59034 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Parts 9, 60, 80, 85, 86, 89, 90, 

91, 92, 94, 1027, 1033, 1039, 1042, 1045, 

1048, 1051, 1054, 1060, 1065, 1068, and 

1074 

[EPA–HQ–OAR–2004–0008; FRL–8712–8] 

RIN 2060–AM34 

Control of Emissions From Nonroad 

Spark-Ignition Engines and Equipment 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Final rule. 

SUMMARY: We are setting emission 

standards for new nonroad sparkignition engines that will substantially 

reduce emissions from these engines. 

The exhaust emission standards apply 

starting in 2010 for new marine sparkignition engines, including first-time 

EPA standards for sterndrive and 

inboard engines. The exhaust emission 

standards apply starting in 2011 and 

2012 for different sizes of new landbased, spark-ignition engines at or 

below 19 kilowatts (kW). These small 

engines are used primarily in lawn and 

garden applications. We are also 

adopting evaporative emission 

standards for vessels and equipment 

using any of these engines. In addition, 

we are making other minor amendments 

to our regulations. 

We estimate that by 2030, this rule 

will result in significantly reduced 

pollutant emissions from regulated 

engine and equipment sources, 

including estimated annual nationwide 

reductions of 604,000 tons of volatile 

organic hydrocarbon emissions, 132,200 

tons of NOX emissions, and 5,500 tons 

of directly-emitted particulate matter 

(PM2.5) emissions. These reductions 

correspond to significant reductions in 

the formation of ground-level ozone. We 

also expect to see annual reductions of 

1,461,000 tons of carbon monoxide 

emissions, with the greatest reductions 

in areas where there have been 

problems with individual exposures. 

The requirements in this rule will 

substantially benefit public health and 

welfare and the environment. We 

estimate that by 2030, on an annual 

basis, these emission reductions will 

prevent 230 PM-related premature 

deaths, between 77 and 350 ozonerelated premature deaths, approximately 

1,700 hospitalizations and emergency 

room visits, 23,000 work days lost, 

180,000 lost school days, 590,000 acute 

respiratory symptoms, and other 

quantifiable benefits every year. The 

total annual benefits of this rule in 2030 

are estimated to be between $1.8 billion 

and $4.4 billion, assuming a 3% 

discount rate. The total annual benefits 

of this rule in 2030 are estimated to be 

between $1.6 billion and $4.3 billion, 

assuming a 7% discount rate. Estimated 

costs in 2030 are many times less at 

approximately $190 million. 

DATES: This rule is effective on 

December 8, 2008. The incorporation by 

reference of certain publications listed 

in this regulation is approved by the 

Director of the Federal Register as of 

December 8, 2008. 

ADDRESSES: 

Docket: All documents in the docket 

are listed in the www.regulations.gov 

index. Although listed in the index, 

some information is not publicly 

available, such as CBI or other 

information whose disclosure is 

restricted by statute. Certain other 

material, such as copyrighted material, 

will be publicly available only in hard 

copy. Publicly available docket 

materials are available either 

electronically in www.regulations.gov or 

in hard copy at the ‘‘Control of 

Emissions from Nonroad Spark-Ignition 

Engines, Vessels and Equipment’’ 

Docket. The docket is located in the 

EPA Headquarters Library, Room 

Number 3334 in the EPA West Building, 

located at 1301 Constitution Ave., NW., 

Washington, DC. The EPA/DC Public 

Reading Room hours of operation will 

be 8:30 a.m. to 4:30 p.m. Eastern 

Standard Time (EST), Monday through 

Friday, excluding holidays. The 

telephone number for the Public 

Reading Room is (202) 566–1744 and 

the telephone number for the Docket is 

(202) 566–1742. 

FOR FURTHER INFORMATION CONTACT: 

Carol Connell, Environmental 

Protection Agency, Office of 

Transportation and Air Quality, 

Assessment and Standards Division, 

2000 Traverwood Drive, Ann Arbor, 

Michigan 48105; telephone number: 

734–214–4349; fax number: 734–214– 

4050; e-mail address: 

connell.carol@epa.gov. 

SUPPLEMENTARY INFORMATION: 

Does This Action Apply to Me? 

This action will affect you if you 

produce or import new spark-ignition 

engines intended for use in marine 

vessels or in new vessels using such 

engines. This action will also affect you 

if you produce or import new sparkignition engines below 19 kilowatts 

used in nonroad equipment, including 

agricultural and construction 

equipment, or produce or import such 

nonroad vehicles. 

The following table gives some 

examples of entities that may have to 

follow the regulations; however, since 

these are only examples, you should 

carefully examine the regulations. Note 

that we are adopting minor changes in 

the regulations that apply to a wide 

range of products that may not be 

reflected in the following table (see 

Section VIII). If you have questions, call 

the person listed in the FOR FURTHER

INFORMATION CONTACT section above: 

Category NAICS 

codes a SIC codes b Examples of potentially regulated entities 

Industry ............................................... 333618 3519 Manufacturers of new engines. 

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

Industry ............................................... 333112 3524 Manufacturers of lawn and garden tractors (home). 

Industry ............................................... 336612 3731 

3732 

Manufacturers of marine vessels. 

Industry ............................................... 811112 

811198 

7533 

7549 

Commercial importers of vehicles and vehicle components. 

a North American Industry Classification System (NAICS). 

bStandard Industrial Classification (SIC) system code. 

Table of Contents 

I. Introduction 

A. Overview 

B. Why Is EPA Taking This Action? 

C. What Regulations Currently Apply to 

Nonroad Engines or Vehicles? 

D. Putting This Rule into Perspective 

E. What Requirements Are We Adopting? 

F. How Is This Document Organized? 

G. Judicial Review 

II. Public Health and Welfare Effects 

A. Public Health Impacts 

B. Air Toxics 

C. Carbon Monoxide 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59035 

1Otto-cycle engines (referred to here as sparkignition or SI engines) typically operate on gasoline, 

liquefied petroleum gas, or natural gas. 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. 

2Public Law 108–199, Div G, Title IV, § 428(b), 

118 Stat. 418 (January 23, 2004). 

III. Sterndrive and Inboard Marine Engines 

A. Overview 

B. Engines Covered by This Rule 

C. Exhaust Emission Standards 

D. Test Procedures for Certification 

E. Additional Certification and Compliance 

Provisions 

F. Small-Business Provisions 

G. Technological Feasibility 

IV. Outboard and Personal Watercraft 

Engines 

A. Overview 

B. Engines Covered by This Rule 

C. Final Exhaust Emission Standards 

D. Changes to OB/PWC Test Procedures 

E. Additional Certification and Compliance 

Provisions 

F. Other Adjustments to Regulatory 

Provisions 

G. Small-Business Provisions 

H. Technological Feasibility 

V. Small SI Engines 

A. Overview 

B. Engines Covered by This Rule 

C. Final Requirements 

D. Testing Provisions 

E. Certification and Compliance Provisions 

for Small SI Engines and Equipment 

F. Small-Business Provisions 

G. Technological Feasibility 

VI. Evaporative Emissions 

A. Overview 

B. Fuel Systems Covered by This Rule 

C. Final Evaporative Emission Standards 

D. Emission Credit Programs 

E. Testing Requirements 

F. Certification and Compliance Provisions 

G. Small-Business Provisions 

H. Technological Feasibility 

VII. Energy, Noise, and Safety 

A. Safety 

B. Noise 

C. Energy 

VIII. Requirements Affecting Other Engine 

and Vehicle Categories 

A. State Preemption 

B. Certification Fees 

C. Amendments to General Compliance 

Provisions in 40 CFR Part 1068 

D. Amendments Related to Large SI 

Engines (40 CFR Part 1048) 

E. Amendments Related to Recreational 

Vehicles (40 CFR Part 1051) 

F. Amendments Related to Heavy-Duty 

Highway Engines (40 CFR Part 85) 

G. Amendments Related to Stationary 

Spark-Ignition Engines (40 CFR Part 60) 

H. Amendments Related to Locomotive, 

Marine, and Other Nonroad 

Compression-Ignition Engines (40 CFR 

Parts 89, 92, 94, 1033, 1039, and 1042) 

IX. Projected Impacts 

A. Emissions from Small Nonroad and 

Marine Spark-Ignition Engines 

B. Estimated Costs 

C. Cost per Ton 

D. Air Quality Impact 

E. Benefits 

F. Economic Impact Analysis 

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 

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 12898: Federal Actions 

to Address Environmental Justice in 

Minority Populations and Low-Income 

Populations. 

I. Executive Order 13211: Actions that 

Significantly Affect Energy Supply, 

Distribution, or Use 

J. National Technology Transfer 

Advancement Act 

K. Congressional Review Act 

I. Introduction 

A. Overview 

This rule will reduce the mobilesource contribution to air pollution in 

the United States. In particular, we are 

adopting standards that will require 

manufacturers to substantially reduce 

emissions from marine spark-ignition 

engines and from nonroad sparkignition engines below 19 kW that are 

generally used in lawn and garden 

applications.1 We refer to these as 

Marine SI engines and Small SI engines, 

respectively. The new emission 

standards are a continuation of the 

process of establishing standards for 

nonroad engines and vehicles as 

required by Clean Air Act section 213. 

All the nonroad engines subject to this 

rule are already regulated under existing 

emission standards, except sterndrive 

and inboard marine engines, which are 

subject to EPA emission standards for 

the first time. 

Nationwide, emissions from Marine 

SI engines and Small SI engines 

contribute significantly to mobile source 

air pollution. By 2030 without this final 

rule these engines would account for 

about 33 percent (1,287,000 tons) of 

mobile source volatile organic 

hydrocarbon compounds (VOC) 

emissions, 31 percent (15,605,000 tons) 

of mobile source carbon monoxide (CO) 

emissions, 6 percent (311,300 tons) of 

mobile source oxides of nitrogen (NOX) 

emissions, and 12 percent (44,000 tons) 

of mobile source particulate matter 

(PM2.5) emissions. The new standards 

will reduce exposure to these emissions 

and help avoid a range of adverse health 

effects associated with ambient ozone, 

CO, and PM levels. In addition, the new 

standards will help reduce acute 

exposure to CO, air toxics, and PM for 

persons who operate or who work with 

or are otherwise active in close 

proximity to these engines. They will 

also help address environmental 

problems associated with Marine SI 

engines and Small SI engines, such as 

injury to vegetation and ecosystems and 

visibility impairment. These effects are 

described in more detail later in this 

document. 

B. Why Is EPA Taking This Action? 

Clean Air Act section 213(a)(1) directs 

us to study emissions from nonroad 

engines and vehicles to determine, 

among other things, whether these 

emissions ‘‘cause, or significantly 

contribute to, air pollution which may 

reasonably be anticipated to endanger 

public health or welfare.’’ Section 

213(a)(2) further requires us to 

determine whether emissions of CO, 

VOC, and NOX from all nonroad engines 

significantly contribute to ozone or CO 

concentrations in more than one 

nonattainment area. If we determine 

that emissions from all nonroad engines 

do contribute significantly to these 

nonattainment areas, section 213(a)(3) 

then requires us to establish emission 

standards for classes or categories of 

new nonroad engines and vehicles that 

cause or contribute to such pollution. 

We may also set emission standards 

under section 213(a)(4) regulating any 

other emissions from nonroad engines 

that we find contribute significantly to 

air pollution which may reasonably be 

anticipated to endanger public health or 

welfare. 

Specific statutory direction to set 

standards for nonroad spark-ignition 

engines comes from section 428(b) of 

the 2004 Consolidated Appropriations 

Act, which requires EPA to adopt 

regulations under the Clean Air Act 

‘‘that shall contain standards to reduce 

emissions from new nonroad sparkignition engines smaller than 50 

horsepower.’’ 2 As highlighted above 

and more fully described in Section II, 

these engines emit pollutants that 

contribute to ground-level ozone and 

ambient CO levels. Human exposure to 

ozone and CO can cause serious 

respiratory and cardiovascular 

problems. Additionally, these emissions 

contribute to other serious 

environmental degradation. This rule 

implements Congress’ mandate by 

adopting new requirements for 

particular nonroad engines and 

equipment that are regulated as part of 

mstockstill on PROD1PC66 with RULES2

59036 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

3This study is available on EPA’s Web site at 

http://www.epa.gov/otaq/equip-ld. 

EPA’s overall nonroad emission control 

program. 

We are adopting this rule under the 

procedural authority of section 307(d) of 

the Clean Air Act. 

C. What Regulations Currently Apply to 

Nonroad Engines or Vehicles? 

EPA has been setting emission 

standards for nonroad engines and/or 

vehicles since Congress amended the 

Clean Air Act in 1990 and included 

section 213. These amendments have 

led to a series of rulemakings to reduce 

the air pollution from this widely 

varying set of products. In these 

rulemakings, we divided the broad 

group of nonroad engines and vehicles 

into several different categories for 

setting application-specific 

requirements. Each category involves 

many unique characteristics related to 

the participating manufacturers, 

technology, operating characteristics, 

sales volumes, and market dynamics. 

Requirements for each category 

therefore take on many unique features 

regarding the stringency of standards, 

the underlying expectations regarding 

emission control technologies, the 

nature and extent of testing, and the 

myriad details that comprise the 

implementation of a compliance 

program. 

At the same time, the requirements 

and other regulatory provisions for each 

engine category share many 

characteristics. Each rulemaking under 

section 213 sets technology-based 

standards consistent with the Clean Air 

Act and requires annual certification 

based on measured emission levels from 

test engines or vehicles. As a result, the 

broader context of EPA’s nonroad 

emission control programs demonstrates 

both strong similarities between this 

rulemaking and the requirements 

adopted for other types of engines or 

vehicles and distinct differences as we 

take into account the unique nature of 

these engines and the companies that 

produce them. 

