may require you to show them 

the approval letter. We may temporarily 

or permanently approve the exemptions 

or exclusions, as described in this 

subpart. 

(e) Make sure the engine meets any 

labeling requirements that apply.

§ 1068.310 What are the exclusions for 

imported engines? 

Emission standards do not apply to 

excluded engines that you import. If you 

show us that your engines qualify under 

one of the paragraphs of this section, we 

will approve your request to import 

excluded engines. You must have our 

approval to import an engine under 

paragraph (a) of this section. You may, 

but are not required to request our 

approval for the other exclusions in this 

section. The following engines are 

excluded: 

(a) Engines used solely for 

competition. Engines you use solely for 

competition are excluded. The standardsetting part may set special provisions 

for the manufacture, sale, or import of 

engines used solely for competition. 

Section 1068.101(b)(4) prohibits using 

these excluded engines for other 

purposes. 

(b) Stationary engines. This includes 

engines that will be used in a 

permanently fixed location and engines 

meeting the criteria for the exclusion in 

paragraph (2)(iii) of the nonroad engine 

definition in § 1068.30. Section 

1068.101(b)(3) prohibits using these 

engines for other purposes. 

(c) Other engines. The standardsetting parts may exclude engines used 

in certain applications. For example, 

engines used in aircraft, underground 

mining, and hobby vehicles are 

generally excluded.

68438 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

§ 1068.315 What are the permanent 

exemptions for imported engines? 

We may approve a permanent 

exemption for an imported engine under 

the following conditions: 

(a) National security exemption. You 

may import engine under the national 

security exemption in § 1068.225. 

(b) Manufacturer-owned engine 

exemption. You may import a 

manufacturer-owned engine, as 

described in § 1068.215. 

(c) Replacement engine exemption.

You may import a nonconforming 

replacement engine as described in 

§ 1068.240. To use this exemption, you 

must be a certificate holder for an 

engine family we regulate under the 

same part as the replacement engine. 

(d) Extraordinary circumstances 

exemption. You may import a 

nonconforming engine if we grant 

hardship relief as described in 

§ 1068.245. 

(e) Hardship exemption. You may 

import a nonconforming engine if we 

grant an exemption for the transition to 

new or revised emission standards, as 

described in § 1068.255. 

(f) Identical configuration exemption.

You may import a nonconforming 

engine if it is identical to certified 

engines produced by the same 

manufacturer, subject to the following 

provisions: 

(1) You may import only the 

following engines under this exemption: 

(i) Large nonroad spark-ignition 

engines (see part 1048 of this chapter). 

(ii) Recreational nonroad sparkignition engines and equipment (see 

part 1051 of this chapter). 

(2) You must meet all the following 

criteria: 

(i) You have owned the engine for at 

least one year. 

(ii) You agree not to sell, lease, 

donate, trade, or otherwise transfer 

ownership of the engine for at least five 

years, or until the engine is eligible for 

the exemption in paragraph (g) of this 

section. During this period, the only 

acceptable way to dispose of the engine 

is to destroy or export it. 

(iii) You use data or evidence 

sufficient to show that the engine is in 

a configuration that is the same as an 

engine the original manufacturer has 

certified to meet emission standards that 

apply at the time the manufacturer 

finished assembling or modifying the 

engine in question. If you modify the 

engine to make it identical, you must 

follow the original manufacturer’s 

complete written instructions. 

(3) We will tell you in writing if we 

find the information insufficient to 

show that the engine is eligible for this 

exemption. In this case, we will not 

consider your request further until you 

address our concerns. 

(g) Ancient engine exemption. If you 

are not the original engine 

manufacturer, you may import a 

nonconforming engine that is subject to 

a standard-setting part and was first 

manufactured at least 21 years earlier, as 

long as it is still in its original 

configuration.

§ 1068.320 How must I label an imported 

engine with a permanent exemption? 

(a) For engines imported under 

§ 1068.315 (a), (b), (c), (d), or (e), you 

must place a permanent label or tag on 

each engine. If no specific label 

requirements from subpart C of this part 

apply, you must meet the following 

requirements: 

(1) Attach the label or tag in one piece 

so no one can remove it without 

destroying or defacing it. 

(2) Make sure it is durable and 

readable for the engine’s entire life. 

(3) Secure it to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(4) Write it in block letters in English. 

(5) Make it readily visible to the 

average person after the engine is 

installed in the equipment. 

(b) On the engine label or tag, do the 

following: 

(1) Include the heading ‘‘Emission 

Control Information.’’

(2) Include your full corporate name 

and trademark. 

(3) State the engine displacement (in 

liters) and rated power. If the engine’s 

rated power is not established, state the 

approximate power rating accurately 

enough to allow a detemination of 

which stanadards would otherwise 

apply. 

(4) State: ‘‘THIS ENGINE IS EXEMPT 

FROM THE REQUIREMENTS OF 

[identify the part referenced in 40 CFR 

1068.1(a) that would otherwise apply], 

AS PROVIDED IN [identify the 

paragraph authorizing the exemption 

(for example, ‘‘40 CFR 1068.315(a)’’)]. 

INSTALLING THIS ENGINE IN ANY 

DIFFERENT APPLICATION IS A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY.’’. 

(c) Get us to approve alternate label 

language if it is more accurate for your 

engine.

§ 1068.325 What are the temporary 

exemptions for imported engines? 

If we approve a temporary exemption 

for an engine, you may import it under 

the conditions in this section. We may 

ask the U.S. Customs Service to require 

a specific bond amount to make sure 

you comply with the requirements of 

this subpart. You may not sell or lease 

one of these engines while it is in the 

United States. You must eventually 

export the engine as we describe in this 

section unless you get a certificate of 

conformity for it or it qualifies for one 

of the permanent exemptions in 

§ 1068.315. Section 1068.330 specifies 

an additional temporary exemption 

allowing you to import certain engines 

you intend to sell or lease. 

(a) Exemption for repairs or 

alterations. You may temporarily import 

a nonconforming engine under bond 

solely to repair or alter it. You may 

operate the engine in the United States 

only to repair or alter it or to ship it to 

or from the service location. Export the 

engine directly after the engine 

servicing is complete. 

(b) Testing exemption. You may 

temporarily import a nonconforming 

engine under bond for testing if you 

follow the requirements of § 1068.210. 

You may operate the engine in the 

United States only to allow testing. This 

exemption expires one year after you 

import the engine, unless we approve a 

one-time request for an extension of up 

to one more year. The engine must be 

exported before the exemption expires. 

