[Federal Register Volume 61, Number 90 (Wednesday, May 8, 1996)]
[Rules and Regulations]
[Pages 20738-20742]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-11477]



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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 89 and 90

[FRL-5502-5]


Reduced Certification Reporting Requirements for New Nonroad 
Engines

AGENCY: Environmental Protection Agency (EPA).

ACTION: Direct final rule.

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SUMMARY: This direct final rule revises certification requirements for 
new nonroad spark-ignition engines at or below 19 kilowatts, and new 
nonroad compression-ignition engines at or above 37 kilowatts, by 
reducing the reporting burden associated with the application for 
certification.

DATES: This final action will become effective on July 8, 1996 unless 
notice is received by June 7, 1996 that any person wishes to submit 
adverse comments. Should EPA receive such notice, EPA will publish a 
subsequent action in the Federal Register withdrawing all or part of 
this final action.

ADDRESSES: Written comments should be submitted (in duplicate, if 
possible) to: EPA Air and Radiation Docket, Attention Docket No. A-95-
57, room M-1500 (mail code 6102), 401 M St., S.W., Washington, D.C. 
20460. Materials relevant to this rulemaking are contained in docket 
No. A-95-57, and may be viewed from 8:30 a.m. until 5:30 p.m. weekdays. 
The docket may also be

[[Page 20739]]

reached by telephone at (202) 260-7548. As provided in 40 CFR part 2, a 
reasonable fee may be charged by EPA for photocopying. Those wishing to 
notify EPA of their intent to submit adverse comments on this action 
should contact Laurel Horne, U.S. Environmental Protection Agency, 2565 
Plymouth Road, Ann Arbor, MI 48105.

FOR FURTHER INFORMATION CONTACT: Laurel Horne, (313) 741-7803.

SUPPLEMENTARY INFORMATION:

I. Obtaining Electronic Copies of Documents

    Electronic copies of the preamble and the regulatory text of this 
direct final rulemaking are available electronically from the EPA 
internet site and via dial-up modem on the Technology Transfer Network 
(TTN), which is an electronic bulletin board system (BBS) operated by 
EPA's Office of Air Quality Planning and Standards. Both services are 
free of charge, except for your existing cost of internet connectivity 
or the cost of the phone call to TTN. Users are able to access and 
download files on their first call using a personal computer and modem 
per the following information.

Internet:

World Wide Web:
    http://www.epa.gov/OMSWWW
Gopher:
    gopher://gopher.epa.gov/ Follow menus for: Offices/Air/OMS
FTP:
    ftp://ftp.epa.gov/ Change Directory to pub/gopher/OMS TTN BBS: 919-
541-5742
    (1200-14400 bps, no parity, 8 data bits, 1 stop bit)
Voice Helpline: 919-541-5384. Off-line: Mondays from 8:00 AM to 12:00 
noon EST.

    A user who has not called TTN previously will first be required to 
answer some basic informational questions for registration purposes. 
After completing the registration process, proceed through the 
following menu choices from the Top Menu to access information on this 
rulemaking.

<T> GATEWAY TO TTN TECHNICAL AREAS (Bulletin Boards)
<M> OMS--Mobile Sources Information
<K> Rulemaking and Reporting
<6> Non-Road
<2> Non-road Engines

    At this point, the system will list all available files in the 
chosen category in reverse chronological order with brief descriptions. 
To download a file, select a transfer protocol that is supported by the 
terminal software on your own computer, then set your own software to 
receive the file using that same protocol.
    If unfamiliar with handling compressed (i.e. ZIP'ed) files, go to 
the TTN top menu, System Utilities (Command: 1) for information and the 
necessary program to download in order to unZIP the files of interest 
after downloading to your computer. After getting the files you want 
onto your computer, you can quit the TTN BBS with the <G>oodbye 
command.
    Please note that due to differences between the software used to 
develop the document and the software into which the document may be 
downloaded, changes in format, page length, etc. may occur.