We completed the Nonroad Engine 

and Vehicle Emission Study to satisfy 

Clean Air Act section 213(a)(1) in 

November 1991.3 On June 17, 1994, we 

made an affirmative determination 

under section 213(a)(2) that nonroad 

emissions are significant contributors to 

ozone or CO in more than one 

nonattainment area (56 FR 31306). Since 

then we have undertaken several 

rulemakings to set emission standards 

for the various categories of nonroad 

engines. Table I–1 highlights the 

different engine or vehicle categories we 

have established and the corresponding 

cites for emission standards and other 

regulatory requirements. Table I–2 

summarizes the series of EPA 

rulemakings that have set new or 

revised emission standards for any of 

these nonroad engines or vehicles. 

These actions are described in the 

following sections, with additional 

discussion to explain why we are not 

adopting more stringent standards for 

certain types of nonroad spark-ignition 

engines below 50 horsepower. 

TABLE I–1: NONROAD ENGINE CATEGORIES FOR EPA EMISSION STANDARDS

Engine categories CFR Cite for regulations establishing emission standards 

Cross 

reference 

to table 

I–2 

1. Locomotives engines ................................................................ 40 CFR Part 92 and 1033 .......................................................... d, l. 

2. Marine diesel engines .............................................................. 40 CFR Part 94 and 1042 .......................................................... g, i, j, l. 

3. Other nonroad diesel engines .................................................. 40 CFR Parts 89 and 1039 ........................................................ a, e, k. 

4. Marine SI engines a .................................................................. 40 CFR Part 91 ........................................................................... c. 

5. Recreational vehicles ............................................................... 40 CFR Part 1051 ....................................................................... i. 

6. Small SI engines b .................................................................... 40 CFR Part 90 ........................................................................... b, f, h. 

7. Large SI engines b .................................................................... 40 CFR Part 1048 ....................................................................... i. 

aThe term ‘‘Marine SI,’’ used throughout this document, refers to all spark-ignition engines used to propel marine vessels. This includes outboard engines, personal watercraft engines, and sterndrive/inboard engines. See Section III for additional information. bThe terms ‘‘Small SI’’ and ‘‘Large SI’’ are used throughout this document. All nonroad spark-ignition engines not covered by our programs for 

Marine SI engines or recreational vehicles are either Small SI engines or Large SI engines. Small SI engines include those engines with maximum power at or below 19 kW, and Large SI engines include engines with maximum power above 19 kW. 

TABLE I–2: EPA’S RULEMAKINGS FOR NONROAD ENGINES

Nonroad engines (categories and sub-categories) Final rulemaking Date 

a. Land-based diesel engines ≥ 37 kW—Tier 1 ............................................................................. 56 FR 31306 ................ June 17, 1994. 

b. Small SI engines—Phase 1 ........................................................................................................ 60 FR 34581 ................ July 3, 1995. 

c. Marine SI engines—outboard and personal watercraft .............................................................. 61 FR 52088 ................ October 4, 1996. 

d. Locomotives ................................................................................................................................ 63 FR 18978 ................ April 16, 1998. 

e. Land-based diesel engines—Tier 1 and Tier 2 for engines < 37 kW—Tier 2 and Tier 3 for 

engines ≥ 37 kW.

63 FR 56968 ................ October 23, 1998. 

f. Small SI engines (Nonhandheld)—Phase 2 ................................................................................ 64 FR 15208 ................ March 30, 1999. 

g. Commercial marine diesel < 30 liters per cylinder ..................................................................... 64 FR 73300 ................ December 29, 1999. 

h. Small SI engines (Handheld)—Phase 2 ..................................................................................... 65 FR 24268 ................ April 25, 2000. 

i. Recreational vehicles, Industrial spark-ignition engines > 19 kW, and Recreational marine 

diesel.

67 FR 68242 ................ November 8, 2002. 

j. Marine diesel engines ≥ 2.5 liters/cylinder ................................................................................... 68 FR 9746 .................. February 28, 2003. 

k. Land-based diesel engines—Tier 4 ............................................................................................ 69 FR 38958 ................ June 29, 2004. 

l. Locomotives and commercial marine diesel < 30 liters per cylinder ........................................... 73 FR 37096 ................ June 30, 2008. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59037 

4Handheld engines generally include those 

engines for which the operator holds or supports 

the equipment during operation; nonhandheld 

engines are Small SI engines that are not handheld 

engines (see § 1054.801). Class I refers to 

nonhandheld engines with displacement below 225 

cc; Class II refers to larger nonhandheld engines. 

5Note that we refer to the handheld exhaust 

emission standards in 40 CFR part 1054 as Phase 

3 standards. This is intended to maintain consistent 

terminology with the comparable standards in 

California rather than indicating an increase in 

stringency. 

6Note that we treat certain high-speed off-road 

utility vehicles as all-terrain vehicles (see 40 CFR 

part 1051). 

Small SI Engines 

We have previously adopted emission 

standards for nonroad spark-ignition 

engines at or below 19 kW in two 

phases. The first phase of these 

standards introduced certification and 

an initial level of emission standards for 

both handheld and nonhandheld 

engines. On March 30, 1999 we adopted 

a second phase of standards for 

nonhandheld engines, including both 

Class I and Class II engines (64 FR 

15208).4 The Phase 2 regulations 

included a phase-in period that has 

recently been completed. These 

standards involved emission reductions 

based on improving engine calibrations 

to reduce exhaust emissions and added 

a requirement that emission standards 

must be met over the engines’ entire 

useful life as defined in the regulations. 

We believe catalyst technology has now 

developed to the point that it can be 

applied to all nonhandheld Small SI 

engines to reduce exhaust emissions. 

Various emission control technologies 

are similarly available to address the 

different types of fuel evaporative 

emissions we have identified. 

For handheld engines, we adopted 

Phase 2 exhaust emission standards in 

April 25, 2000 (65 FR 24268). These 

standards were based on the application 

of catalyst technology, with the 

expectation that manufacturers would 

have to make considerable investments 

to modify their engine designs and 

production processes. A technology 

review we completed in 2003 indicated 

that manufacturers were making 

progress toward compliance, but that 

additional implementation flexibility 

was needed if manufacturers were to 

fully comply with the regulations by 

2010. This finding and a change in the 

rule were published in the Federal 

Register on January 12, 2004 (69 FR 

1824). At this point, we have no 

information to suggest that 

manufacturers can uniformly apply new 

technology or make design 

improvements to reduce exhaust 

emissions below the Phase 2 levels. We 

therefore believe the Phase 2 standards 

continue to represent the greatest degree 

of emission reduction achievable for 

these engines.5 However, we believe it 

is appropriate to apply evaporative 

emission standards to handheld engines 

similar to the standards we are adopting 

for the nonhandheld engines. 

Manufacturers can control evaporative 

emissions from handheld engines in a 

way that has little or no impact on 

exhaust emissions. 

Marine SI Engines 

On October 4, 1996 we adopted 

emission standards for spark-ignition 

outboard and personal watercraft 

engines that have recently been fully 

phased in (61 FR 52088). We decided 

not to finalize emission standards for 

sterndrive or inboard marine engines at 

that time. Uncontrolled emission levels 

from sterndrive and inboard marine 

engines were already significantly lower 

than the outboard and personal 

watercraft engines. We did, however, 

leave open the possibility of revisiting 

the need for emission standards for 

sterndrive and inboard engines in the 

future. See Section III for further 

discussion of the scope and background 

of past and current rulemakings for 

these engines. 

We believe existing technology can be 

applied to all Marine SI engines to 

reduce emissions of harmful pollutants, 

including both exhaust and evaporative 

emissions. Manufacturers of outboard 

and personal watercraft engines can 

continue the trend of producing fourstroke engines and advanced-technology 

two-stroke engines to further reduce 

emissions. For sterndrive/inboard 

engines, manufacturers can add 

technologies, such as fuel injection and 

aftertreatment, that can safely and 

substantially improve the engines’ 

emission control capabilities. 

Large SI Engines 

We adopted emission standards for 

Large SI engines on November 8, 2002 

(67 FR 68242). This includes Tier 1 

standards for 2004 through 2006 model 

years and Tier 2 standards starting with 

2007 model year engines. Manufacturers 

are today facing a considerable 

challenge to comply with the Tier 2 

standards, which are already 

substantially more stringent than any of 

the standards for the other engine 

categories subject to this final rule. The 

Tier 2 standards also include 

evaporative emission standards, new 

transient test procedures, additional 

exhaust emission standards to address 

off-cycle emissions, and diagnostic 

requirements. Stringent standards for 

this category of engines, and in 

particular engines between 25 and 50 

horsepower (19 to 37 kW), have been 

completed in the recent past, and are 

currently being implemented. We do not 

have information at this time on 

possible advances in technology beyond 

Tier 2. We therefore believe the 

evidence provided in the recently 

promulgated rulemaking continues to 

represent the best available information 

regarding the appropriate level of 

standards for these engines under 

section 213 at this time. The California 

Air Resources Board has adopted an 

additional level of emission control for 

Large SI engines starting with the 2010 

model year. However, as described in 

Section I.D.1, their new standards do 

not increase overall stringency beyond 

that reflected in the federal standards. 

As a result, we believe it is 

inappropriate to adopt more stringent 

emission standards for these engines in 

this rulemaking. 

Note that the Large SI standards apply 

to nonroad spark-ignition engines above 

19 kW. However, we adopted a special 

provision for engine families where 

production engines have total 

displacement at or below 1000 cc and 

maximum power at or below 30 kW, 

allowing these engine families to 

instead certify to the applicable 

standards for Small SI engines. This rule 

preserves this approach. 

Recreational Vehicles 

We adopted exhaust and evaporative 

emission standards for recreational 

vehicles in our November 8, 2002 final 

rule (67 FR 68242). These standards 

apply to all-terrain vehicles, offhighway motorcycles, and 

snowmobiles.6 These exhaust emission 

standards were fully phased in starting 

with the 2007 model year. The 

evaporative emission standards apply 

starting with the 2008 model year. 

Recreational vehicles will soon be 

subject to permeation requirements that 

are very similar to the requirements 

included in this rulemaking. We have 

also learned more about controlling 

running losses and diffusion emissions 

that may eventually lead us to propose 

comparable standards for recreational 

vehicles. Considering these new 

requirements for recreational vehicles in 

a later rulemaking would give us 

additional time to collect information to 

better understand the feasibility, costs, 

and benefits of applying these 

requirements to recreational vehicles. 

The following sections describe the 

state of technology and regulatory 

requirements for the different types of 

recreational vehicles. 

mstockstill on PROD1PC66 with RULES2

59038 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

7Only about 3 percent of snowmobiles are rated 

below 50 horsepower. 

All-Terrain Vehicles 

EPA’s initial round of exhaust 

emission standards was fully 

implemented starting with the 2007 

model year. The regulations for allterrain vehicles (ATV) specify testing 

based on a chassis-based transient 

procedure. However, we permit 

manufacturers on an interim basis to 

optionally use a steady-state enginebased procedure. We recently 

completed a change in the regulations to 

extend this allowance from 2009 

through 2014, after which 

manufacturers must certify all their 

ATVs based on the chassis-based 

transient test procedure that applies for 

off-highway motorcycles (72 FR 20730, 

April 26, 2007). This change does not 

represent an increase in stringency, but 

manufacturers will be taking time to 

make the transition to the different test 

procedure. We expect that there will be 

a good potential to apply further 

emission controls on these engines. 

However, we do not have information at 

this time on possible advances in 

technology beyond what is required for 

the current standards. 

Off-Highway Motorcycles 

For off-highway motorcycles, 

manufacturers are in many cases making 

a substantial transition to move away 

from two-stroke engines in favor of fourstroke engines. This transition is now 

underway. While it may eventually be 

appropriate to apply aftertreatment or 

other additional emission control 

technologies to off-highway 

motorcycles, we need more time for this 

transition to be completed and to assess 

the success of aftertreatment 

technologies such as catalysts on similar 

applications such as highway 

motorcycles. As EPA and manufacturers 

learn more in implementing emission 

standards, we expect to be able to better 

judge the potential for broadly applying 

new technology to achieve further 

emission reductions from off-highway 

motorcycles. 

Snowmobiles 

In our November 8, 2002 final rule we 

set three phases of exhaust emission 

standards for snowmobiles (67 FR 

68242). Environmental and industry 

groups challenged the third phase of 

these standards. The court decision 

upheld much of EPA’s reasoning for the 

standards, but vacated the NOX standard 

and remanded the CO and HC standards 

to clarify the analysis and evidence 

upon which the standards are based. 

See Bluewater Network, et al. v. EPA, 

370 F 3d 1 (D.C. Cir. 2004). A large 

majority of snowmobile engines are 

rated above 50 hp and there is still a 

fundamental need for time to pass to 

allow us to assess the success of fourstroke engine technology in the 

marketplace.7 This is an important 

aspect of the assessment we need to 

conduct with regard to the Phase 3 

emission standards. We believe it is best 

to address this in a separate rulemaking 

and we have initiated that effort to 

evaluate the appropriate long-term 

emission standards for snowmobiles. 

Nonroad Diesel Engines 

The 2004 Consolidated 

Appropriations Act providing the 

specific statutory direction for this 

rulemaking focuses on nonroad sparkignition engines. Nonroad diesel 

engines are therefore not included 

within the scope of that Congressional 

mandate. However, we have gone 

through several rulemakings to set 

standards for these engines under the 

broader authority of Clean Air Act 

section 213. In particular, we have 

divided nonroad diesel engines into 

three groups for setting emission 

standards. We adopted a series of 

standards for locomotives on April 16, 

1998, including requirements to certify 

engines to emission standards when 

they are rebuilt (63 FR 18978). We also 

adopted emission standards for marine 

diesel engines over several different 

rulemakings, as described in Table I–2. 