(c) Display exemption. You may 

temporarily import a nonconforming 

engine under bond for display, as 

described in § 1068.220. This exemption 

expires one year after you import the 

engine, unless we approve your request 

for an extension. We may approve an 

extension of up to one more year for 

each request, but no more than three 

years in total. The engine must be 

exported by the time the exemption 

expires or directly after the display 

concludes, whichever comes first. 

(d) Export exemption. You may 

temporarily import a nonconforming 

engine to export it, as described in 

§ 1068.230. You may operate the engine 

in the United States only as needed to 

prepare it for export. Label the engine as 

described in § 1068.230. 

(e) Diplomatic or military exemption.

You may temporarily import 

nonconforming engines without bond if 

you represent a foreign government in a 

diplomatic or military capacity. In your 

request to the Designated Officer (see 

§ 1068.305), include either written 

confirmation from the U.S. State 

Department that you qualify for this 

exemption or a copy of your orders for 

military duty in the United States. We 

will rely on the State Department or 

your military orders to determine when 

your diplomatic or military status 

expires, at which time you must export 

your exempt engines.

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68439

§ 1068.330 How do I import engines to 

modify for other applications? 

This section allows you to import 

engines in configurations different than 

their final configuration. This 

exemption is temporary, as described in 

paragraph (d) of this section. 

(a) This section applies in the 

following cases: 

(1) You import a partially complete 

engine with the intent to manufacture 

complete engines for which you have 

either a certificate of conformity or an 

exemption that allows you to sell 

completed engines. 

(2) You import an uncertified 

complete engine with the intent to 

modify it for installation in an 

application different than its otherwise 

intended application (for example, you 

import a land-based engine to modify it 

for a marine application). In this case, 

to qualify for an exemption under this 

section, you need either a certificate of 

conformity or an exemption that allows 

you to sell completed engines. 

(3) You import a complete or partially 

complete engine to modify for an 

application for which emission 

standards do not apply. 

(b) You may request this exemption in 

an application for certification. 

Otherwise, send your request to the 

Designated Officer. Your request must 

include: 

(1) The name of the supplier of the 

partially complete engine, or the 

original manufacturer of the complete 

engine. 

(2) A description of the certificate or 

exemption that will apply to the engines 

in the final configuration, or an 

explanation why a certificate or 

exemption is not needed. 

(3) A brief description of how and 

where final assembly will be completed. 

(4) An unconditional statement that 

the engines will comply with all 

applicable regulations in their final 

configuration. 

(c) If we approve a temporary 

exemption for an engine, you may 

import it under the conditions in this 

section. We may ask the U.S. Customs 

Service to require a specific bond 

amount to make sure you comply with 

the requirements of this subpart. 

(d) These provisions are intended 

only to allow you to import engines in 

the specific circumstances identified in 

this section, so any exemption under 

this section expires when you complete 

the assembly of the engine in its final 

configuration. If the engine in its final 

configuration is subject to emission 

standards, then it must be covered by a 

certificate or a different exemption 

before you introduce it into commerce.

§ 1068.335 What are the penalties for 

violations? 

(a) All imported engines. Unless you 

comply with the provisions of this 

subpart, importation of nonconforming 

engines is violation of sections 203 and 

213(d) of the Act. You may then have 

to export the engines, or pay civil 

penalties, or both. The U.S. Customs 

Service may seize unlawfully imported 

engines. 

(b) Temporarily imported engines. If 

you do not comply with the provisions 

of this subpart for a temporary 

exemption, you may forfeit the total 

amount of the bond in addition to the 

sanctions we identify in paragraph (a) of 

this section. We will consider an engine 

to be exported if it has been destroyed 

or delivered to the U.S. Customs Service 

for export or other disposition under 

applicable Customs laws and 

regulations. EPA or the U.S. Customs 

Service may offer you a grace period to 

allow you to export a temporarily 

exempted engine without penalty after 

the exemption expires.

Subpart E—Selective Enforcement 

Auditing

§ 1068.401 What is a selective 

enforcement audit? 

(a) We may conduct or require you to 

conduct emission tests on your 

production engines in a selective 

enforcement audit. This requirement is 

independent of any requirement for you 

to routinely test production-line 

engines. 

(b) If we send you a signed test order, 

you must follow its directions and the 

provisions of this subpart. We will tell 

you where to test the engines. This may 

be where you produce the engines or 

any other emission testing facility. 

(c) If we select one or more of your 

engine families for a selective 

enforcement audit, we will send the test 

order to the person who signed the 

application for certification or we will 

deliver it in person. 

(d) Within one working day of 

receiving the test order, notify the 

Designated Officer which test facility 

you have selected for emission testing. 

(e) You must do everything we require 

in the audit without delay.

§ 1068.405 What is in a test order? 

(a) In the test order, we will specify 

the following things: 

(1) The engine family and 

configuration (if any) we have identified 

for testing. 

(2) The engine assembly plant, storage 

facility, or (if you import the engines) 

port facility from which you must select 

engines. 

(3) The procedure for selecting 

engines for testing, including a selection 

rate. 

(4) The test procedures, duty cycles, 

and test points, as appropriate, for 

testing the engines to show that they 

meet emission standards. 

(b) We may state that we will select 

the test engines. 

(c) We may identify alternate engine 

families or configurations for testing in 

case we determine the intended engines 

are not available for testing or if you do 

not produce enough engines to meet the 

minimum rate for selecting test engines. 

(d) We may include other directions 

or information in the test order. 

(e) We may ask you to show us that 

you meet any additional requirements 

that apply to your engines (closed 

crankcases, for example). 

(f) In anticipation of a potential audit, 

you may give us a list of your preferred 

engine families and the corresponding 

assembly plants, storage facilities, or (if 

you import the engines) port facilities 

from which we should select engines for 

testing. The information would apply 

only for a single model year, so it would 

be best to include this information in 

your application for certification. If you 

give us this list before we issue a test 

order, we will consider your 

recommendations, but we may select 

engines differently. 

(g) If you also do routine productionline testing with the selected engine 

family in the same time period, the test 

order will tell you what changes you 

might need to make in your productionline testing schedule.

§ 1068.410 How must I select and prepare 

my engines? 

(a) Selecting engines. Select engines 

as described in the test order. If you are 

unable to select test engines this way, 

you may ask us to approve an alternate 

plan, as long as you make the request 

before you start selecting engines.

(b) Assembling engines. Produce and 

assemble test engines using your normal 

production and assembly process for 

that engine family. 

(1) Notify us directly if you make any 

change in your production, assembly, or 

quality control processes that might 

affect emissions between the time you 

receive the test order and the time you 

finish selecting test engines. 