II. Introduction and Background

    On July 3, 1995, EPA published emission standards for new nonroad 
spark-ignition engines at or below 19 kilowatts (hereinafter referred 
to as small SI engines).<SUP>1 Emission standards for new nonroad 
compression-ignition engines at or above 37 kilowatts (hereinafter 
referred to as large CI engines) were published on June 17, 1994.<SUP>2 
Under both sets of standards, engine manufacturers must obtain from the 
Administrator a certificate of conformity covering each engine family 
introduced into U.S. commerce. To obtain a certificate of conformity, 
engine manufacturers must submit an application comprised of 
information, specified by regulation, demonstrating that emission 
standards will be met.
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    \1\ 60 FR 34584, July 3, 1995.
    \2\ 59 FR 31306, June 17, 1994.
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    Today's action lessens the reporting burden associated with 
certification and allows EPA to exercise some flexibility in 
implementing the certification process for small SI and large CI 
engines.

III. Requirements of This Direct Final Rulemaking

    EPA is revising language in Secs. 89.115-96, 90.107, and 90.118 to 
streamline the reporting requirements associated with applications for 
engine certification. EPA believes that these revisions will in no way 
impede the ability of the Administrator to determine compliance with 
the applicable requirements of this regulation, and that the 
information required under today's rulemaking will be sufficient to 
establish to the satisfaction of the Administrator that engines conform 
to applicable requirements and thus may be issued certificates of 
conformity.

A. Test Engine Operating Cycle, Service Accumulation, and Maintenance

    EPA is revising paragraph (d)(5) of Sec. 90.107, which requires the 
engine manufacturer to submit a description of the operating cycle and 
service accumulation period necessary to break-in the test engine(s) 
and stabilize emission levels, and any maintenance scheduled. EPA is 
deleting the provision that requires the engine manufacturer to submit 
a description of the operating cycle used to break-in the test 
engine(s) and any maintenance scheduled. Similar information is already 
required to be kept for each certification test engine by 
Sec. 90.121(a)(3) (i), (ii) and (iii), including a description of the 
test engine's construction, the method used for engine service 
accumulation, and all maintenance performed. EPA believes it is 
sufficient that this information is readily available under 
Sec. 90.121(a)(3) if needed, and believes that it is not necessary to 
require it to be submitted with an application for certification. 
Accordingly, EPA is also revising Sec. 90.118(d) to indicate that the 
engine manufacturer must provide records about service accumulation to 
the Administrator only if requested. Note, however, that the 
Sec. 90.107(d)(5) provision requiring that the engine manufacturer 
submit the service accumulation period necessary to break-in the test 
engine(s) and stabilize emission levels is retained.
    Similarly, EPA is deleting the provision in Sec. 89.115-96(d)(5) 
that requires the engine manufacturer to submit a description of the 
operating cycle used to break-in the test engine(s), as that 
information is already required to be kept for each certification test 
engine by Sec. 89.124-96(a)(2) (i), (ii) and (iii). But EPA is 
retaining the requirement of Sec. 89.115-96(d)(5) that the engine 
manufacturer submit the period of operation necessary to accumulate 
service hours on test engines and stabilize emission levels.

B. Maintenance Instructions

    EPA is deleting the provision in Sec. 90.107(d)(7) that requires 
manufacturers to submit the proposed maintenance instructions furnished 
to the ultimate purchaser of each new small engine. As there is no 
promulgated useful life period or in-use standard established in this 
initial phase of the small SI engine emission reduction program, EPA 
does not believe it is appropriate to require manufacturers to submit 
this information.