These included separate actions for 

engines below 37 kW, engines installed 

in oceangoing vessels, engines installed 

in commercial vessels involved in 

inland and coastal waterways, and 

engines installed in recreational vessels. 

We recently adopted a new round of 

more stringent emission standards for 

both locomotives and marine diesel 

engines that will require widespread use 

of aftertreatment technology (73 FR 

37096, June 30, 2008). 

Finally, all other nonroad diesel 

engines are grouped together for EPA’s 

emission standards. We have adopted 

multiple tiers of increasingly stringent 

standards in three separate rulemakings, 

as described in Table I–2. We most 

recently adopted Tier 4 standards based 

on the use of ultra low-sulfur diesel fuel 

and the application of exhaust 

aftertreatment technology (69 FR 38958, 

June 29, 2004). 

D. Putting This Rule into Perspective 

Most manufacturers that will be 

subject to this rulemaking are also 

affected by regulatory developments in 

California and in other countries. Each 

of these is described in more detail 

below. 

State Initiatives 

Clean Air Act section 209 prohibits 

California and other states from setting 

emission standards for new motor 

vehicles and new motor vehicle engines, 

but authorizes EPA to waive this 

prohibition for California, in which case 

other states may adopt California’s 

standards. Similar preemption and 

waiver provisions apply for emission 

standards for nonroad engines and 

vehicles, whether new or in-use. 

However for new locomotives, new 

engines used in locomotives, and new 

engines used in farm or construction 

equipment with maximum power below 

130 kW, California and other states are 

preempted and there is no provision for 

a waiver of preemption. In addition, in 

section 428 of the 2004 Consolidated 

Appropriations Act, Congress further 

precluded other states from adopting 

new California standards for nonroad 

spark-ignition engines below 50 

horsepower. In addition, the 

amendment required that we 

specifically address the safety 

implications of any California standards 

for these engines before approving a 

waiver of federal preemption. We are 

codifying these preemption changes in 

this rule. 

The California Air Resources Board 

(California ARB) has adopted 

requirements for five groups of nonroad 

engines: (1) Diesel- and Otto-cycle small 

off-road engines rated under 19 kW; (2) 

spark-ignition engines used for marine 

propulsion; (3) land-based nonroad 

recreational engines, including those 

used in all-terrain vehicles, off-highway 

motorcycles, go-carts, and other similar 

vehicles; (4) new nonroad spark-ignition 

engines rated over 19 kW not used in 

recreational applications; and (5) new 

land-based nonroad diesel engines rated 

over 130 kW. They have also approved 

a voluntary registration and control 

program for existing portable 

equipment. 

In the 1990s California ARB adopted 

Tier 1 and Tier 2 standards for Small SI 

engines consistent with the federal 

requirements. In 2003, they moved 

beyond the federal program by adopting 

exhaust HC+NOX emission standards of 

10 g/kW-hr for Class I engines starting 

in the 2007 model year and 8 g/kW-hr 

for Class II engines starting in the 2008 

model year. In the same rule they 

adopted evaporative emission standards 

for nonhandheld equipment, requiring 

control of fuel tank permeation, fuel line 

permeation, diurnal emissions, and 

running losses. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59039 

California ARB has adopted two tiers 

of exhaust emission standards for 

outboard and personal watercraft 

engines beyond EPA’s original 

standards. The most recent standards, 

which apply starting in 2008, require 

HC+NOX emission levels as low as 16 g/ 

kW-hr. For sterndrive and inboard 

engines, California ARB has adopted a 

5 g/kW-hr HC+NOX emission standard 

for 2008 and later model year engines, 

with testing underway to confirm the 

feasibility of standards. California ARB’s 

marine programs include no standards 

for exhaust CO emissions or evaporative 

emissions. 

The California ARB emission 

standards for recreational vehicles have 

a different form than the comparable 

EPA standards but are roughly 

equivalent in stringency. The California 

standards include no standards for 

controlling evaporative emissions. 

Another important difference between 

the two programs is California ARB’s 

reliance on a provision allowing 

noncompliant vehicles to be used in 

certain areas that are less 

environmentally sensitive as long as 

they have a specified red sticker for 

identifying their lack of emission 

controls to prevent them from operating 

in other areas. 

California ARB in 1998 adopted 

requirements that apply to new nonroad 

engines rated over 25 hp produced for 

California, with standards phasing in 

from 2001 through 2004. Texas has 

adopted these initial California ARB 

emission standards statewide starting in 

2004. More recently, California ARB 

adopted exhaust emission standards and 

new evaporative emission standards for 

these engines, consistent with EPA’s 

2007 model year standards. Their new 

requirements also included an 

additional level of emission control for 

Large SI engines starting with the 2010 

model year. However, their 2010 

standards do not increase overall 

stringency beyond that reflected in the 

federal standards. Rather, they aim to 

achieve reductions in HC+NOX

emissions by removing the flexibility 

incorporated into the federal standards 

allowing manufacturers to have higher 

HC+NOX emissions by certifying to a 

more stringent CO standard. 

Actions in Other Countries 

While the new emission standards 

will apply only to engines sold in the 

United States, we are aware that 

manufacturers in many cases are selling 

the same products into other countries. 

To the extent that we have the same 

emission standards as other countries, 

manufacturers can contribute to 

reducing air emissions without being 

burdened by the costs associated with 

meeting differing or inconsistent 

regulatory requirements. The following 

discussion describes our understanding 

of the status of emission standards in 

countries outside the United States. 

Regulations for spark ignition engines 

in handheld and nonhandheld 

equipment are included in the 

‘‘Directive 97/68/EC of the European 

Parliament and of the Council of 16 

December 1997 on the approximation of 

the laws of the Member States relating 

to measures against the emission of 

gaseous and particulate pollutants from 

internal combustion engines to be 

installed in non-road mobile machinery 

(OJ L 59, 27.2.1998, p. 1)’’, as amended 

by ‘‘Directive 2002/88/EC of the 

European Parliament and of the Council 

of 9 December 2002.’’ The Stage I 

emission standards are to be met by all 

handheld and nonhandheld engines by 

24 months after entry into force of the 

Directive (as noted in a December 9, 

2002 amendment to Directive 97/68/ 

EC). The Stage I emission standards are 

similar to the U.S. EPA’s Phase 1 

emission standards for handheld and 

nonhandheld engines. The Stage II 

emission standards are implemented 

over time for the various handheld and 

nonhandheld engine classes from 2005 

to 2009 with handheld engines at or 

above 50 cc on August 1, 2008. The 

Stage II emission standards are similar 

to EPA’s Phase 2 emission standards for 

handheld and nonhandheld engines. Six 

months after these dates Member States 

must require that engines placed on the 

market meet the requirements of the 

Directive, whether or not they are 

already installed in machinery. 

The European Commission has 

adopted emission standards for 

recreational marine engines, including 

both diesel and gasoline engines. These 

requirements apply to all new engines 

sold in member countries and began in 

2006 for four-stroke engines and in 2007 

for two-stroke engines. Table I–3 

presents the European standards for 

diesel and gasoline recreational marine 

engines. The numerical emission 

standards for NOX are based on the 

applicable standard from MARPOL 

Annex VI for marine diesel engines (See 

Table I–3). The European standards are 

roughly equivalent to the nonroad diesel 

Tier 1 emission standards for HC and 

CO. Emission measurements under the 

European standards rely on the ISO D2 

duty cycle for constant-speed engines 

and the ISO E5 duty cycle for other 

engines. 

TABLE I–3: EUROPEAN EMISSION STANDARDS FOR RECREATIONAL MARINE ENGINES (g/kW-hr) 

Engine type HC NOX CO PM 

Two-Stroke Spark-Ignition ................... 30 + 100/P0.75 ..................................... 10.0 150 + 600/P ......................................... — 

Four-Stroke Spark-Ignition ................... 6 + 50/P0.75 ......................................... 15.0 150 + 600/P ......................................... — 

Compression-Ignition ........................... 1.5 + 2/P0.5 ......................................... 9.8 5.0 ........................................................ 1.0 

Note: P = rated power in kilowatts (kW). 

E. What Requirements Are We 

Adopting? 

EPA’s emission control provisions 

require engine, vessel and equipment 

manufacturers to design and produce 

their products to meet the emission 

standards we adopt. To ensure that 

engines and fuel systems meet the 

expected level of emission control, we 

also require compliance with a variety 

of additional requirements, such as 

certification, labeling engines, and 

meeting warranty requirements. The 

following sections provide a brief 

summary of the new requirements in 

this rulemaking. See the later sections 

for a full discussion of the rule. 

Marine SI Engines and Vessels 

We are adopting a more stringent 

level of emission standards for outboard 

and personal watercraft engines starting 

with the 2010 model year. The HC+NOX

emission standards are the same as 

those adopted by California ARB for 

2008 and later model year engines. The 

CO emission standard is 300 g/kW-hr 

for engines with maximum engine 

power above 40 kW; the standard 

increases as a function of maximum 

engine power for smaller engines. We 

expect manufacturers to meet these 

standards with improved fueling 

systems and other in-cylinder controls. 

We are not pursuing catalyst-based 

emission standards for outboard and 

personal watercraft engines. As 

discussed below, the application of 

mstockstill on PROD1PC66 with RULES2

59040 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

catalyst-based standards to the marine 

environment creates special technology 

challenges that must be addressed. 

Unlike the sterndrive/inboard engines 

discussed in the next paragraph, 

outboard and personal watercraft 

engines are not built from automotive 

engine blocks and it is not 

straightforward to apply the 

fundamental engine modifications, fuel 

system upgrades, and other engine 

control modifications needed to get 

acceptable catalyst performance. This 

rule is an appropriate next step in the 

evolution of technology-based standards 

for outboard and personal watercraft 

engines as they are likely to lead to the 

elimination of carbureted two-stroke 

engines in favor of four-stroke engines 

or direct-injection two-stroke engines 

and to encourage the fuel system 

upgrades and related engine 

modifications needed to achieve the 

required reductions and to potentially 

set the stage for more stringent controls 

in the future. 

We are adopting new exhaust 

emission standards for sterndrive and 

inboard marine engines. The standards 

are 5.0 g/kW-hr for HC+NOX and 75.0 g/ 

kW-hr for CO starting with the 2010 

model year. We expect manufacturers to 

meet these standards with three-way 

catalysts and closed-loop fuel injection. 

To ensure proper functioning of these 

emission control systems in use, we will 

require engines to have a diagnostic 

system for detecting a failure in the 

emission control system. For sterndrive 

and inboard marine engines above 373 

kW with high-performance 

characteristics (generally referred to as 

‘‘SD/I high-performance engines’’), we 

are adopting less stringent emission 

standards that reflect their limited 

ability to control emissions with 

catalysts. The HC+NOX standard is 16 g/ 

kW-hr in for engines at or below 485 kW 

and 22 g/kW-hr for bigger engines. The 

CO standard for all SD/I highperformance engines is 350 g/kW-hr. 

Manufacturers of these engines must 

meet emission standards without 

generating or using emission credits. We 

also include a variety of other special 

provisions for these engines to reflect 

unique operating characteristics. 

The emission standards described 

above relate to engine operation over a 

prescribed duty cycle for testing in the 

laboratory. We are also adopting not-toexceed (NTE) standards that establish 

emission limits when engines operate 

under normal speed-load combinations 

that are not included in the duty cycles 

for the other engine standards (the NTE 

standards do not apply to SD/I highperformance engines). 

We are adopting new standards to 

control evaporative emissions for all 

Marine SI vessels. The new standards 

include requirements to control fuel 

tank permeation, fuel line permeation, 

and diurnal emissions, including 

provisions to ensure that refueling 

emissions do not increase. 

We are including these new 

regulations for Marine SI engines in 40 

CFR part 1045 rather than in the current 

regulations in 40 CFR part 91. This new 

part allows us to improve the clarity of 

regulatory requirements and update our 

regulatory compliance program to be 

consistent with the provisions we have 

recently adopted for other nonroad 

programs. We are also making a variety 

of changes to 40 CFR part 91 to make 

minor adjustments to the current 

regulations and to prepare for the 

transition to 40 CFR part 1045. 

Small SI Engines and Equipment 

We are adopting HC+NOX exhaust 

emission standards of 10.0 g/kW-hr for 

Class I engines starting in the 2012 

model year and 8.0 g/kW-hr for Class II 

engines starting in the 2011 model year. 

For both classes of nonhandheld 

engines, we are maintaining the existing 

CO standard of 610 g/kW-hr. We expect 

manufacturers to meet these standards 

by improving engine combustion and 

adding catalysts. These standards are 

consistent with the requirements 

recently adopted by California ARB. 

For spark-ignition engines used in 

marine generators, we are adopting a 

more stringent Phase 3 CO emission 

standard of 5.0 g/kW-hr. This applies 

equally to all sizes of engines subject to 

the Small SI standards. 

We are adopting new evaporative 

emission standards for both handheld 

and nonhandheld engines. The new 

standards include requirements to 

control permeation from fuel tanks and 

fuel lines. For nonhandheld engines we 

will also require control of running loss 

emissions. 

We are drafting the new regulations 

for Small SI engines from 40 CFR part 

90 rather than changing the current 

regulations in 40 CFR part 90. This new 

part will allow us to improve the clarity 

of regulatory requirements and update 

our regulatory compliance program to 

be consistent with the provisions we 

have recently adopted for other nonroad 

programs. 