(2) If you do not fully assemble 

engines at the specified location, we 

will describe in the test order how to 

select components to finish assembling 

the engines. Assemble these 

components onto the test engines using 

your documented assembly and quality 

control procedures. 

(c) Modifying engines. Once an engine 

is selected for testing, you may adjust, 

68440 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

repair, prepare, or modify it or check its 

emissions only if one of the following is 

true: 

(1) You document the need for doing 

so in your procedures for assembling 

and inspecting all your production 

engines and make the action routine for 

all the engines in the engine family. 

(2) This subpart otherwise allows 

your action. 

(3) We approve your action in 

advance. 

(d) Engine malfunction. If an engine 

malfunction prevents further emission 

testing, ask us to approve your decision 

to either repair the engine or delete it 

from the test sequence. 

(e) Setting adjustable parameters.

Before any test, we may adjust or 

require you to adjust any adjustable 

parameter to any setting within its 

physically adjustable range. 

(1) We may adjust idle speed outside 

the physically adjustable range as 

needed until the engine has stabilized 

emission levels (see paragraph (e) of this 

section). We may ask you for 

information needed to establish an 

alternate minimum idle speed. 

(2) We may make or specify 

adjustments within the physically 

adjustable range by considering their 

effect on emission levels, as well as how 

likely it is someone will make such an 

adjustment with in-use engines. 

(f) Stabilizing emission levels. Before 

you test production-line engines, you 

may operate the engine to stabilize the 

emission levels. Using good engineering 

judgment, operate your engines in a way 

that represents the way production 

engines will be used. You may operate 

each engine for no more than the greater 

of two periods: 

(1) 50 hours. 

(2) The number of hours you operated 

your emission-data engine for certifying 

the engine family (see 40 CFR part 1065, 

subpart E). 

(g) Damage during shipment. If 

shipping an engine to a remote facility 

for production-line testing makes 

necessary an adjustment or repair, you 

must wait until after the initial emission 

test to do this work. We may waive this 

requirement if the test would be 

impossible or unsafe, or if it would 

permanently damage the engine. Report 

to us, in your written report under 

§ 1068.450, all adjustments or repairs 

you make on test engines before each 

test. 

(h) Shipping engines. If you need to 

ship engines to another facility for 

testing, make sure the test engines arrive 

at the test facility within 24 hours after 

being selected. You may ask that we 

allow more time if you are unable to do 

this. 

(i) Retesting after invalid tests. You 

may retest an engine if you determine 

an emission test is invalid. Explain in 

your written report reasons for 

invalidating any test and the emission 

results from all tests. If you retest an 

engine and, within ten days after 

testing, ask to substitute results of the 

new tests for the original ones, we will 

answer within ten days after we receive 

your information.

§ 1068.415 How do I test my engines? 

(a) Use the test procedures specified 

in the standard-setting part for showing 

that your engines meet emission 

standards. The test order will give 

further testing instructions. 

(b) If no test cells are available at a 

given facility, you may make alternate 

testing arrangements with our approval. 

(c) Test at least two engines in each 

24-hour period (including void tests). 

However, if your projected U.S. nonroad 

engine sales within the engine family 

are less than 7,500 for the year, you may 

test a minimum of one engine per 24-

hour period. If you request and justify 

it, we may approve a lower testing rate. 

(d) Accumulate service on test 

engines at a minimum rate of 6 hours 

per engine during each 24-hour period. 

The first 24-hour period for service 

accumulation begins when you finish 

preparing an engine for testing. The 

minimum service accumulation rate 

does not apply on weekends or 

holidays. You may ask us to approve a 

lower service accumulation rate. Plan 

your service accumulation to allow 

testing at the rate specified in 

§ 1068.415. Select engine operation for 

accumulating operating hours on your 

test engines to represent normal in-use 

engine operation for the engine family. 

(e) Test engines is the same order you 

select them.

§ 1068.420 How do I know when my engine 

family fails an SEA? 

(a) A failed engine is one whose final 

deteriorated test results exceed an 

applicable emission standard for any 

regulated pollutant. 

(b) Continue testing engines until you 

reach a pass decision for all pollutants 

or a fail decision for one pollutant. 

(c) You reach a pass decision for the 

SEA requirements when the number of 

failed engines is less than or equal to the 

pass decision number in Appendix A to 

this subpart for the total number of 

engines tested. You reach a fail decision 

for the SEA requirements when the 

number of failed engines is greater than 

or equal to the fail decision number in 

Appendix A to this subpart for the total 

number of engines you test. An 

acceptable quality level of 40 percent is 

the basis for the pass or fail decision. 

(d) Consider test results in the same 

order as the engine testing sequence. 

(e) If you reach a pass decision for one 

pollutant, but need to continue testing 

for another pollutant, we will disregard 

these later test results for the pollutant 

with the pass decision. 

(f) Appendix A to this subpart lists 

multiple sampling plans. Use the 

sampling plan for the projected sales 

volume you reported in your 

application for the audited engine 

family. 

(g) We may choose to stop testing after 

any number of tests. 

(h) If we test some of your engines in 

addition to your own testing, we may 

decide not to include your test results 

as official data for those engines if there 

is substantial disagreement between 

your testing and our testing. We will 

reinstate your data as valid if you show 

us that we made an error and your data 

are correct. 

(i) If we rely on our test data instead 

of yours, we will notify you in writing 

of our decision and the reasons we 

believe your facility is not appropriate 

for doing the tests we require under this 

subpart. You may request in writing that 

we consider your test results from the 

same facility for future testing if you 

show us that you have made changes to 

resolve the problem.

§ 1068.425 What happens if one of my 

production-line engines exceeds the 

emission standards? 

(a) If one of your production-line 

engines fails to meet one or more 

emission standards (see § 1068.420), the 

certificate of conformity is automatically 

suspended for that engine. You must 

take the following actions before your 

certificate of conformity can cover that 

engine: 

(1) Correct the problem and retest the 

engine to show it complies with all 

emission standards. 

(2) Include in your written report a 

description of the test results and the 

remedy for each engine (see § 1068.450). 

(b) You may at any time ask for a 

hearing to determine whether the tests 

and sampling methods were proper (see 

subpart G of this part).

§ 1068.430 What happens if an engine 

family fails an SEA? 

(a) We may suspend your certificate of 

conformity for an engine family if it fails 

the SEA under § 1068.420. The 

suspension may apply to all facilities 

producing engines from an engine 

family, even if you find noncompliant 

engines only at one facility. 

(b) We will tell you in writing if we 

suspend your certificate in whole or in 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68441

part. We will not suspend a certificate 

until at least 15 days after the engine 

family fails the SEA. The suspension is 

effective when you receive our notice. 