[[Page 20740]]

C. Abbreviated or Streamlined Certification

    EPA is adding new subsections (f) to Sec. 89.115-96, and (g) to 
Sec. 90.107, that authorize the Administrator to modify the 
certification application information submission requirements. EPA 
believes that it is appropriate to require manufacturers to collect and 
maintain the application information specified in Secs. 89.115-96(d) 
and 90.107(d), but that it should not be necessary for manufacturers to 
submit this information in all cases unless specifically requested. 
Authority to modify information submission requirements will allow EPA 
to exercise some flexibility in designing and implementing the 
certification process for small SI and large CI engines. When the 
Agency exercises its authority to modify the information submission 
requirements, it will provide manufacturers with a guidance document, 
similar to manufacturer guidance issued under the on-highway program, 
that explains the modification(s).
    During the comment period on the recent small SI engine proposal, 
EPA received comments from the Engine Manufacturers Association (EMA), 
Outdoor Power Equipment Institute (OPEI), and the Portable Power 
Equipment Manufacturers Association (PPEMA) <SUP>3 requesting that EPA 
harmonize its certification application requirements with the 
California Air Resources Board (CARB) in order to ease the paperwork 
burden on small SI engine manufacturers. A single identical application 
acceptable to both EPA and CARB was the preferred approach to EMA and 
OPEI, while PPEMA favored EPA acceptance of certification by CARB. The 
language being added to Sec. 90.107(g)(1) (as well as to Sec. 89.115-
96(f)(1)) will allow EPA to streamline application requirements for 
federal jurisdiction and 49 state certification applicants, and, where 
EPA finds that it is appropriate, to accept the CARB certification 
application. Although EPA anticipates that in most cases it will find 
it appropriate to accept the CARB certification application, the Agency 
reserves the right to deny such acceptance. For example, significant 
variations in test procedures may be sufficient reason for the Agency 
not to accept the CARB certification application. In addition, EPA 
recognizes that CARB may revise its certification application in the 
future; EPA may not find it appropriate to accept such a revised CARB 
certification application. In no case does EPA acceptance of a CARB 
certification application indicate that EPA necessarily will grant a 
certificate of conformity.
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    \3\ See EPA Air Docket No. A-93-25, items IV-D-07, IV-D-20, and 
IV-D-22A, respectively.
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    The new subsections also clarify the recordkeeping requirements of 
Sec. 89.124-96 and Sec. 90.121 in regard to certification application 
records that a manufacturer is required to have available but is not 
required to submit, and the Administrator's right to review such 
records. Under new Secs. 89.115-96(f)(2) and 90.107(g)(2), 
manufacturers must retain records that comprise the certification 
application whether or not EPA requires that all such records be 
submitted to EPA at the time of certification. New Secs. 89.115-
96(f)(3) and 90.107(g)(3) clarify the Administrator's right to review 
records at any time and at any place designated by the Administrator.

IV. Public Participation and Effective Date

    EPA is publishing this action as a direct final rule because it 
views the changes contained herein as noncontroversial and anticipates 
no adverse or critical comments. This direct final rule alters existing 
provisions by reducing the certification reporting burden and allowing 
more flexibility in certification reporting requirements. Engine 
manufacturers should not take issue since they favor a lessened 
reporting burden in the certification program. Environmental groups and 
state and local governments should not take issue since the rule will 
not affect the emission reductions associated with small SI or large CI 
engine emission standards, nor will it affect adversely EPA's 
enforcement authority.
    This action will be effective on July 8, 1996 unless EPA is 
notified by June 7, 1996 that adverse or critical comment will be 
submitted. EPA requests that, should any adverse or critical comments 
be submitted, they be submitted according to the specific issues as 
identified below:

(a) Test Engine Operating Cycle, Service Accumulation, and Maintenance
(b) Maintenance Instructions
(c) Abbreviated or Streamlined Certification

Should EPA receive such notice of intent to submit adverse or critical 
comment on a specific issue identified above, EPA will publish an 
action withdrawing the provisions of this final action corresponding to 
that specific issue, and all adverse comments received will be 
addressed in a subsequent final rule based on a proposed rule that is 
published in the proposed rule section of today's Federal Register.

IV. Administrative Requirements

A. Administrative Designation

    Under Executive Order 12866 (58 FR 51735 (October 4, 1993)), EPA 
must determine whether a regulatory action is ``significant'' and 
therefore subject to OMB review and the requirements of the executive 
order. The order defines ``significant regulatory action'' as one that 
is likely to result in a rule that may:

    (1) have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy, a sector of the 
economy, productivity, competition, jobs, the environment, public 
health or safety, or state, local, or tribal governments or 
communities;

    (2) create a serious inconsistency or otherwise interfere with an 
action taken or planned by another agency;

    (3) materially alter the budgetary impact of entitlement, grants, 
user fees, or loan programs or the rights and obligations of recipients 
thereof;

    (4) raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
the order.