F. How Is This Document Organized? 

Many readers may be interested only 

in certain aspects of the rule since it 

covers a broad range of engines and 

equipment that vary in design and use. 

We have therefore attempted to organize 

this information in a way that allows 

each reader to focus on the material of 

particular interest. The Air Quality 

discussion in Section II, however, is 

general in nature and applies to all the 

categories subject to the rule. 

The next several sections describe the 

provisions that apply for Small SI 

engines and equipment and Marine SI 

engines and vessels. Sections III through 

V describe the new requirements related 

to exhaust emission standards for each 

of the affected engine categories, 

including standards, effective dates, 

testing information, and other specific 

requirements. Section VI details the new 

requirements related to evaporative 

emissions for all categories. Section VII 

discusses how we took energy, noise, 

and safety factors into consideration for 

the new standards. 

Section VIII describes a variety of 

provisions that affect other categories of 

engines besides those that are the 

primary subject of this rule. This 

includes the following changes: 

• We are reorganizing the regulatory 

language related to preemption of state 

standards and to clarify certain 

provisions. 

• We are incorporating new 

provisions related to certification fees 

for newly regulated products covered by 

this rule. This involves some 

restructuring of the regulatory language. 

We are also adopting various technical 

amendments, such as identifying an 

additional payment method, that apply 

broadly to our certification programs. 

• We are modifying 40 CFR part 1068 

to clarify when engines are subject to 

standards. This includes several new 

provisions to address special cases for 

partially complete engines. 

• We are also modifying part 1068 to 

clarify how the provisions apply with 

respect to evaporative emission 

standards and we are adopting various 

technical amendments. These changes 

apply to all types of nonroad engines 

that are subject to the provisions of part 

1068. 

• We are adopting several technical 

amendments for other categories of 

nonroad engines and vehicles, largely to 

maintain consistency across programs 

for different categories of engines and 

vehicles. 

• We are amending provisions related 

to delegated assembly. The new 

approach is to adopt a universal set of 

requirements in § 1068.261 that applies 

uniformly to heavy-duty highway 

engines and nonroad engines. 

• We are clarifying that the new 

exhaust and evaporative emission 

standards for Small SI engines also 

apply to the comparable stationary 

engines. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59041 

8U.S. EPA Air Quality Criteria for Ozone and 

Related Photochemical Oxidants (Final). U.S. 

Environmental Protection Agency, Washington, 

D.C., EPA 600/R–05/004aF-cF, 2006. This 

document is available in Docket EPA-HQ-OAR– 

2003–0190. This document may be accessed 

electronically at: http://www.epa.gov/ttn/naaqs/ 

standards/ozone/s_o3_cr_cd.html. 

9U.S. EPA Air Quality Criteria for Ozone and 

Related Photochemical Oxidants (Final). U.S. 

Environmental Protection Agency, Washington, 

DC., EPA 600/R–05/004aF–cF, 2006. This document 

is available in Docket EPA–HQ–OAR–2003–0190. 

This document may be accessed electronically at: 

http://www.epa.gov/ttn/naaqs/standards/ozone/s_

o3_cr_cd.html. 

10U.S. EPA (2007) Review of the National 

Ambient Air Quality Standards for Ozone, Policy 

Assessment of Scientific and Technical 

Information. OAQPS Staff Paper.EPA–452/R–07– 

003. This document is available in Docket EPA– 

HQ–OAR–2003–0190. This document is available 

electronically at: http:www.epa.gov/ttn/naaqs/

standards/ozone/s_o3_cr_sp.html. 

11National Research Council (NRC), 2008. 

Estimating Mortality Risk Reduction and Economic 

Benefits from Controlling Ozone Air Pollution. The 

National Academies Press: Washington, DC. 

Section IX summarizes the projected 

impacts and benefits of this rule. 

Finally, Sections X and XI summarize 

the primary public comments received 

and describe how we satisfy our various 

administrative requirements. 

G. Judicial Review 

Under section 307(b)(1) of the Clean 

Air Act (CAA), judicial review of these 

final rules is available only by filing a 

petition for review in the U.S. Court of 

Appeals for the District of Columbia 

Circuit by December 8, 2008. Under 

section 307(b)(2) of the CAA, the 

requirements established by these final 

rules may not be challenged separately 

in any civil or criminal proceedings 

brought by EPA to enforce these 

requirements. 

Section 307(d)(7)(B) of the CAA 

further provides that ‘‘[o]nly an 

objection to a rule or procedure which 

was raised with reasonable specificity 

during the period for public comment 

(including any public hearing) may be 

raised during judicial review.’’ This 

section also provides a mechanism for 

us to convene a proceeding for 

reconsideration, ‘‘[i]f the person raising 

an objection can demonstrate to the EPA 

that it was impracticable to raise such 

objection within [the period for public 

comment] or if the grounds for such 

objection arose after the period for 

public comment (but within the time 

specified for judicial review) and if such 

objection is of central relevance to the 

outcome of the rule.’’ Any person 

seeking to make such a demonstration to 

us should submit a Petition for 

Reconsideration to the Office of the 

Administrator, U.S. EPA, Room 3000, 

Ariel Rios Building, 1200 Pennsylvania 

Ave., NW., Washington, DC 20460, with 

a copy to both the person(s) listed in the 

preceding FOR FURTHER INFORMATION

CONTACT section and the Associate 

General Counsel for the Air and 

Radiation Law Office, Office of General 

Counsel (Mail Code 2344A), U.S. EPA, 

1200 Pennsylvania Ave., NW., 

Washington, DC 20460. 

II. Public Health and Welfare Effects 

The engines and fuel systems subject 

to this rule generate emissions of 

hydrocarbons (HC), nitrogen oxides 

(NOX), particulate matter (PM) and 

carbon monoxide (CO) that contribute to 

nonattainment of the National Ambient 

Air Quality Standards (NAAQS) for 

ozone, PM and CO. These engines and 

fuel systems also emit hazardous air 

pollutants (air toxics) that are associated 

with a host of adverse health effects. 

Emissions from these engines and fuel 

systems also contribute to visibility 

impairment and other welfare and 

environmental effects. 

This section summarizes the general 

health and welfare effects of these 

emissions. Interested readers are 

encouraged to refer to the Final RIA for 

more in-depth discussions. 

A. Public Health Impacts 

Ozone 

The Small SI engine and Marine SI 

engine standards finalized in this action 

will result in reductions of volatile 

organic compounds (VOC), of which HC 

are a subset, and NOX emissions. VOC 

and NOX contribute to the formation of 

ground-level ozone pollution or smog. 

People in many areas across the U.S. 

continue to be exposed to unhealthy 

levels of ambient ozone. 

Background 

Ground-level ozone pollution is 

typically formed by the reaction of VOC 

and NOX in the lower atmosphere in the 

presence of heat and sunlight. These 

pollutants, often referred to as ozone 

precursors, are emitted by many types of 

pollution sources, such as highway and 

nonroad motor vehicles and engines, 

power plants, chemical plants, 

refineries, makers of consumer and 

commercial products, industrial 

facilities, and smaller area sources. 

The science of ozone formation, 

transport, and accumulation is 

complex.8 Ground-level ozone is 

produced and destroyed in a cyclical set 

of chemical reactions, many of which 

are sensitive to temperature and 

sunlight. When ambient temperatures 

and sunlight levels remain high for 

several days and the air is relatively 

stagnant, ozone and its precursors can 

build up and result in more ozone than 

typically occurs on a single hightemperature day. Ozone can be 

transported hundreds of miles 

downwind of precursor emissions, 

resulting in elevated ozone levels even 

in areas with low local VOC or NOX

emissions. 

EPA has recently amended the ozone 

NAAQS (73 FR 16436, March 27, 2008). 

The final ozone NAAQS rule addresses 

revisions to the primary and secondary 

NAAQS for ozone to provide increased 

protection of public health and welfare, 

respectively. With regard to the primary 

standard for ozone, EPA has revised the 

level of the 8-hour standard to 0.075 

parts per million (ppm), expressed to 

three decimal places. With regard to the 

secondary standard for ozone, EPA has 

revised the current 8-hour standard by 

making it identical to the revised 

primary standard. 

Health Effects of Ozone 

The health and welfare effects of 

ozone are well documented and are 

assessed in EPA’s 2006 ozone Air 

Quality Criteria Document (ozone 

AQCD) and EPA Staff Paper.9, 10 Ozone 

can irritate the respiratory system, 

causing coughing, throat irritation, and/ 

or uncomfortable sensation in the chest. 

Ozone can reduce lung function and 

make it more difficult to breathe deeply; 

breathing may also become more rapid 

and shallow than normal, thereby 

limiting a person’s activity. Ozone can 

also aggravate asthma, leading to more 

asthma attacks that require medical 

attention and/or the use of additional 

medication. In addition, there is 

suggestive evidence of a contribution of 

ozone to cardiovascular-related 

morbidity and highly suggestive 

evidence that short-term ozone exposure 

directly or indirectly contributes to nonaccidental and cardiopulmonary-related 

mortality, but additional research is 

needed to clarify the underlying 

mechanisms causing these effects. In a 

recent report on the estimation of ozonerelated premature mortality published 

by the National Research Council (NRC), 

a panel of experts and reviewers 

concluded that short-term exposure to 

ambient ozone is likely to contribute to 

premature deaths and that ozone-related 

mortality should be included in 

estimates of the health benefits of 

reducing ozone exposure.11 Animal 

toxicological evidence indicates that 

with repeated exposure, ozone can 

inflame and damage the lining of the 

lungs, which may lead to permanent 

changes in lung tissue and irreversible 

reductions in lung function. People who 

are more susceptible to effects 

mstockstill on PROD1PC66 with RULES2

59042 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

12A listing of the 8-hour ozone nonattainment 

areas is included in the RIA for this rule. 

13Population numbers are from 2000 census data. 14The Los Angeles South Coast Air Basin 8-hour 

ozone nonattainment area will have to attain before 

June 15, 2021. 

associated with exposure to ozone can 

include children, the elderly, and 

individuals with respiratory disease 

such as asthma. Those with greater 

exposures to ozone, for instance due to 

time spent outdoors (e.g., children and 

outdoor workers), are also of particular 

concern. 

The recent ozone AQCD also 

examined relevant new scientific 

information that has emerged in the past 

decade, including the impact of ozone 

exposure on such health effects as 

changes in lung structure and 

biochemistry, inflammation of the 

lungs, exacerbation and causation of 

asthma, respiratory illness-related 

school absence, hospital admissions and 

premature mortality. Animal 

toxicological studies have suggested 

potential interactions between ozone 

and PM with increased responses 

observed to mixtures of the two 

pollutants compared to either ozone or 

PM alone. The respiratory morbidity 

observed in animal studies along with 

the evidence from epidemiologic studies 

supports a causal relationship between 

acute ambient ozone exposures and 

increased respiratory-related emergency 

room visits and hospitalizations in the 

warm season. In addition, there is 

suggestive evidence of a contribution of 

ozone to cardiovascular-related 

morbidity and non-accidental and 

cardiopulmonary mortality. 

Plant and Ecosystem Effects of Ozone 

Elevated ozone levels contribute to 

environmental effects, with impacts to 

plants and ecosystems being of most 

concern. Ozone can produce both acute 

and chronic injury in sensitive species 

depending on the concentration level 

and the duration of the exposure. Ozone 

effects also tend to accumulate over the 

growing season of the plant, so that even 

low concentrations experienced for a 

longer duration have the potential to 

create chronic stress on vegetation. 

Ozone damage to plants includes visible 

injury to leaves and a reduction in food 

production through impaired 

photosynthesis, both of which can lead 

to reduced crop yields, forestry 

production, and use of sensitive 

ornamentals in landscaping. In addition, 

the reduced food production in plants 

and subsequent reduced root growth 

and storage below ground, can result in 

other, more subtle plant and ecosystems 

impacts. These include increased 

susceptibility of plants to insect attack, 

disease, harsh weather, interspecies 

competition and overall decreased plant 

vigor. The adverse effects of ozone on 

forest and other natural vegetation can 

potentially lead to species shifts and 

loss from the affected ecosystems, 

resulting in a loss or reduction in 

associated ecosystem goods and 

services. Lastly, visible ozone injury to 

leaves can result in a loss of aesthetic 

value in areas of special scenic 

significance like national parks and 

wilderness areas. The final 2006 Criteria 

Document presents more detailed 

information on ozone effects on 

vegetation and ecosystems. 

Current and Projected Ozone Levels 

Ozone concentrations exceeding the 

level of the 1997 8-hour ozone NAAQS 

occur over wide geographic areas, 

including most of the nation’s major 

population centers.12 As of March 12, 

2008, there were approximately 140 

million people living in 72 areas (which 

include all or part of 337 counties) 

designated as not in attainment with the 

1997 8-hour ozone NAAQS.13 These 

numbers do not include the people 

living in areas where there is a future 

risk of failing to maintain or attain the 

8-hour ozone NAAQS. The 1997 ozone 

NAAQS was recently revised and the 

2008 ozone NAAQS was final on March 

12, 2008. Table II–1 presents the 

number of counties in areas currently 

designated as nonattainment for the 

1997 ozone NAAQS as well as the 

number of additional counties that have 

design values greater than the 2008 

ozone NAAQS. 