(c) Up to 15 days after we suspend the 

certificate for an engine family, you may 

ask for a hearing to determine whether 

the tests and sampling methods were 

proper (see subpart G of this part). If we 

agree before a hearing that we used 

erroneous information in deciding to 

suspend the certificate, we will reinstate 

the certificate.

§ 1068.435 May I sell engines from an 

engine family with a suspended certificate 

of conformity? 

You may sell engines that you 

produce after we suspend the engine 

family’s certificate of conformity only if 

one of the following occurs: 

(a) You test each engine you produce 

and show it complies with emission 

standards that apply. 

(b) We conditionally reinstate the 

certificate for the engine family. We may 

do so if you agree to recall all the 

affected engines and remedy any 

noncompliance at no expense to the 

owner if later testing shows that engines 

in the engine family still do not comply.

§ 1068.440 How do I ask EPA to reinstate 

my suspended certificate? 

(a) Send us a written report asking us 

to reinstate your suspended certificate. 

In your report, identify the reason for 

the SEA failure, propose a remedy, and 

commit to a date for carrying it out. In 

your proposed remedy include any 

quality control measures you propose to 

keep the problem from happening again. 

(b) Give us data from production-line 

testing showing that engines in the 

remedied engine family comply with all 

the emission standards that apply.

§ 1068.445 When may EPA revoke my 

certificate under this subpart and how may 

I sell these engines again? 

(a) We may revoke your certificate for 

an engine family in the following cases: 

(1) You do not meet the reporting 

requirements. 

(2) Your engine family fails an SEA 

and your proposed remedy to address a 

suspended certificate is inadequate to 

solve the problem or requires you to 

change the engine’s design or emissioncontrol system. 

(b) To sell engines from an engine 

family with a revoked certificate of 

conformity, you must modify the engine 

family and then show it complies with 

the applicable requirements. 

(1) If we determine your proposed 

design change may not control 

emissions for the engine’s full useful 

life, we will tell you within five working 

days after receiving your report. In this 

case we will decide whether 

production-line testing will be enough 

for us to evaluate the change or whether 

you need to do more testing. 

(2) Unless we require more testing, 

you may show compliance by testing 

production-line engines as described in 

this subpart. 

(3) We will issue a new or updated 

certificate of conformity when you have 

met these requirements.

§ 1068.450 What records must I send to 

EPA? 

(a) Within 30 calendar days of the end 

of each audit, send us a report with the 

following information: 

(1) Describe any facility used to test 

production-line engines and state its 

location. 

(2) State the total U.S.-directed 

production volume and number of tests 

for each engine family. 

(3) Describe your test engines, 

including the engine family’s 

identification and the engine’s model 

year, build date, model number, 

identification number, and number of 

hours of operation before testing for 

each test engine. 

(4) Identify where you accumulated 

hours of operation on the engines and 

describe the procedure and schedule 

you used. 

(5) Provide the test number; the date, 

time and duration of testing; test 

procedure; initial test results before and 

after rounding; final test results; and 

final deteriorated test results for all 

tests. Provide the emission figures for all 

measured pollutants. Include 

information for both valid and invalid 

tests and the reason for any 

invalidation. 

(6) Describe completely and justify 

any nonroutine adjustment, 

modification, repair, preparation, 

maintenance, or test for the test engine 

if you did not report it separately under 

this subpart. Include the results of any 

emission measurements, regardless of 

the procedure or type of equipment. 

(7) Report on each failed engine as 

described in § 1068.425. (b) We may ask 

you to add information to your written 

report, so we can determine whether 

your new engines conform with the 

requirements of this subpart. 

(c) An authorized representative of 

your company must sign the following 

statement:

We submit this report under Sections 208 

and 213 of the Clean Air Act. Ourtesting 

conformed completely with the requirements 

of 40 CFR part 1068. We have not changed 

production processes or quality-control 

procedures for the engine family in a way 

that might affect the emission control from 

production engines. All the information in 

this report is true and accurate, to the best 

of my knowledge. I know of the penalties for 

violating the Clean Air Act and the 

regulations. (Authorized Company 

Representative)

(d) Send reports of your testing to the 

Designated Officer using an approved 

information format. If you want to use 

a different format, send us a written 

request with justification for a waiver. 

(e) We will send copies of your 

reports to anyone from the public who 

asks for them. We will release 

information about your sales or 

production volumes, which is all we 

will consider confidential.

§ 1068.455 What records must I keep? 

(a) We may review your records at any 

time, so it is important to keep required 

information readily available. Organize 

and maintain your records as described 

in this section. 

(b) Keep paper records for testing 

under this subpart for one full year after 

you complete all the testing required for 

the selective enforcement audit. For 

additional storage, you may use any 

format or media. 

(c) Keep a copy of the written reports 

described in § 1068.450. 

(d) Keep the following additional 

records: 

(1) The names of supervisors involved 

in each test. 

(2) The name of anyone who 

authorizes adjusting, repairing, 

preparing, or modifying a test engine 

and the names of all supervisors who 

oversee this work. 

(3) If you shipped the engine for 

testing, the date you shipped it, the 

associated storage or port facility, and 

the date the engine arrived at the testing 

facility. 

(4) Any records related to your audit 

that are not in the written report. 

(5) A brief description of any 

significant events during testing not 

otherwise described in the written 

report or in this section. 

(e) If we ask, you must give us 

projected or actual production for an 

engine family. Include each assembly 

plant if you produce engines at more 

than one plant. 

(f) We may ask you to keep or send 

other information necessary to 

implement this subpart. 

Appendix A to Subpart E of Part 1068—

Plans for Selective Enforcement 

Auditing 

The following tables describe 

sampling plans for selective 

enforcement audits, as described in 

§ 1068.420:

68442 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

TABLE A–1.—SAMPLING PLAN CODE LETTER

Projected engine family sales Code letter 1

Minimum number of tests Maximum 

number of 

To pass To fail tests 

20 – 50 ............................................................................................................................. AA 3 5 20 

20 – 99 ............................................................................................................................. A 4 6 30 

100 – 299 ......................................................................................................................... B 5 6 40 

300 – 499 ......................................................................................................................... C 5 6 50 

500 + ................................................................................................................................ D 5 6 60 

1A manufacturer may optionally use either the sampling plan for code letter ‘‘AA’’ or sampling plan for code letter ‘‘A’’ for Selective enforcement Audits of engine families with annual sales between 20 and 50 engines. Additionally, the manufacturer may switch between these plans 

during the audit. 