    EPA has determined that this rule is not a ``significant regulatory 
action'' under the terms of Executive Order 12866 and is therefore not 
subject to OMB review.

B. Paperwork Reduction Act

    The Office of Management and Budget (OMB) has approved the 
information collection requirements contained in this rule under the 
provisions of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq., and 
has assigned OMB control number 2060-0338 to the requirements 
associated with the nonroad small SI engine certification information 
collection request (ICR), and OMB control number 2060-0287 to the 
nonroad large CI engine certification ICR.

    This direct final rulemaking lessens the information collection 
request requirements associated with the nonroad small SI engine 
certification ICR (OMB No. 2060-0338) and the nonroad large CI engine 
certification ICR (OMB No. 2060-0287). Although the burden hours 
associated with emissions testing and recordkeeping remain the same, 
the burden hours associated with certification reporting decrease. For 
the small SI engine program, the total annual information collection 
request burden will decrease

[[Page 20741]]

an estimated 45 percent (65,760 hours) to a new revised annual total 
ICR burden of 78,485 hours. This direct final rule also will reduce the 
total annual information collection request burden for the large CI 
engine certification program by an estimated 45 percent (63,361 hours), 
for a new revised annual total ICR burden of 78,005 hours.
    Burden means the total time, effort, or financial resources 
expended by persons to generate, maintain, retain, or disclose or 
provide information to or for a Federal agency. This includes the time 
needed to review instructions; develop, acquire, install, and utilize 
technology and systems for the purposes of collecting, validating, and 
verifying information, processing and maintaining information, and 
disclosing and providing information; adjust the existing ways to 
comply with any previously applicable instructions and requirements; 
train personnel to be able to respond to a collection of information; 
search data sources; complete and review the collection of information; 
and transmit or otherwise disclose the information.
    An Agency may not conduct or sponsor, and a person is not required 
to respond to a collection of information unless it displays a 
currently valid OMB control number. The OMB control numbers for EPA's 
regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

C. Unfunded Mandates Act

    Section 202 of the Unfunded Mandates Reform Act of 1995 (signed 
into law on March 22, 1995) requires that EPA prepare a budgetary 
impact statement before promulgating a rule that includes a federal 
mandate that may result in expenditure by state, local, and tribal 
governments, in aggregate, or by the private sector, of $100 million or 
more in any one year. Section 203 of the Unfunded Mandates Reform Act 
requires EPA to establish a plan for obtaining input from and 
informing, educating, and advising any small governments that may be 
significantly or uniquely affected by the rule.
    Under section 205 of the Unfunded Mandates Act, EPA must identify 
and consider a reasonable number of regulatory alternatives before 
promulgating a rule for which a budgetary impact statement must be 
prepared. EPA must select from those alternatives the least costly, 
most cost-effective, or least burdensome alternative that achieves the 
objectives of the rule, unless EPA explains why this alternative is not 
selected or the selection of this alternative is inconsistent with law.
    Because this direct final rule is expected to result in the 
expenditure by state, local, and tribal governments or the private 
sector of less than $100 million in any one year, EPA has not prepared 
a budgetary impact statement or specifically addressed selection of the 
least costly, most cost-effective or least burdensome alternative. 
Because small governments will not be significantly or uniquely 
affected by this rule, EPA is not required to develop a plan with 
regard to small governments.

D. Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601) requires EPA to 
consider potential impacts of proposed regulations on small business. 
If a preliminary analysis indicates that a proposed regulation would 
have a significant adverse economic impact on a substantial number of 
small business entities, then a regulatory flexibility analysis must be 
prepared. An action which has a predominately deregulatory or 
beneficial economic effect on small business does not need a regulatory 
flexibility analysis.
    Since this rule is deregulatory in nature, has no significant 
adverse effect on small business, and decreases the reporting burden on 
all regulated entities, EPA has determined that it is not necessary to 
prepare a regulatory flexibility analysis. However, the Agency has 
taken the interests of small business entities into account in this 
action. This direct final rule relieves the regulatory burden on small 
businesses and minimizes the reporting requirements imposed on 
regulated entities, including smaller engine manufacturers, by 
authorizing EPA to modify certification application information 
submission requirements. The Agency intends to exercise this authority 
by reducing these requirements, and where appropriate, to accept the 
CARB certification application, thereby additionally reducing the 
paperwork burden on small SI engine manufacturers. Thus, EPA certifies 
that this rulemaking will not have a significant adverse effect on a 
substantial number of small entities.

List of Subjects in 40 CFR Parts 89 and 90

    Administrative practice and procedure, Air pollution control, 
Confidential business information, Environmental protection, Imports, 
Incorporation by reference, Labeling, Nonroad source pollution, 
Reporting requirements.

    Dated: May 2, 1996.
Carol M. Browner,
Administrator.

    For the reasons set out in the preamble, parts 89 and 90 of title 
40 of the Code of Federal Regulations are amended as follows:

PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD ENGINES

    1. The authority citation for part 89 continues to read as follows:

    Authority: Sections 202, 203, 204, 205, 206, 207, 208, 209, 213, 
215, 216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 
7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, 
and 7601(a)).

Subpart B--[Amended]

    2. Section 89.115-96 is amended by revising paragraph (d)(5), 
redesignating the second paragraph (b) which follows paragraph (d)(10) 
as paragraph (e), and adding paragraph (f) to read as follows:


Sec. 89.115-96  Application for certificate.

* * * * *
    (d) * * *
    (5) The period of operation necessary to accumulate service hours 
on test engines and stabilize emission levels;
* * * * *
    (e) * * *
    (f)(1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided that all of the 
information specified therein is maintained by the engine manufacturer 
as required by Sec. 89.124-96, and amended, updated, or corrected as 
necessary.
    (2) For the purposes of this paragraph, Sec. 89.124-96(a)(1) 
includes all information specified in paragraph (d) of this section 
whether or not such information is actually submitted to the 
Administrator for any particular model year.
    (3) The Administrator may review an engine manufacturer's records 
at any time. At the Administrator's discretion, this review may take 
place either at the manufacturer's facility or at another facility 
designated by the Administrator.

PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES

    3. The authority citation for part 90 continues to read as follows:

    Authority: Sections 203, 204, 205, 206, 207, 208, 209, 213, 215, 
216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 7522, 
7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and 7601(a)).

[[Page 20742]]

Subpart B--[Amended]

    4. Section 90.107 is amended by revising paragraphs (d)(5) and 
(d)(7), and adding paragraph (g) to read as follows:


Sec. 90.107  Application for certification.

* * * * *
    (d) * * *
    (5) The service accumulation period necessary to break in the test 
engine(s) and stabilize emission levels.
* * * * *
    (7) The proposed engine information label;
* * * * *
    (g)(1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided that all of the 
information specified therein is maintained by the engine manufacturer 
as required by Sec. 90.121, and amended, updated, or corrected as 
necessary.
    (2) For the purposes of this paragraph, Sec. 90.121(a)(1) includes 
all information specified in paragraph (d) of this section whether or 
not such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's records 
at any time. At the Administrator's discretion, this review may take 
place either at the manufacturer's facility or at another facility 
designated by the Administrator.
    5. Section 90.118 is amended by revising paragraph (d) to read as 
follows:


Sec. 90.118  Certification procedure--service accumulation.

* * * * *
    (d) The manufacturer must maintain, and provide to the 
Administrator if requested, records stating the rationale for selecting 
a service accumulation period less than 12 hours and records describing 
the method used to accumulate hours on the test engine(s).

[FR Doc. 96-11477 Filed 5-7-96; 8:45 am]
BILLING CODE 6560-50-P