TABLE II–1—COUNTIES WITH DESIGN VALUES GREATER THAN THE 2008 OZONE NAAQS BASED ON 2004–2006 AIR

QUALITY DATA

Number of 

Counties Population a

1997 Ozone Standard: Counties within the 72 areas currently designated as nonattainment ...................... 337 139,633,458 

2008 Ozone Standard: Additional counties that would not meet the 2008 NAAQSb .................................... 74 15,984,135 

Total .......................................................................................................................................................... 411 155,617,593 

Notes: 

aPopulation numbers are from 2000 census data. 

bAttainment designations for 2008 ozone NAAQS have not yet been made. Nonattainment for the 2008 Ozone NAAQS will be based on three 

years of air quality data from later years. Also, the county numbers in the table include only the counties with monitors violating the 2008 Ozone 

NAAQS. The numbers in this table may be an underestimate of the number of counties and populations that will eventually be included in areas 

with multiple counties designated nonattainment. 

States with 8-hour ozone 

nonattainment areas are required to take 

action to bring those areas into 

compliance in the future. Based on the 

final rule designating and classifying 8- 

hour ozone nonattainment areas (69 FR 

23951, April 30, 2004), most 8-hour 

ozone nonattainment areas will be 

required to attain the 1997 ozone 

NAAQS in the 2007 to 2013 time frame 

and then maintain the NAAQS 

thereafter.14 Many of these 

nonattainment areas will need to adopt 

additional emission reduction programs 

and the VOC and NOX reductions from 

this final action are particularly 

important for these states. The 

attainment dates associated with the 

potential new 2008 ozone 

nonattainment areas are likely to be in 

the 2013 to 2021 timeframe, depending 

on the severity of the problem. 

EPA has already adopted many 

emission control programs that are 

expected to reduce ambient ozone 

levels. Some of these control programs 

are described in Section I.C.1. As a 

result of existing programs, the number 

of areas that fail to meet the ozone 

NAAQS in the future is expected to 

decrease. Based on the air quality 

modeling performed for this rule, which 

does not include any additional local 

controls, we estimate eight counties 

(where 22 million people are projected 

to live) will exceed the 1997 8-hour 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59043 

15We expect many of the 8-hour ozone 

nonattainment areas to adopt additional emission 

reduction programs but we are unable to quantify 

or rely upon future reductions from additional state 

and local programs that have not yet been adopted. 

16Ozone design values are reported in parts per 

million (ppm) as specified in 40 CFR Part 50. Due 

to the scale of the design value changes in this 

action, results have been presented in parts per 

billion (ppb) format. 

17U.S. EPA (2004) Air Quality Criteria for 

Particulate Matter (Oct 2004), Volume I Document 

No. EPA600/P–99/002aF and Volume II Document 

No. EPA600/P–99/002bF. This document is 

available in Docket EPA–HQ–OAR–2003–0190. 

18U.S. EPA (2005) Review of the National 

Ambient Air Quality Standard for Particulate 

Matter: Policy Assessment of Scientific and 

Technical Information, OAQPS Staff Paper. EPA– 

452/R–05–005. This document is available in 

Docket EPA–HQ–OAR–2003–0190. 

19 Dockery, DW; Pope, CA III: Xu, X; et al. 1993. 

An association between air pollution and mortality 

in six U.S. cities. N Engl J Med 329:1753–1759. 

20Pope, C. A., III; Burnett, R. T.; Thun, M. J.; 

Calle, E. E.; Krewski, D.; Ito, K.; Thurston, G. D. 

(2002) Lung cancer, cardiopulmonary mortality, 

and long-term exposure to fine particulate air 

pollution. J. Am. Med. Assoc. 287:1132–1141. 

21Laden, F.; Neas, L.M.; Dockery, D.W.; 

Schwartz, J. (2000) Association of Fine Particulate 

Matter from Different Sources with Daily Mortality 

in Six U.S. Cities. Environmental Health 

Perspectives 108: 941–947. 

22 Janssen, N.A.H.; Schwartz, J.; Zanobetti, A.; 

Suh, H.H. (2002) Air Conditioning and SourceSpecific Particles as Modifiers of the Effect of PM10

on Hospital Admissions for Heart and Lung Disease. 

Environmental Health Perspectives 110: 43–49. 

23Riediker, M.; Cascio, W.E.; Griggs, T.R..; Herbst, 

M.C.; Bromberg, P.A.; Neas, L.; Williams, R.W.; 

Devlin, R.B. (2003) Particulate Matter Exposures in 

Cars is Associated with Cardiovascular Effects in 

Healthy Young Men. Am. J. Respir. Crit. Care Med. 

169: 934–940. 

ozone NAAQS in 2020.15 An additional 

37 counties (where 27 million people 

are projected to live) are expected to be 

within 10 percent of violating the 1997 

8-hour ozone NAAQS in 2020. 

Results from the air quality modeling 

conducted for this final rule indicate 

that the Small SI and Marine SI engine 

emission reductions in 2020 and 2030 

will improve both the average and 

population-weighted average ozone 

concentrations for the U.S. In addition, 

the air quality modeling shows that on 

average this final rule will help bring 

counties closer to ozone attainment as 

well as assist counties whose ozone 

concentrations are within ten percent 

below the standard. For example, on a 

population-weighted basis, the average 

modeled future-year 8-hour ozone 

design values will decrease by 0.57 ppb 

in 2020 and 0.76 ppb in 2030.16 The air 

quality modeling methodology and the 

projected reductions are discussed in 

more detail in Chapter 2 of the RIA. 

Particulate Matter 

The Small SI engine and Marine SI 

engine standards detailed in this action 

will result in reductions in emissions of 

VOCs and NOX which contribute to the 

formation of secondary PM2.5. In 

addition, the standards finalized today 

will reduce primary (directly emitted) 

PM2.5 emissions. 

Background 

PM represents a broad class of 

chemically and physically diverse 

substances. It can be principally 

characterized as discrete particles that 

exist in the condensed (liquid or solid) 

phase spanning several orders of 

magnitude in size. PM is further 

described by breaking it down into size 

fractions. PM10 refers to particles 

generally less than or equal to 10 

micrometers (m) in aerodynamic 

diameter. PM2.5 refers to fine particles, 

generally less than or equal to 2.5 in 

aerodynamic diameter. Inhalable (or 

‘‘thoracic’’) coarse particles refer to 

those particles generally greater than 2.5 

μm but less than or equal to 10 μm in 

aerodynamic diameter. Ultrafine PM 

refers to particles less than 100 

nanometers (0.1 μm) in aerodynamic 

diameter. Larger particles tend to be 

removed by the respiratory clearance 

mechanisms (e.g. coughing), whereas 

smaller particles are deposited deeper in 

the lungs. 

Fine particles are produced primarily 

by combustion processes and by 

transformations of gaseous emissions 

(e.g., SOX, NOX and VOC) in the 

atmosphere. The chemical and physical 

properties of PM2.5 may vary greatly 

with time, region, meteorology, and 

source category. Thus, PM2.5 may 

include a complex mixture of different 

pollutants including sulfates, nitrates, 

organic compounds, elemental carbon 

and metal compounds. These particles 

can remain in the atmosphere for days 

to weeks and travel hundreds to 

thousands of kilometers. 

The primary PM2.5 NAAQS includes a 

short-term (24-hour) and a long-term 

(annual) standard. The 1997 PM2.5

NAAQS established by EPA set the 24- 

hour standard at a level of 65μg/m3

based on the 98th percentile 

concentration averaged over three years. 

The annual standard specifies an 

expected annual arithmetic mean not to 

exceed 15μg/m3 averaged over three 

years. 

In 2006, EPA amended the NAAQS 

for PM2.5 (71 FR 61144, October 17, 

2006). The final rule addressed 

revisions to the primary and secondary 

NAAQS for PM to provide increased 

protection of public health and welfare, 

respectively. The level of the 24-hour 

PM2.5 NAAQS was revised from 65μg/ 

m3 to 35 μg/m3 and the level of the 

annual PM2.5 NAAQS was retained at 

15μg/m3. With regard to the secondary 

standards for PM2.5, EPA has revised 

these standards to be identical in all 

respects to the revised primary 

standards. 

Health Effects of PM2.5

Scientific studies show ambient PM is 

associated with a series of adverse 

health effects. These health effects are 

discussed in detail in the 2004 EPA 

Particulate Matter Air Quality Criteria 

Document (PM AQCD), and the 2005 

PM Staff Paper.17 18 Further discussion 

of health effects associated with PM can 

also be found in the RIA for this rule. 

Health effects associated with shortterm exposures (hours to days) to 

ambient PM include premature 

mortality, increased hospital 

admissions, heart and lung diseases, 

increased cough, adverse lowerrespiratory symptoms, decrements in 

lung function and changes in heart rate 

rhythm and other cardiac effects. 

Studies examining populations exposed 

to different levels of air pollution over 

a number of years, including the 

Harvard Six Cities Study and the 

American Cancer Society Study, show 

associations between long-term 

exposure to ambient PM2.5 and both 

total and cardiovascular and respiratory 

mortality.19 In addition, a reanalysis of 

the American Cancer Society Study 

shows an association between fine 

particle and sulfate concentrations and 

lung cancer mortality.20

Recently, several studies have 

highlighted the adverse effects of PM 

specifically from mobile sources.21 22

Studies have also focused on health 

effects due to PM exposures on or near 

roadways.23 Although these studies 

include all air pollution sources, 

including both spark-ignition (gasoline) 

and diesel powered vehicles, they 

indicate that exposure to PM emissions 

near roadways, thus dominated by 

mobile sources, are associated with 

health effects. The controls finalized in 

this action may help to reduce 

exposures, and specifically exposures 

near the source, to mobile source related 

PM2.5. 

Visibility 

Visibility can be defined as the degree 

to which the atmosphere is transparent 

to visible light. Airborne particles 

degrade visibility by scattering and 

absorbing light. Visibility is important 

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, where they 

live and work and in places where they 

enjoy recreational opportunities. 

mstockstill on PROD1PC66 with RULES2

59044 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

24U.S. EPA (2004) Air Quality Criteria for 

Particulate Matter (Oct 2004), Volume I Document 

No. EPA600/P–99/002aF and Volume II Document 

No. EPA600/P–99/002bF. This document is 

available in Docket EPA–HQ–OAR–2003–0190. 

25U.S. EPA (2005) Review of the National 

Ambient Air Quality Standard for Particulate 

Matter: Policy Assessment of Scientific and 

Technical Information, OAQPS Staff Paper. EPA– 

452/R–05–005. This document is available in 

Docket EPA–HQ–OAR–2003–0190. 

26These areas are defined in section 162 of the 

Act as those national parks exceeding 6,000 acres, 

wilderness areas and memorial parks exceeding 

5,000 acres, and all international parks which were 

in existence on August 7, 1977. 

27Population numbers are from 2000 census data. 

28U.S. EPA (2002) Latest Findings on National 

Air Quality—2002 Status and Trends. EPA 454/K– 

03–001. 

29U.S. EPA, Air Quality Designations and 

Classifications for the Fine Particles (PM2.5) 

National Ambient Air Quality Standards, December 

17, 2004. (70 FR 943, Jan 5. 2005) This document 

is also available on the web at: http://www.epa.gov/ 

pmdesignations/ 

30U.S. EPA. Regional Haze Regulations, July 1, 

1999. (64 FR 35714, July 1, 1999). 

31U.S. EPA (2000) Deposition of Air Pollutants to 

the Great Waters: Third Report to Congress. Office 

of Air Quality Planning and Standards. EPA–453/ 

R–00–0005. This document is available in Docket 

EPA–HQ–OAR–2003–0190. 

32U.S. EPA (2004) National Coastal Condition 

Report II. Office of Research and Development/ 

Office of Water. EPA–620/R–03/002. This document 

is available in Docket EPA–HQ–OAR–2003–0190. 33 Gao, Y., E.D. Nelson, M.P. Field, et al. 2002. 

Characterization of atmospheric trace elements on 

PM2.5 particulate matter over the New York-New 

Jersey harbor estuary. Atmos. Environ. 36: 1077– 

1086. 34 Kim, G., N. Hussain, J.R. Scudlark, and T.M. 

Church. 2000. Factors influencing the atmospheric 

depositional fluxes of stable Pb, 210Pb, and 7Be 

into Chesapeake Bay. J. Atmos. Chem. 36: 65–79. 

35Lu, R., R.P. Turco, K. Stolzenbach, et al. 2003. 

Dry deposition of airborne trace metals on the Los 

Angeles Basin and adjacent coastal waters. J. 

Geophys. Res. 108(D2, 4074): AAC 11–1 to 11–24. 

36Marvin, C.H., M.N. Charlton, E.J. Reiner, et al. 

2002. Surficial sediment contamination in Lakes 

Erie and Ontario: A comparative analysis. J. Great 

Lakes Res. 28(3): 437–450. 

37U.S EPA (2005) Review of the National 

Ambient Air Quality Standards for Particulate 

Matter: Policy Assessment of Scientific and 

Technical Information, OAQPS Staff Paper. This 

document is available in Docket EPA–HQ–OAR– 

2003–0190. 

Visibility is also highly valued in 

significant natural areas such as 

national parks and wilderness areas and 

special emphasis is given to protecting 

visibility in these areas. For more 

information on visibility, see the final 

2004 PM AQCD as well as the 2005 PM 

Staff Paper.24 25

EPA is pursuing a two-part strategy to 

address visibility. First, to address the 

welfare effects of PM on visibility, EPA 

has set secondary PM2.5 standards 

which act in conjunction with the 

establishment of a regional haze 

program. In setting this secondary 

standard, EPA has concluded that PM2.5

causes adverse effects on visibility in 

various locations, depending on PM 

concentrations and factors such as 

chemical composition and average 

relative humidity. Second, section 169 

of the Clean Air Act provides additional 

authority to address existing visibility 

impairment and prevent future visibility 

impairment in the 156 national parks, 

forests and wilderness areas categorized 

as mandatory class I federal areas (62 FR 

38680–81, July 18, 1997).26 In July 1999, 

the regional haze rule (64 FR 35714) was 

put in place to protect the visibility in 

mandatory class I federal areas. 