TABLE A–2.—SAMPLING PLANS FOR DIFFERENT ENGINE FAMILY SALES VOLUMES

Stage a

AA A B C D 

Pass # Fail # Pass # Fail # Pass # Fail # Pass # Fail # Pass # Fail # 

1.

2.

3 ........................ 0 

4 ........................ .................... 0 

5 ........................ 1 5 0 0 0 0 

6 ........................ 1 6 1 6 1 6 0 6 0 6 

7 ........................ 2 6 1 7 1 7 1 7 1 7 

8 ........................ 2 7 2 7 2 7 2 7 2 8 

9 ........................ 3 7 2 8 2 8 2 8 2 8 

10 ...................... 3 8 3 8 3 8 3 9 3 9 

11 ...................... 4 8 3 8 3 9 3 9 3 9 

12 ...................... 4 9 4 9 4 9 4 10 4 10 

13 ...................... 5 9 5 10 4 10 4 10 4 10 

14 ...................... 5 10 5 10 5 10 5 11 5 11 

15 ...................... 6 10 6 11 5 11 5 11 5 11 

16 ...................... 6 10 6 11 6 12 6 12 6 12 

17 ...................... 7 10 7 12 6 12 6 12 6 12 

18 ...................... 8 10 7 12 7 13 7 13 7 13 

19 ...................... 8 10 8 13 8 13 7 13 7 13 

20 ...................... 9 10 8 13 8 14 8 14 8 14 

21 ...................... 9 14 9 14 8 14 8 14 

22 ...................... 10 14 9 15 9 15 9 15 

23 ...................... 10 15 10 15 10 15 9 15 

24 ...................... 11 15 10 16 10 16 10 16 

25 ...................... 11 16 11 16 11 16 11 16 

26 ...................... 12 16 11 17 11 17 11 17 

27 ...................... 12 17 12 17 12 17 12 17 

28 ...................... 13 17 12 18 12 18 12 18 

29 ...................... 14 17 13 18 13 18 13 19 

30 ...................... 16 17 13 19 13 19 13 19 

31 ...................... 14 19 14 19 14 20 

32 ...................... 14 20 14 20 14 20 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68443

TABLE A–2.—SAMPLING PLANS FOR DIFFERENT ENGINE FAMILY SALES VOLUMES—Continued

Stage a

AA A B C D 

Pass # Fail # Pass # Fail # Pass # Fail # Pass # Fail # Pass # Fail # 

33 ...................... 15 20 15 20 15 21 

34 ...................... 16 21 15 21 15 21 

35 ...................... 16 21 16 21 16 22 

36 ...................... 17 22 16 22 16 22 

37 ...................... 17 22 17 22 17 23 

38 ...................... 18 22 18 23 17 23 

39 ...................... 18 22 18 23 18 24 

40 ...................... 21 22 19 24 18 24 

41 ...................... 19 24 19 25 

42 ...................... 20 25 19 26 

43 ...................... 20 25 20 26 

44 ...................... 21 26 21 27 

45 ...................... 21 27 21 27 

46 ...................... 22 27 22 28 

47 ...................... 22 27 22 28 

48 ...................... 23 27 23 29 

49 ...................... 23 27 23 29 

50 ...................... 26 27 24 30 

51 ...................... 24 30 

52 ...................... 25 31 

53 ...................... 25 31 

54 ...................... 26 32 

55 ...................... 26 32 

56 ...................... 27 33 

57 ...................... 27 33 

58 ...................... 28 33 

59 ...................... 28 33 

60 32 33 

aStage refers to the cumulative number of engines tested. 

Subpart F—Reporting Defects and 

Recalling Engines

§ 1068.501 How do I report engine 

defects? 

(a) General provisions. As an engine 

manufacturer, you must investigate in 

certain circumstances whether 

emission-related components are 

defective and send us reports as 

specified by this section. 

(1) The term emission-related 

component includes those components 

listed in Appendix I of this part. For the 

purposes of this section, complete 

engines shall also be considered an 

emissions-related component. It also 

includes factory settings of emissionrelated parameters and specifications 

listed in Appendix II of this part. 

(2) For the purposes of this section, 

defects do not include damage to 

emission-related components (or 

maladjustment of parameters) caused by 

owners improperly maintaining or 

abusing their engine. 

(3) You must track the information 

specified in paragraph (b)(1) of this 

section. You are not required to collect 

additional information other than that 

specified in paragraph (b)(1) of this 

section before reaching the threshold for 

an investigation specified in paragraph 

(e) of this section. 

(4) You may ask us to allow you to 

use alternate methods for tracking, 

investigating, reporting, and correcting 

emission-related defects. In your 

request, explain and demonstrate why 

you believe your alternate system will 

be at least as effective in tracking, 

identifying, investigating, evaluating, 

reporting, and correcting potential and 

actual emissions-related defects as the 

requirements in this section. 

(5) If we determine that emissionrelated defects result in a substantial 

number of properly maintained and 

used engines not conforming to the 

regulations of this chapter during their

68444 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

useful life, we may order you to conduct 

a recall of your engines (see § 1068.505). 

(6) Send the defect reports and status 

reports required by this section to the 

Designated Officer. 

(b) Investigation of possible defects. If 

the number of engines that possibly 

have a defect, as defined by paragraph 

(b)(1) of this section, exceed the 

thresholds specified in paragraph (e) of 

this section, you must conduct an 

investigation to determine if an 

emission-related component is actually 

defective. 

(1) You must track warranty claims, 

parts shipments, and the other 

information specified in paragraph 

(b)(1)(iii) of this section. You must 

classify an engine as possibly having a 

defective component if any of the 

following is true: 

(i) A warranty claim is submitted for 

the component, whether this is under 

your emission-related warranty or any 

other warranty. 

(ii) You ship a replacement 

component other than for normally 

scheduled maintenance during the 

useful life of the engine. 

(iii) You receive any other 

information indicating the component 

may be defective, such as information 

from dealers or hot line complaints. 

(2) Your investigation must be 

prompt, thorough, consider all relevant 

information, follow scientific and 

engineering principles, and be designed 

to obtain all the information specified in 

paragraph (d) of this section. 

(3) Your investigation only needs to 

consider defects that occur within the 

useful life period, or within five years 

after the end of the model year, 

whichever is longer. 

(4) You must continue your 

investigation until you are able to obtain 

all the information specified for a defect 

report in paragraph (d) of this section. 

Send us an updated defect report 

anytime you have significant additional 

information. 

(5) If a component believed to be 

defective is used in additional engine 

families or model years, you must 

investigate whether the component or 

part is defective when used in these 

additional engine families or model 

years, and include these results as part 

of your defect report. 