Visibility can be said to be impaired in 

both PM2.5 nonattainment areas and 

mandatory class I federal areas. 

Current Visibility Impairment 

As of March 12, 2008, over 88 million 

people live in nonattainment areas for 

the 1997 PM2.5 NAAQS.27 These 

populations, as well as large numbers of 

individuals who travel to these areas, 

are likely to experience visibility 

impairment. In addition, while visibility 

trends have improved in mandatory 

class I federal areas the most recent data 

show that these areas continue to suffer 

from visibility impairment.28 In 

summary, visibility impairment is 

experienced throughout the U.S., in 

multi-state regions, urban areas, and 

remote mandatory class I federal 

areas.29 30

Future Visibility Impairment 

Air quality modeling conducted for 

this final rule was used to project 

visibility conditions in 133 mandatory 

class I federal areas across the U.S. in 

2020 and 2030. The results indicate that 

improvements in visibility will occur in 

the future, although all areas will 

continue to have annual average 

deciview levels above background in 

2020 and 2030. Chapter 2 of the RIA 

contains more detail on the visibility 

portion of the air quality modeling. 

Atmospheric Deposition 

Wet and dry deposition of ambient 

particulate matter delivers a complex 

mixture of metals (e.g., mercury, zinc, 

lead, nickel, aluminum, cadmium), 

organic compounds (e.g., POM, dioxins, 

furans) and inorganic compounds (e.g., 

nitrate, sulfate) to terrestrial and aquatic 

ecosystems. The chemical form of the 

compounds deposited is impacted by a 

variety of factors including ambient 

conditions (e.g., temperature, humidity, 

oxidant levels) and the sources of the 

material. Chemical and physical 

transformations of the particulate 

compounds occur in the atmosphere as 

well as the media onto which they 

deposit. These transformations in turn 

influence the fate, bioavailability and 

potential toxicity of these compounds. 

Atmospheric deposition has been 

identified as a key component of the 

environmental and human health 

hazard posed by several pollutants 

including mercury, dioxin and PCBs.31

Adverse impacts on water quality can 

occur when atmospheric contaminants 

deposit to the water surface or when 

material deposited on the land enters a 

water body through runoff. Potential 

impacts of atmospheric deposition to 

water bodies include those related to 

both nutrient and toxic inputs. Adverse 

effects to human health and welfare can 

occur from the addition of excess 

particulate nitrate nutrient enrichment, 

which contributes to toxic algae blooms 

and zones of depleted oxygen, which 

can lead to fish kills, frequently in 

coastal waters. Particles contaminated 

with heavy metals or other toxins may 

lead to the ingestion of contaminated 

fish, ingestion of contaminated water, 

damage to the marine ecology, and 

limited recreational uses. Several 

studies have been conducted in U.S. 

coastal waters and in the Great Lakes 

Region in which the role of ambient PM 

deposition and runoff is 

investigated.32 33 34 35 36

Adverse impacts on soil chemistry 

and plant life have been observed for 

areas heavily impacted by atmospheric 

deposition of nutrients, metals and acid 

species, resulting in species shifts, loss 

of biodiversity, forest decline and 

damage to forest productivity. Potential 

impacts also include adverse effects to 

human health through ingestion of 

contaminated vegetation or livestock (as 

in the case for dioxin deposition), 

reduction in crop yield, and limited use 

of land due to contamination. 

Materials Damage and Soiling 

The deposition of airborne particles 

can reduce the aesthetic appeal of 

buildings and culturally important 

articles through soiling, and can 

contribute directly (or in conjunction 

with other pollutants) to structural 

damage by means of corrosion or 

erosion.37 Particles affect materials 

principally by promoting and 

accelerating the corrosion of metals, by 

degrading paints, and by deteriorating 

building materials such as concrete and 

limestone. Particles contribute to these 

effects because of their electrolytic, 

hygroscopic, and acidic properties, and 

their ability to adsorb corrosive gases 

(principally sulfur dioxide). The rate of 

metal corrosion depends on a number of 

factors, including the deposition rate 

and nature of the pollutant; the 

influence of the metal protective 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59045 

38A listing of the PM2.5 nonattainment areas is 

included in the RIA for this rule. 

39Baldauf, R.; Fortune, C.; Weinstein, J.; Wheeler, 

M.; Blanchard, B. (2006) Air contaminant exposures 

during the operation of lawn and garden 

equipment. J Expos Sci Environ Epidmeiol 16: 362– 

370. 

40 Isbell, M.; Ricker, J.; Gordian, M.E.; Duff, L.K. 

(1999) Use of biomarkers in an indoor air study: 

lack of correlation between aromatic VOCs with 

respective urinary biomarkers. Sci Total Environ 

241: 151–159. 

41U.S. EPA. 2000. Integrated Risk Information 

System File for Benzene. This material is available 

electronically at http://www.epa.gov/iris/subst/ 

0276.htm. 

42 International Agency for Research on Cancer 

(IARC). 1982. Monographs on the evaluation of 

carcinogenic risk of chemicals to humans, Volume 

29, Some industrial chemicals and dyestuffs, World 

Health Organization, Lyon, France, p. 345–389. 

43 Irons, R.D.; Stillman, W.S.; Colagiovanni, D.B.; 

Henry, V.A. 1992. Synergistic action of the benzene 

metabolite hydroquinone on myelopoietic 

stimulating activity of granulocyte/macrophage 

colony-stimulating factor in vitro, Proc. Natl. Acad. 

Sci. 89:3691–3695. 

corrosion film; the amount of moisture 

present; variability in the 

electrochemical reactions; the presence 

and concentration of other surface 

electrolytes; and the orientation of the 

metal surface. 

Current and Projected PM2.5 Levels 

PM2.5 concentrations exceeding the 

level of the PM2.5 NAAQS occur in 

many parts of the country.38 In 2005 

EPA designated 39 nonattainment areas 

for the 1997 PM2.5 NAAQS (70 FR 943, 

January 5, 2005). These areas are 

comprised of 208 full or partial counties 

with a total population exceeding 88 

million. The 1997 PM2.5 NAAQS was 

revised and the 2006 PM2.5 NAAQS 

became effective on December 18, 2006. 

Table II–2 presents the number of 

counties in areas currently designated as 

nonattainment for the 1997 PM2.5

NAAQS as well as the number of 

additional counties that have design 

values greater than the 2006 PM2.5

NAAQS. 

TABLE II–2—COUNTIES WITH DESIGN VALUES GREATER THAN THE 2006 PM2.5 NAAQS BASED ON 2003–2005 

AIR QUALITY DATA

Nonattainment areas/other violating counties Number of 

counties Population a

1997 PM2.5 Standards: Counties within the 39 areas currently designated as nonattainment ...................... 208 88,394,000 

2006 PM2.5 Standards: Additional counties that would not meet the 2006 NAAQSb .................................... 49 18,198,676 

Total .......................................................................................................................................................... 257 106,595,676 

Notes: 

aPopulation numbers are from 2000 census data. 

bAttainment designations for 2006 PM2.5 NAAQS have not yet been made. Nonattainment for the 2006 PM2.5 NAAQS will be based on 3 years 

of air quality data from later years. Also, the county numbers in the table includes only the counties with monitors violating the 2006 PM2.5

NAAQS. The numbers in this table may be an underestimate of the number of counties and populations that will eventually be included in areas 

with multiple counties designated nonattainment. 

Areas designated as not attaining the 

1997 PM2.5 NAAQS will need to attain 

the 1997 standards in the 2010 to 2015 

time frame, and then maintain them 

thereafter. The attainment dates 

associated with the potential new 2006 

PM2.5 nonattainment areas are likely to 

be in the 2014 to 2019 timeframe. The 

emission standards finalized in this 

action become effective as early as 2009 

making the inventory reductions from 

this rulemaking useful to states in 

attaining or maintaining the PM2.5

NAAQS. 

EPA has already adopted many 

emission control programs that are 

expected to reduce ambient PM2.5 levels 

and which will assist in reducing the 

number of areas that fail to achieve the 

PM2.5 NAAQS. Even so, our air quality 

modeling for this final rule projects that 

in 2020, with all current controls but 

excluding the reductions achieved 

through this rule, up to 11 counties with 

a population of over 24 million may not 

attain the current annual PM2.5 standard 

of 15 μg/m3. These numbers do not 

account for additional areas that have 

air quality measurements within 10 

percent of the annual PM2.5 standard. 

These areas, although not violating the 

standards, will also benefit from the 

additional reductions from this rule 

ensuring long term maintenance of the 

PM2.5 NAAQS. 

Air quality modeling performed for 

this final rule shows the emissions 

reductions will improve both the 

average and population-weighted 

average PM2.5 concentrations for the 

U.S. On a population-weighted basis, 

the average modeled future-year annual 

PM2.5 design value (DV) for all counties 

is expected to decrease by 0.02 μg/m3 in 

2020 and 2030. There are areas with 

larger decreases in their future-year 

annual PM2.5 DV, for instance the 

Chicago region will experience a 0.08 

μ g/m3 reduction by 2030. The air 

quality modeling methodology and the 

projected reductions are discussed in 

more detail in Chapter 2 of the RIA. 

B. Air Toxics 

Small SI and Marine SI emissions also 

contribute to ambient levels of air toxics 

known or suspected as human or animal 

carcinogens, or that have noncancer 

health effects. These air toxics include 

benzene, 1, 3-butadiene, formaldehyde, 

acetaldehyde, acrolein, polycyclic 

organic matter (POM), and naphthalene. 

All of these compounds, except 

acetaldehyde, were identified as 

national or regional cancer risk or 

noncancer hazard drivers in the 1999 

National-Scale Air Toxics Assessment 

(NATA) and have significant inventory 

contributions from mobile sources. That 

is, for a significant portion of the 

population, these compounds pose a 

significant portion of the total cancer 

and noncancer risk from breathing 

outdoor air toxics. In addition, human 

exposure to toxics from spark-ignition 

engines also occurs as a result of 

operating these engines and from 

intrusion of emissions in residential 

garages into attached indoor spaces.39 40

The emission reductions from Small SI 

and Marine SI engines that are finalized 

in this rulemaking will help reduce 

exposure to these harmful substances. 

Benzene: The EPA’s IRIS database 

lists benzene as a known human 

carcinogen (causing leukemia) by all 

routes of exposure, and concludes that 

exposure is associated with additional 

health effects, including genetic changes 

in both humans and animals and 

increased proliferation of bone marrow 

cells in mice.41 42 43 EPA states in its 

IRIS database that data indicate a causal 

relationship between benzene exposure 

and acute lymphocytic leukemia and 

suggest a relationship between benzene 

exposure and chronic non-lymphocytic 

mstockstill on PROD1PC66 with RULES2

59046 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

44 International Agency for Research on Cancer 

(IARC). 1987. Monographs on the evaluation of 

carcinogenic risk of chemicals to humans, Volume 

29, Supplement 7, Some industrial chemicals and 

dyestuffs, World Health Organization, Lyon, France. 

45U.S. Department of Health and Human Services 

National Toxicology Program 11th Report on 

Carcinogens available at: http://ntp.niehs.nih.gov/ 

go/16183. 

46Aksoy, M. (1989). Hematotoxicity and 

carcinogenicity of benzene. Environ. Health 

Perspect. 82: 193–197. 

47 Goldstein, B.D. (1988). Benzene toxicity. 

Occupational medicine. State of the Art Reviews. 3: 

541–554. 

48Rothman, N., G.L. Li, M. Dosemeci, W.E. 

Bechtold, G.E. Marti, Y.Z. Wang, M. Linet, L.Q. Xi, 

W. Lu, M.T. Smith, N. Titenko-Holland, L.P. Zhang, 

W. Blot, S.N. Yin, and R.B. Hayes (1996) 

Hematotoxicity among Chinese workers heavily 

exposed to benzene. Am. J. Ind. Med. 29: 236–246. 

49U.S. EPA (2002) Toxicological Review of 

Benzene (Noncancer Effects). Environmental 

Protection Agency, Integrated Risk Information 

System (IRIS), Research and Development, National 

Center for Environmental Assessment, Washington 

DC. This material is available electronically at 

http://www.epa.gov/iris/subst/0276.htm. 

50Qu, O.; Shore, R.; Li, G.; Jin, X.; Chen, C.L.; 

Cohen, B.; Melikian, A.; Eastmond, D.; Rappaport, 

S.; Li, H.; Rupa, D.; Suramaya, R.; Songnian, W.; 

Huifant, Y.; Meng, M.; Winnik, M.; Kwok, E.; Li, Y.; 

Mu, R.; Xu, B.; Zhang, X.; Li, K. (2003) HEI Report 

115, Validation & Evaluation of Biomarkers in 

Workers Exposed to Benzene in China. 

51Qu, Q., R. Shore, G. Li, X. Jin, L.C. Chen, B. 

Cohen, et al. (2002) Hematological changes among 

Chinese workers with a broad range of benzene 

exposures. Am. J. Industr. Med. 42: 275–285. 

52Lan, Qing, Zhang, L., Li, G., Vermeulen, R., et 

al. (2004) Hematotoxically in Workers Exposed to 

Low Levels of Benzene. Science 306: 1774–1776. 

53Turtletaub, K.W. and Mani, C. (2003) Benzene 

metabolism in rodents at doses relevant to human 

exposure from Urban Air. Research Reports Health 

Effect Inst. Report No.113. 

54U.S. EPA (2002) Health Assessment of 1,3- 

Butadiene. Office of Research and Development, 

National Center for Environmental Assessment, 

Washington Office, Washington, DC. Report No. 

EPA600–P–98–001F. This document is available 

electronically at http://www.epa.gov/iris/supdocs/ 

buta-sup.pdf. 

55U.S. EPA (2002) Full IRIS Summary for 1,3- 

butadiene (CASRN 106–99–0). Environmental 

Protection Agency, Integrated Risk Information 

System (IRIS), Research and Development, National 

Center for Environmental Assessment, Washington, 

DC http://www.epa.gov/iris/subst/0139.htm. 

56 International Agency for Research on Cancer 

(IARC) (1999) Monographs on the evaluation of 

carcinogenic risk of chemicals to humans, Volume 

71, Re-evaluation of some organic chemicals, 

hydrazine and hydrogen peroxide and Volume 97 

(in preparation), World Health Organization, Lyon, 

France. 

57U.S. Department of Health and Human Services 

(2005) National Toxicology Program 11th Report on 

Carcinogens available at: ntp.niehs.nih.gov/ 

index.cfm?objectid=32BA9724-F1F6-975E7FCE50709CB4C932. 

58Bevan, C.; Stadler, J.C.; Elliot, G.S.; et al. (1996) 

Subchronic toxicity of 4-vinylcyclohexene in rats 

and mice by inhalation. Fundam. Appl. Toxicol. 

32:1–10. 

59U.S. EPA (1987) Assessment of Health Risks to 

Garment Workers and Certain Home Residents from 

Exposure to Formaldehyde, Office of Pesticides and 

Toxic Substances, April 1987. 

60Hauptmann, M.; Lubin, J. H.; Stewart, P. A.; 

Hayes, R. B.; Blair, A. 2003. Mortality from 

lymphohematopoetic malignancies among workers 

in formaldehyde industries. Journal of the National 

Cancer Institute 95: 1615–1623. 61Hauptmann, M.; Lubin, J. H.; Stewart, P. A.; 

Hayes, R. B.; Blair, A. 2004. Mortality from solid 

cancers among workers in formaldehyde industries. 

American Journal of Epidemiology 159: 1117–1130. 62Pinkerton, L. E. 2004. Mortality among a cohort 

of garment workers exposed to formaldehyde: an 

update. Occup. Environ. Med. 61: 193–200. 63Coggon, D, EC Harris, J Poole, KT Palmer. 2003. 

Extended follow-up of a cohort of British chemical 

workers exposed to formaldehyde. J National 

Cancer Inst. 95:1608–1615. 64 International Agency for Research on Cancer 

(IARC). 2006. Formaldehyde, 2-Butoxyethanol and 

1-tert-Butoxypropan-2-ol. Volume 88. (in 

preparation), World Health Organization, Lyon, 

France. 65Agency for Toxic Substances and Disease 

Registry (ATSDR). 1999. Toxicological profile for 

Formaldehyde. Atlanta, GA: U.S. Department of 

Health and Human Services, Public Health Service. 

http://www.atsdr.cdc.gov/toxprofiles/tp111.html 66WHO (2002) Concise International Chemical 

Assessment Document 40: Formaldehyde. 

Published under the joint sponsorship of the United 

Nations Environment Programme, the International 

Labour Organization, and the World Health 

Organization, and produced within the framework 

of the Inter-Organization Programme for the Sound 

Management of Chemicals. Geneva. 67U.S. EPA. 191. Integrated Risk Information 

System File of Acetaldehyde. Research and 

Development, National Center for Environmental 

Assessment, Washington, DC. This material is 

available electronically at http://www.epa.gov/iris/ 

subst/0290.htm. 

leukemia and chronic lymphocytic 

leukemia. The International Agency for 

Research on Carcinogens (IARC) has 

determined that benzene is a human 

carcinogen and the U.S. Department of 

Health and Human Services (DHHS) has 

characterized benzene as a known 

human carcinogen.44 45

A number of adverse noncancer 

health effects including blood disorders, 

such as preleukemia and aplastic 

anemia, have also been associated with 

long-term exposure to benzene.46 47 The 

most sensitive noncancer effect 

observed in humans, based on current 

data, is the depression of the absolute 

lymphocyte count in blood.48 49 In 

addition, recent work, including studies 

sponsored by the Health Effects Institute 

(HEI), provides evidence that 

biochemical responses are occurring at 

lower levels of benzene exposure than 

previously known.50 51 52 53 EPA’s IRIS 

program has not yet evaluated these 

new data. 

1,3-Butadiene: EPA has characterized 

1,3-butadiene as carcinogenic to 

humans by inhalation.54 55 The IARC has 

determined that 1,3-butadiene is a 

human carcinogen and the U.S. DHHS 

has characterized 1,3-butadiene as a 

known human carcinogen.56 57 There are 

numerous studies consistently 

demonstrating that 1,3-butadiene is 

metabolized into genotoxic metabolites 

by experimental animals and humans. 

The specific mechanisms of 1,3- 

butadiene-induced carcinogenesis are 

unknown; however, the scientific 

evidence strongly suggests that the 

carcinogenic effects are mediated by 

genotoxic metabolites. Animal data 

suggest that females may be more 

sensitive than males for cancer effects 

associated with 1,3-butadiene exposure; 

there are insufficient data in humans 

from which to draw conclusions about 

sensitive subpopulations. 1,3-butadiene 

also causes a variety of reproductive and 

developmental effects in mice; no 

human data on these effects are 

available. The most sensitive effect was 

ovarian atrophy observed in a lifetime 

bioassay of female mice.58

Formaldehyde: Since 1987, EPA has 

classified formaldehyde as a probable 

human carcinogen based on evidence in 

humans and in rats, mice, hamsters, and 

monkeys.59 EPA is currently reviewing 

recently published epidemiological 

data. For instance, research conducted 

by the National Cancer Institute (NCI) 

found an increased risk of 

nasopharyngeal cancer and 

lymphohematopoietic malignancies 

such as leukemia among workers 

exposed to formaldehyde.60 61 NCI is 

currently performing an update of these 

studies. A recent National Institute of 

Occupational Safety and Health 

(NIOSH) study of garment workers also 

found increased risk of death due to 

leukemia among workers exposed to 

formaldehyde.62 Extended follow-up of 

a cohort of British chemical workers did 

not find evidence of an increase in 

nasopharyngeal or 

lymphohematopoietic cancers, but a 

continuing statistically significant 

excess in lung cancers was reported.63

Recently, the IARC re-classified 

formaldehyde as a human carcinogen 

(Group 1).64

Formaldehyde exposure also causes a 

range of noncancer health effects, 

including irritation of the eyes (burning 

and watering of the eyes), nose and 

throat. Effects from repeated exposure in 

humans include respiratory tract 

irritation, chronic bronchitis and nasal 

epithelial lesions such as metaplasia 

and loss of cilia. Animal studies suggest 

that formaldehyde may also cause 

airway inflammation—including 

eosinophil infiltration into the airways. 

There are several studies that suggest 

that formaldehyde may increase the risk 

of asthma—particularly in the 

young.65 66

Acetaldehyde: Acetaldehyde is 

classified in EPA’s IRIS database as a 

probable human carcinogen, based on 

nasal tumors in rats, and is considered 

toxic by the inhalation, oral, and 

intravenous routes.67 Acetaldehyde is 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59047 

68U.S. Department of Health and Human Services 

National Toxicology Program 11th Report on 

Carcinogens available at: ntp.niehs.nih.gov/ 

index.cfm?objectid=32BA9724-F1F6-975E7FCE50709CB4C932. 

69 International Agency for Research on Cancer 

(IARC). 1999. Re-evaluation of some organic 

chemicals, hydrazine, and hydrogen peroxide. IARC 

Monographs on the Evaluation of Carcinogenic Risk 

of Chemical to Humans, Vol 71. Lyon, France. 

70U.S. EPA. 1991. Integrated Risk Information 

System File of Acetaldehyde. This material is 

available electronically at http://www.epa.gov/iris/ 

subst/0290.htm. 

71Appleman, L. M., R. A. Woutersen, V. J. Feron, 

R. N. Hooftman, and W. R. F. Notten. 1986. Effects 

of the variable versus fixed exposure levels on the 

toxicity of acetaldehyde in rats. J. Appl. Toxicol. 6: 

331–336. 

72Appleman, L.M., R.A. Woutersen, and V.J. 

Feron. 1982. Inhalation toxicity of acetaldehyde in 

rats. I. Acute and subacute studies. Toxicology. 23: 

293–297. 

73Myou, S.; Fujimura, M.; Nishi K.; Ohka, T.; and 

Matsuda, T. 1993. Aerosolized acetaldehyde 

induces histamine-mediated bronchoconstriction in 

asthmatics. Am. Rev. Respir.Dis.148(4 Pt 1): 940–3. 

74U.S. EPA. 2003. Integrated Risk Information 

System File of Acrolein. Research and 

Development, National Center for Environmental 

Assessment, Washington, DC. This material is 

available at http://www.epa.gov/iris/subst/ 

0364.htm. 

75 International Agency for Research on Cancer 

(IARC). 1995. Monographs on the evaluation of 

carcinogenic risk of chemicals to humans, Volume 

63, Dry cleaning, some chlorinated solvents and 

other industrial chemicals, World Health 

Organization, Lyon, France. 

76Weber-Tschopp, A; Fischer, T; Gierer, R; et al. 

(1977) Experimentelle reizwirkungen von Acrolein 

auf den Menschen. Int Arch Occup Environ Hlth 

40(2):117–130. In German. 

77Sim, VM; Pattle, RE. (1957) Effect of possible 

smog irritants on human subjects. J Am Med Assoc 

165(15):1908–1913. 

78Morris JB, Symanowicz PT, Olsen JE, et al. 

2003. Immediate sensory nerve-mediated 

respiratory responses to irritants in healthy and 

allergic airway-diseased mice. J Appl Physiol 

94(4):1563–1571. 

79Sim VM, Pattle RE. Effect of possible smog 

irritants on human subjects JAMA165: 1980–2010, 

1957. 

80Perera, F.P.; Rauh, V.; Tsai, W–Y.; et al. (2002) 

Effect of transplacental exposure to environmental 

pollutants on birth outcomes in a multiethnic 

population. Environ Health Perspect. 111: 201–205. 

81Perera, F.P.; Rauh, V.; Whyatt, R.M.; Tsai, W.Y.; 

Tang, D.; Diaz, D.; Hoepner, L.; Barr, D.; Tu, Y.H.; 

Camann, D.; Kinney, P. (2006) Effect of prenatal 

exposure to airborne polycyclic aromatic 

hydrocarbons on neurodevelopment in the first 3 

years of life among inner-city children. Environ 

Health Perspect 114: 1287–1292. 

82U.S. EPA (2004) Toxicological Review of 

Naphthalene (Reassessment of the Inhalation 

Cancer Risk), Environmental Protection Agency, 

Integrated Risk Information System, Research and 

Development, National Center for Environmental 

Assessment, Washington, DC. This material is 

available electronically at http://www.epa.gov/iris/ 

subst/0436.htm. 

83Oak Ridge Institute for Science and Education 

(2004) External Peer Review for the IRIS 

Reassessment of the Inhalation Carcinogenicity of 

Naphthalene. August 2004. http://cfpub.epa.gov/ 

ncea/cfm/recordisplay.cfm?deid=84403. 

84National Toxicology Program (NTP). (2004). 

11th Report on Carcinogens. Public Health Service, 

U.S. Department of Health and Human Services, 

Research Triangle Park, NC. Available from: 

http://ntp-server.niehs.nih.gov. 

85 International Agency for Research on Cancer 

(IARC) (2002) Monographs on the Evaluation of the 

Carcinogenic Risk of Chemicals for Humans. Vol. 

82. Lyon, France. 

reasonably anticipated to be a human 

carcinogen by the U.S. DHHS in the 

11th Report on Carcinogens and is 

classified as possibly carcinogenic to 

humans (Group 2B) by the IARC.68 69

EPA is currently conducting a 

reassessment of cancer risk from 

inhalation exposure to acetaldehyde. 

The primary noncancer effects of 

exposure to acetaldehyde vapors 

include irritation of the eyes, skin, and 

respiratory tract.70 In short-term (4 

week) rat studies, degeneration of 

olfactory epithelium was observed at 

various concentration levels of 

acetaldehyde exposure.71 72 Data from 

these studies were used by EPA to 

develop an inhalation reference 

concentration. Some asthmatics have 

been shown to be a sensitive 

subpopulation to decrements in 

functional expiratory volume (FEV1 

test) and bronchoconstriction upon 

acetaldehyde inhalation.73 The agency 

is currently conducting a reassessment 

of the health hazards from inhalation 

exposure to acetaldehyde. 

Acrolein: EPA determined in 2003 

that the human carcinogenic potential of 

acrolein could not be determined 

because the available data were 

inadequate. No information was 

available on the carcinogenic effects of 

acrolein in humans and the animal data 

provided inadequate evidence of 

carcinogenicity.74 The IARC determined 

in 1995 that acrolein was not 

classifiable as to its carcinogenicity in 

humans.75

Acrolein is extremely acrid and 

irritating to humans when inhaled, with 

acute exposure resulting in upper 

respiratory tract irritation, mucus 

hypersecretion and congestion. Levels 

considerably lower than 1 ppm (2.3 mg/ 

m3) elicit subjective complaints of eye 

and nasal irritation and a decrease in 

the respiratory rate.76 77 Lesions to the 

lungs and upper respiratory tract of rats, 

rabbits, and hamsters have been 

observed after subchronic exposure to 

acrolein. Based on animal data, 

individuals with compromised 

respiratory function (e.g., emphysema, 

asthma) are expected to be at increased 

risk of developing adverse responses to 

strong respiratory irritants such as 

acrolein. This was demonstrated in mice 

with allergic airway-disease by 

comparison to non-diseased mice in a 

study of the acute respiratory irritant 

effects of acrolein.78

EPA is currently in the process of 

conducting an assessment of acute 

exposure effects for acrolein. The 

intense irritancy of this carbonyl has 

been demonstrated during controlled 

tests in human subjects, who suffer 

intolerable eye and nasal mucosal 

sensory reactions within minutes of 

exposure.79

Polycyclic Organic Matter (POM): 

POM is generally defined as a large class 

of organic compounds which have 

multiple benzene rings and a boiling 

point greater than 100 degrees Celsius. 