(6) If your initial investigation 

concludes that the number of engines 

with a defect is fewer than the 

thresholds specified in paragraph (f) of 

this section, but other information 

becomes available that may show that 

the number of engines with a defect 

exceeds these thresholds, then you must 

resume your investigation. If you 

resume an investigation, you must 

include the information from the earlier 

investigation to determine whether to 

send a defect report. 

(c) Reporting defects. You must send 

us a defect report in either of the 

following cases: 

(1) Your investigation shows that the 

number of engines with a defect exceeds 

the thresholds specified in paragraph (f) 

of this section. Send the defect report 

within 15 days after the date you 

identify this number of defective 

engines. 

(2) You know a defective emissionrelated component exists in a number of 

engines that exceeds the thresholds 

specified in paragraph (f) of this section, 

regardless of how you obtain this 

information. Send the defect report 

within 15 days after you learn that the 

number of defects exceeds one of these 

thresholds. 

(d) Contents of a defect report.

Include the following information in a 

defect report: 

(1) Your corporate name and a person 

to contact regarding this defect. 

(2) A description of the defect, 

including a summary of any engineering 

analyses and associated data, if 

available. 

(3) A description of the engines that 

may have the defect, including engine 

families, models, and range of 

production dates. Note that you must 

address all model years for the engines, 

not just the model year for which you 

triggered the reporting requirement. 

(4) An estimate of the number and 

percentage of each class or category of 

affected engines that have or may have 

the defect, and an explanation of how 

you determined this number. 

(5) An estimate of the defect’s impact 

on emissions, with an explanation of 

how you calculated this estimate and a 

summary of any emission data 

demonstrating the impact of the defect, 

if available. 

(6) A description of your plan for 

addressing the defect or an explanation 

of your reasons for not believing the 

defects must be remedied. 

(e) Thresholds for conducting a defect 

investigation. Unless the standardsetting part specifies otherwise, you 

must begin a defect investigation based 

on the following threshold values: 

(1) For engine with rated power under 

560 kW: 

(i) When the component is a catalytic 

converter (or other aftertreatment 

device), if the number of engines in an 

engine family that may have the defect 

exceeds 2 percent of the total number of 

engines in the engine family or 2,000 

engines, whichever is less. 

(ii) When the emission-related 

component is anything but a catalytic 

converter (or other aftertreatment 

device), if the number of engines in an 

engine family that may have the defect 

exceeds 4 percent of the total number of 

engines in the engine family or 4,000 

engines, whichever is less. 

(2) For engine with rated power 

greater than or equal to 560 kW, if the 

number of engines in an engine family 

that may have the defect exceeds 1 

percent of the total number of engines 

in the engine family or 5 engines, 

whichever is greater. 

(f) Thresholds for filing a defect 

report. You must send a defect report 

based on the following threshold values: 

(1) For engine with rated power under 

560 kW: 

(i) When the component is a catalytic 

converter (or other aftertreatment 

device), if the number of engines in an 

engine family that has the defect 

exceeds 0.125 percent of the total 

number of engines in the engine family 

or 125 engines, whichever is less. 

(ii) When the emission-related 

component is anything but a catalytic 

converter (or other aftertreatment 

device), if the number of engines in an 

engine family that has the defect 

exceeds 0.250 percent of the total 

number of engines in the engine family 

or 250 engines, whichever is less. 

(2) For engine with rated power 

greater than or equal to 560 kW, if the 

number of engines in an engine family 

that has the defect exceeds 0.5 percent 

of the total number of engines in the 

engine family or 2 engines, whichever is 

greater. 

(g) How to count defects. In most 

cases, you may track defects separately 

for each model year and engine family. 

For families with annual U.S.-directed 

production volumes under 5,000 

engines, you may apply the percentage 

thresholds in paragraphs (e) and (f) of 

this section on the basis of multiple 

model years, for engines using the same 

emission-related components. To 

determine whether you exceed the 

investigation threshold in paragraph (e) 

of this section, count defects that you 

correct before they reach the ultimate 

purchaser. Do not count these corrected 

defects to determine whether you 

exceed the reporting threshold in 

paragraph (f) of this section. 

(h) Status reports. You must send us 

a mid-year or end-of-year status report 

if you concluded an investigation 

during the previous six months without 

filing a defect report or if you have an 

unresolved investigation at the end of 

the six-month period. Include the 

information specified in paragraph (c) of 

this section, or explain why the 

information is not relevant. Send these 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68445

status reports no later than June 30 and 

December 31 of each year. 

(i) Future production. If you identify 

a design or manufacturing defect that 

prevents engines from meeting the 

requirements of this part, you must 

correct the defect as soon as possible for 

any future production for engines in 

every family affected by the defect. This 

applies without regard to whether you 

are required to conduct a defect 

investigation or submit a defect report 

under this section.

§ 1068.505 How does the recall program 

work? 

(a) If we make a determination that a 

substantial number of properly 

maintained and used engines do not 

conform to the regulations of this 

chapter during their useful life, you 

must submit a plan to remedy the 

nonconformity of your engines. We will 

notify you of our determination in 

writing. Our notice will identify the 

class or category of engines affected and 

describe how we reached our 

conclusion. If this happens, you must 

meet the requirements and follow the 

instructions in this subpart. You must 

remedy at your expense noncompliant 

engines that have been properly 

maintained and used. You may not 

transfer this expense to a dealer or 

equipment manufacturer through a 

franchise or other agreement. 

(b) You may ask for a hearing if you 

disagree with our determination (see 

subpart G of this part). 

(c) Unless we withdraw the 

determination of noncompliance, you 

must respond to it by sending a 

remedial plan to the Designated Officer 

by the later of these two deadlines: 

(1) Within 60 days after we notify 

you. 

(2) Within 60 days after a hearing. 

(d) Once you have sold an engine to 

the ultimate purchaser, we may inspect 

or test the engine only if he or she 

permits it, or if state or local inspection 

programs separately provide for it. 

(e) You may ask us to allow you to 

conduct your recall differently than 

specified in this subpart, consistent 

with section 207(c) of the Act.

§ 1068.510 How do I prepare and apply my 

remedial plan? 

(a) In your remedial plan, describe all 

of the following: 

(1) The class or category of engines to 

be recalled, including the number of 

engines involved and the model year or 

other information needed to identify the 

engines. 

(2) The modifications, alterations, 

repairs, corrections, adjustments, or 

other changes you will make to correct 

the affected engines. 

(3) A brief description of the studies, 

tests, and data that support the 

effectiveness of the remedy you propose 

to use. 

(4) The instructions you will send to 

those who will repair the engines under 

the remedial plan. 

(5) How you will determine the 

owners’ names and addresses. 

(6) How you will notify owners; 

include copies of any notification 

letters. 

(7) The proper maintenance or use 

you will specify, if any, as a condition 

to be eligible for repair under the 

remedial plan. Describe how owners 

should show they meet your conditions. 

(8) The steps owners must take for 

you to do the repair. You may set a date 

or a range of dates, specify the amount 

of time you need, and designate certain 

facilities to do the repairs. 

(9) Which company (or group) you 

will assign to do or manage the repairs. 

(10) If your employees or authorized 

warranty agents will not be doing the 

work, state who will and say they can 

do it. 

(11) How you will ensure an adequate 

and timely supply of parts. 

(12) The effect of proposed changes 

on fuel consumption, driveability, and 

safety of the engines you will recall; 

include a brief summary of the 

information supporting these 

conclusions. 

(13) How you intend to label the 

engines you repair and where you will 

place the label on the engine (see 

§ 1068.515). 

(b) We may require you to add 

information to your remedial plan. 

(c) We may require you to test the 

proposed repair to show it will remedy 

the noncompliance. 

(d) Use all reasonable means to locate 

owners. We may require you to use 

government or commercial registration 

lists to get owners’ names and 

addresses, so your notice will be 

effective. 

(e) The maintenance or use that you 

specify as a condition for eligibility 

under the remedial plan may include 

only things you can show would cause 

noncompliance. Do not require use of a 

component or service identified by 

brand, trade, or corporate name, unless 

we approved this approach with your 

original certificate of conformity. Also, 

do not place conditions on who 

maintained the engine. 

(f) We may require you to adjust your 

repair plan if we determine owners 

would be without their engines or 

equipment for an unreasonably long 

time. 

(g) We will tell you in writing within 

15 days of receiving your remedial plan 

whether we have approved or 

disapproved it. We will explain our 

reasons for any disapproval. 

(h) Begin notifying owners within 15 

days after we approve your remedial 

plan. If we hold a hearing, but do not 

change our position about the 

noncompliance, you must begin 

notifying owners within 60 days after 

we complete the hearing, unless we 

specify otherwise.

§ 1068.515 How do I mark or label repaired 

engines? 

(a) Attach a label to each engine you 

repair under the remedial plan. At your 

discretion, you may label or mark 

engines you inspect but do not repair. 

(b) Make the label from a durable 

material suitable for its planned 

location. Make sure no one can remove 

the label without destroying or defacing 

it. 

(c) On the label, designate the specific 

recall campaign and state where you 

repaired or inspected the engine. 

(d) We may waive or modify the 

labeling requirements if we determine 

they are overly burdensome.

§ 1068.520 How do I notify affected 

owners? 

(a) Notify owners by first class mail, 

unless we say otherwise. We may 

require you to use certified mail. 

Include the following in your notice: 

(1) State: ‘‘The U.S. Environmental 

Protection Agency has determined that 

your engine may be emitting pollutants 

in excess of the Federal emission 

standards, as defined in Title 40 of the 

Code of Federal Regulations. These 

emission standards were established to 

protect the public health or welfare from 

air pollution’’. 

(2) State that you (or someone you 

designate) will repair these engines at 

your expense. 

(3) If we approved maintenance and 

use conditions in your remedial plan, 

state that you will make these repairs 

only if owners show their engines meet 

the conditions for proper maintenance 

and use. Describe these conditions and 

how owners should prove their engines 

are eligible for repair. 

(4) Describe the components your 

repair will affect and say generally how 

you will repair the engines. 

(5) State that the engine, if not 

repaired, may fail an emission 

inspection test if state or local law 

requires one. 

(6) Describe any adverse effects on its 

performance or driveability that would 

be caused by not repairing the engine. 

(7) Describe any adverse effects on the 

functions of other engine components 

that would be caused by not repairing 

the engine. 

68446 Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 

(8) Specify the date you will start the 

repairs, the amount of time you will 

need to do them, and where you will do 

them. Include any other information 

owners may need to know. 

(9) Include a self-addressed card that 

owners can mail back if they have sold 

the engine (or equipment in which the 

engine is installed); include a space for 

owners to write the name and address 

of a buyer. 

(10) State that owners should call you 

at a phone number you give to report 

any difficulty in obtaining repairs. 

(11) State: ‘‘To ensure your full 

protection under the emission warranty 

on your engine by federal law, and your 

right to participate in future recalls, we 

recommend you have your engine 

serviced as soon as possible. We may 

consider your not servicing it to be 

improper maintenance’’. 

(b) We may require you to add 

information to your notice or to send 

more notices.

(c) You may not in any 

communication with owners or dealers 

say or imply that your noncompliance 

does not exist or that it will not degrade 

air quality.

§ 1068.525 What records must I send to 

EPA? 

(a) Send us a copy of all 

communications related to the remedial 

plan you sent to dealers and others 

doing the repairs. Mail or e-mail us the 

information at the same time you send 

it to others. 

(b) From the time you begin to notify 

owners, send us a report within 25 days 

of the end of each calendar quarter. 

Send reports for six consecutive 

quarters or until all the engines are 

inspected, whichever comes first. In 

these reports, identify the following: 

(1) The range of dates you needed to 

notify owners. 

(2) The total number of notices sent. 

(3) The number of engines you 

estimate fall under the remedial plan 

(explain how you determined this 

number). 

(4) The cumulative number of engines 

you inspected under the remedial plan. 

(5) The cumulative number of these 

engines you found needed the specified 

repair. 

(6) The cumulative number of these 

engines you have repaired. 

(7) The cumulative number of engines 

you determined to be unavailable due to 

exportation, theft, retirement, or other 

reasons (specify). 

(8) The cumulative number of engines 

you disqualified for not being properly 

maintained or used. 

(c) If your estimated number of 

engines falling under the remedial plan 

changes, change the estimate in your 

next report and add an explanation for 

the change. 

(d) We may ask for more information. 

(e) We may waive reporting 

requirements or adjust the reporting 

schedule. 

(f) If anyone asks to see the 

information in your reports, we will 

follow the provisions of § 1068.10 for 

handling confidential information.

§ 1068.530 What records must I keep? 

We may review your records at any 

time, so it is important that you keep 

required information readily available. 

Keep records associated with your recall 

campaign for three years after you 

complete your remedial plan. Organize 

and maintain your records as described 

in this section. 

(a) Keep a paper copy of the written 

reports described in § 1068.525. 

(b) Keep a record of the names and 

addresses of owners you notified. For 

each engine, state whether you did any 

of the following: 

(1) Inspected the engine. 

(2) Disqualified the engine for not 

being properly maintained or used. 

(3) Completed the prescribed repairs. 

(c) You may keep the records in 

paragraph (b) of this section in any form 

we can inspect, including computer 

databases.

§ 1068.535 How can I do a voluntary recall 

for emission-related problems? 

If we have made a determination that 

a substantial number of properly 

maintained and used engines do not 

conform to the regulations of this 

chapter during their useful life, you may 

not use a voluntary recall or other 

alternate means to meet your obligation 

to remedy the noncompliance. Thus, 

this section only applies where you 

learn that your engine family does not 

meet the requirements of this chapter 

and we have not made such a 

determination. 

(a) To do a voluntary recall under this 

section, first send the Designated Officer 

a plan, following the guidelines in 

§ 1068.510. Within 15 days, we will 

send you our comments on your plan. 

(b) Once we approve your plan, start 

notifying owners and carrying out the 

specified repairs. 

(c) From the time you start the recall 

campaign, send us a report within 25 

days of the end of each calendar quarter, 

following the guidelines in 

§ 1068.525(b). Send reports for six 

consecutive quarters or until all the 

engines are inspected, whichever comes 

first. 

(d) Keep your reports and the 

supporting information as described in 

§ 1068.530.

§ 1068.540 What terms do I need to know 

for this subpart? 

The following terms apply to this 

subpart: 

Days means calendar days. 

Owner means someone who owns an 

engine affected by a remedial plan or 

someone who owns a piece of 

equipment that has one of these engines.

Subpart G—Hearings

§ 1068.601 What are the procedures for 

hearings? 

If we agree to hold a hearing related 

to our decision to order a recall under 

§ 1068.505, we will hold the hearing 

according to the provisions of 40 CFR 

85.1807. For any other issues, you may 

request an informal hearing, as 

described in 40 CFR 86.1853–01.

Appendix I to Part 1068—EmissionRelated Components 

This appendix specifies emission-related 

components that we refer to for describing 

such things as emission-related defects or 

requirements related to rebuilding engines.

I. Emission-related components include any 

engine parts related to the following 

systems: 

1. Air-induction system. 

2. Fuel system. 

3. Ignition system. 

4. Exhaust gas recirculation systems. 

II. The following parts are also considered 

emission-related components: 

1. Aftertreatment devices. 

2. Crankcase ventilation valves. 

3. Sensors. 

4. Electronic control units. 

III. Emission-related components also 

include any other part whose only 

purpose is to reduce emissions or whose 

failure will increase emissions without 

significantly degrading engine 

performance. 

IV. We also consider the emission-control 

information label to be an emissionrelated component.

Appendix II to Part 1068—EmissionRelated Parameters and Specifications 

This appendix specifies emission-related 

parameters and specifications that we refer to 

for describing such things as emission-related 

defects or requirements related to rebuilding 

engines.

I. Basic Engine Parameters—Reciprocating 

Engines. 

1. Compression ratio. 

2. Type of air aspiration (natural, Rootsblown, supercharged, turbocharged). 

3. Valves (intake and exhaust). 

a. Head diameter dimension. 

b. Valve lifter or actuator type and valve 

lash dimension. 

4. Camshaft timing. 

a. Valve opening—intake exhaust (degrees 

from top-dead center or bottom-dead 

center). 

b. Valve closing—intake exhaust (degrees 

from top-dead center or bottom-dead 

center). 

Federal Register / Vol. 67, No. 217 / Friday, November 8, 2002 / Rules and Regulations 68447

c. Valve overlap (degrees). 

5. Ports—two stroke engines (intake and/or 

exhaust). 

a. Flow area. 

b. Opening timing (degrees from top-dead 

center or bottom-dead center). 

c. Closing timing (degrees from top-dead 

center or bottom-dead center). 

II. Intake Air System. 

1. Roots blower/supercharger/turbocharger 

calibration. 

2. Charge air cooling. 

a. Type (air-to-air; air-to-liquid). 

b. Type of liquid cooling (engine coolant, 

dedicated cooling system). 

c. Performance. 

3. Temperature control system calibration. 

4. Maximum allowable inlet air restriction. 

III. Fuel System. 

1. General. 

a. Engine idle speed. 

b. Engine idle mixture. 

2. Carburetion. 

a. Air-fuel flow calibration. 

b. Idle mixture. 

c. Transient enrichment system calibration. 

d. Starting enrichment system calibration. 

e. Altitude compensation system 

calibration. 

f. Hot idle compensation system 

calibration. 

3. Fuel injection for spark-ignition engines. 

a. Control parameters and calibrations. 

b. Idle mixture. 

c. Fuel shutoff system calibration. 

d. Starting enrichment system calibration.

e. Transient enrichment system calibration. 

f. Air-fuel flow calibration. 

g. Altitude compensation system 

calibration. 

h. Operating pressure(s). 

i. Injector timing calibration. 

4. Fuel injection for compression-ignition 

engines. 

a. Control parameters and calibrations. 

b. Transient enrichment system calibration. 

c. Air-fuel flow calibration. 

d. Altitude compensation system 

calibration. 

e. Operating pressure(s). 

f. Injector timing calibration. 

IV. Ignition System for Spark-ignition 

Engines. 

1. Control parameters and calibration. 

2. Initial timing setting. 

3. Dwell setting. 

4. Altitude compensation system 

calibration. 

5. Spark plug voltage. 

V. Engine Cooling System—thermostat 

calibration. 

VI. Exhaust System—maximum allowable 

back pressure. 

VII. System for Controlling Exhaust 

Emissions. 

1. Air injection system. 

a. Control parameters and calibrations. 

b. Pump flow rate. 

2. EGR system. 

a. Control parameters and calibrations. 

b. EGR valve flow calibration. 

3. Catalytic converter system. 

a. Active surface area. 

b. Volume of catalyst. 

c. Conversion efficiency. 

4. Backpressure. 

VIII. System for Controlling Crankcase 

Emissions. 

1. Control parameters and calibrations. 

2. Valve calibrations. 

IX. Auxiliary Emission Control Devices 

(AECD). 

1. Control parameters and calibrations. 

2. Component calibration(s). 

X. System for Controlling Evaporative 

Emissions. 

1. Control parameters and calibrations. 

2. Fuel tank. 

a. Volume. 

b. Pressure and vacuum relief settings. 

XI. Warning Systems Related to Emission 

Controls. 

1. Control parameters and calibrations. 

2. Component calibrations.

[FR Doc. 02–23801 Filed 11–7–02; 8:45 am] 

BILLING CODE 6560–50–P