Many of the compounds included in the 

class of compounds known as POM are 

classified by EPA as probable human 

carcinogens based on animal data. One 

of these compounds, naphthalene, is 

discussed separately below. Polycyclic 

aromatic hydrocarbons (PAHs) are a 

subset of POM that contain only 

hydrogen and carbon atoms. A number 

of PAHs are known or suspected 

carcinogens. Recent studies have found 

that maternal exposures to PAHs (a 

subclass of POM) in a population of 

pregnant women were associated with 

several adverse birth outcomes, 

including low birth weight and reduced 

length at birth, as well as impaired 

cognitive development at age three.80 81

EPA has not yet evaluated these recent 

studies. 

Naphthalene: Naphthalene is found in 

small quantities in gasoline and diesel 

fuels. Naphthalene emissions have been 

measured in larger quantities in both 

gasoline and diesel exhaust compared 

with evaporative emissions from mobile 

sources, indicating it is primarily a 

product of combustion. EPA recently 

released an external review draft of a 

reassessment of the inhalation 

carcinogenicity of naphthalene based on 

a number of recent animal 

carcinogenicity studies.82 The draft 

reassessment recently completed 

external peer review.83 Based on 

external peer review comments received 

to date, additional analyses are being 

undertaken. This external review draft 

does not represent official agency 

opinion and was released solely for the 

purposes of external peer review and 

public comment. Once EPA evaluates 

public and peer reviewer comments, the 

document will be revised. The National 

Toxicology Program listed naphthalene 

as ‘‘reasonably anticipated to be a 

human carcinogen’’ in 2004 on the basis 

of bioassays reporting clear evidence of 

carcinogenicity in rats and some 

evidence of carcinogenicity in mice.84

California EPA has released a new risk 

assessment for naphthalene, and the 

IARC has reevaluated naphthalene and 

re-classified it as Group 2B: possibly 

carcinogenic to humans.85 Naphthalene 

mstockstill on PROD1PC66 with RULES2

59048 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

86U.S. EPA (1998) Toxicological Review of 

Naphthalene, Environmental Protection Agency, 

Integrated Risk Information System, Research and 

Development, National Center for Environmental 

Assessment, Washington, DC. This material is 

available electronically at http://www.epa.gov/iris/ 

subst/0436.htm. 

87U.S. EPA (2000). Air Quality Criteria for Carbon 

Monoxide, EPA/600/P–99/001F. This document is 

available in Docket EPA–HQ–OAR–2004–0008. 

88U.S. EPA (2000). Air Quality Criteria for Carbon 

Monoxide, EPA/600/P–99/001F. This document is 

available in Docket EPA–HQ–OAR–2004–0008. 89Mott, J.S.; Wolfe, M.I.; Alverson, C.J.; 

Macdonald, S.C.; Bailey, C.R.; Ball, L.B.; Moorman, 

J.E.; Somers, J.H.; Mannino, D.M.; Redd, S.C. (2002) 

National Vehicle Emissions Policies and Practices 

and Declining US Carbon Monoxide-Related 

Mortality. JAMA 288:988–995. 

90National Park Service; Department of the 

Interior; National Institute for Occupational Safety 

and Health. (2004) Boat-related carbon monoxide 

poisonings. This document is available 

electronically at http://safetynet.smis.doi.gov/ 

thelistbystate10–19–04.pdf and in docket EPA–HQ– 

OAR–2004–0008. 

91U.S Department of the Interior. (2004) Carbon 

monoxide dangers from generators and propulsion 

engines. On-board boats—compilation of materials. 

This document is available online at http:// 

safetynet.smis.doi.gov/COhouseboats.htm and in 

docket EPA–HQ–OAR–2004–0008. 

92Population numbers are from 2000 census data. 

also causes a number of chronic noncancer effects in animals, including 

abnormal cell changes and growth in 

respiratory and nasal tissues.86

The standards finalized in this action 

will reduce air toxics emitted from these 

engines, vessels and equipment. These 

emissions reductions will help to 

mitigate some of the adverse health 

effects associated with their operation. 

C. Carbon Monoxide 

CO is a colorless, odorless gas 

produced through the incomplete 

combustion of carbon-based fuels. The 

current primary NAAQS for CO are 35 

ppm for the 1-hour average and nine 

ppm for the 8-hour average. These 

values are not to be exceeded more than 

once per year. 

We previously found that emissions 

from nonroad engines contribute 

significantly to CO concentrations in 

more than one nonattainment area (59 

FR 31306, June 17, 1994). We have also 

previously found that emissions from 

Small SI engines contribute to CO 

concentrations in more than one 

nonattainment area. We are adopting a 

finding, based on the information in this 

section and in Chapters 2 and 3 of the 

Final RIA, that emissions from Marine 

SI engines and vessels likewise 

contribute to CO concentrations in more 

than one CO nonattainment area. 

Carbon monoxide enters the 

bloodstream through the lungs, forming 

carboxyhemoglobin and reducing 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. Carbon 

monoxide also contributes to ozone 

nonattainment since carbon monoxide 

reacts photochemically in the 

atmosphere to form ozone.87 Additional 

information on CO related health effects 

can be found in the Carbon Monoxide 

Air Quality Criteria Document (CO 

AQCD).88

In addition to health effects from 

chronic exposure to ambient CO levels, 

acute exposures to higher levels are also 

a problem, see the Final RIA for 

additional information. In recent years a 

substantial number of CO poisonings 

and deaths have occurred on and 

around recreational boats across the 

nation.89 The actual number of deaths 

attributable to CO poisoning while 

boating is difficult to estimate because 

CO-related deaths in the water may be 

labeled as drowning. An interagency 

team consisting of the National Park 

Service, the U.S. Department of the 

Interior, and the National Institute for 

Occupational Safety and Health 

maintains a record of published COrelated fatal and nonfatal poisonings.90

Between 1984 and 2004, 113 CO-related 

deaths and 458 non-fatal CO poisonings 

have been identified based on hospital 

records, press accounts and other 

information. Deaths have been 

attributed to exhaust from both onboard 

generators and propulsion engines. 

Houseboats, cabin cruisers, and ski 

boats are the most common types of 

boats associated with CO poisoning 

cases. These incidents have prompted 

other federal agencies, including the 

United States Coast Guard and National 

Park Service, to issue advisory 

statements and other interventions to 

boaters to avoid excessive CO 

exposure.91

As of March 12, 2008, there were 

approximately 850,000 people living in 

4 areas (which include 5 counties) 

designated as nonattainment for CO.92

The CO nonattainment areas are 

presented in the Final RIA. 

EPA’s NONROAD model indicates 

that Marine SI emissions are present in 

each of the CO nonattainment areas and 

thus contribute to CO concentrations in 

those nonattainment areas. The CO 

contribution from Marine SI engines in 

classified CO nonattainment areas is 

presented in Table II–3. 

TABLE II–3—CO EMISSIONS FROM MARINE SI ENGINES AND VESSELS IN CLASSIFIED CO NONATTAINMENT AREAS a

Area County Category CO (short tons 

in 2005) 

Las Vegas, NV ........................................ Clark ........................................................ Marine SI ................................................. 3,016 

Reno, NV ................................................. Washoe ................................................... Marine SI ................................................. 3,494 

El Paso, TX ............................................. El Paso .................................................... Marine SI ................................................. 37 

Source: U.S. EPA, NONROAD 2005 model. 

aThis table does not include Salem, OR which is an unclassified CO nonattainment area. 

Based on the national inventory 

numbers in Chapter 3 of the Final RIA 

and the local inventory numbers 

described in this section, we find that 

emissions of CO from Marine SI engines 

and vessels contribute to CO 

concentrations in more than one CO 

nonattainment area. 

III. Sterndrive and Inboard Marine 

Engines 

A. Overview 

This section applies to sterndrive and 

inboard marine (SD/I) engines. 

Sterndrive and inboard engines are 

spark-ignition engines typically derived 

from automotive engine blocks for 

which a manufacturer will take steps to 

‘‘marinize’’ the engine for use in marine 

applications. This marinization process 

includes choosing and optimizing the 

fuel management system, configuring a 

marine cooling system, adding intake 

and exhaust manifolds, and adding 

accessory drives and units. These 

engines typically have water-jacketed 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59049 

exhaust systems to keep surface 

temperatures low. Ambient surface 

water (seawater or freshwater) is 

generally added to the exhaust gases 

before the mixture is expelled under 

water. 

As described in Section I, the initial 

rulemaking to set standards for Marine 

SI engines did not include final 

emission standards for SD/I engines. In 

that rulemaking, we finalized the 

finding under Clean Air Act section 

213(a)(3) that all Marine SI engines 

cause or contribute to ozone 

concentrations in two or more ozone 

nonattainment areas in the United 

States. However, because uncontrolled 

SD/I engines appeared to be a lowemission alternative to outboard and 

personal watercraft engines in the 

marketplace, even after the emission 

standards for these engines were fully 

phased in, we decided to set emission 

standards only for outboard and 

personal watercraft engines. At that 

time, outboard and personal watercraft 

engines were almost all two-stroke 

engines with much higher emission 

rates compared to the SD/I engines, 

which were all four-stroke engines. We 

pointed out in that initial rulemaking 

that we wanted to avoid imposing costs 

on SD/I engines that could cause a 

market shift to increased use of the 

higher-emitting outboard engines, 

which will undermine the broader goal 

of achieving the greatest degree of 

emission control from the full set of 

Marine SI engines. 

We believe this is an appropriate time 

to set standards for SD/I engines, for 

several reasons. First, the available 

technology for SD/I engines has 

developed significantly, so we are now 

able to anticipate substantial emission 

reductions. With the simultaneous 

developments in technology for 

outboard and personal watercraft 

engines, we can set standards that 

achieve substantial emission reductions 

from all Marine SI engines. Second, now 

that California has adopted standards 

for SD/I engines, the cost impact of 

setting new standards for manufacturers 

serving the California market is 

generally limited to the hardware costs 

of adding emission control technology; 

these manufacturers will be undergoing 

a complete redesign effort for these 

engines to meet the California 

standards. Third, while an emission 

control program for SD/I engines will 

increase the price of these engines, we 

no longer think this will result in a 

market shift to higher-emitting outboard 

engines. The economic impact analysis 

performed for this final rule, 

summarized in Section XII, suggests that 

the prices will increase less than 1 

percent and sales will be impacted by 

less than 2 percent. It is also possible 

that SD/I engine manufacturers may 

promote higher fuel efficiency and other 

performance advantages of compliant 

engines which would allow them to 

promote these engines as having a 

greater value and justifying these small 

expected price increases. As a result, we 

believe we can achieve the maximum 

emission reductions from Marine SI 

engines by setting standards for SD/I 

engines based on the use of catalyst 

technology at the same time that we 

adopt more stringent standards for 

outboard and personal watercraft 

engines. 

As described in Section II, we are 

adopting the finding under Clean Air 

Act section 213(a)(3) that Marine SI 

engines cause or contribute to CO 

concentrations in two or more 

nonattainment areas of the United 

States. We believe the new CO 

standards will also reduce the exposure 

of individual boaters and bystanders to 

potentially dangerous CO levels. 

We believe catalyst technology is 

available for achieving the new 

standards. Catalysts have been used for 

decades in automotive applications to 

reduce emissions, and catalyst 

manufacturers have continued to 

develop and improve this technology. 

Design issues for using catalysts in 

marine applications are primarily 

centered on packaging catalysts in the 

water-jacketed, wet exhaust systems 

seen on most SD/I engines. Section III.G 

discusses recent development work that 

has shown success in packaging 

catalysts in SD/I applications. In 

addition, there are ongoing efforts in 

evaluating catalyst technology in SD/I 

engines being sponsored by the marine 

industry, U.S. Coast Guard, and 

California ARB. 

We are adopting the regulatory 

requirements for marine spark-ignition 

engines in 40 CFR part 1045. These 

requirements are similar to the 

regulations that have been in place for 

outboard and personal watercraft 

engines for several years, but include 

updated certification procedures, as 

described in Section IV.A. Engines and 

vessels subject to part 1045 are also 

subject to the general compliance 

provisions in 40 CFR part 1068. These 

include prohibited acts and penalties, 

exemptions and importation provisions, 

selective enforcement audits, defect 

reporting and recall, and hearing 

procedures. See Section VIII of the 

preamble to the proposed rule for 

further discussion of these general 

compliance provisions. 

B. Engines Covered by This Rule 

(1) Definition of Sterndrive and Inboard 

Engines 

For the purpose of this regulation, SD/ 

I engines encompass all spark-ignition 

marine propulsion engines that are not 

outboard or personal watercraft engines. 

A discussion of the revised definitions 

for outboard and personal watercraft 

engines is in Section IV.B. We consider 

all the following to be SD/I engines: 

inboard, sterndrive (also known as 

inboard/outboard), airboat engines, and 

jet boat engines. 

The definitions for sterndrive and 

inboard engines at 40 CFR part 91 are 

presented below: 

• Sterndrive engine means a four 

stroke Marine SI engine that is designed 

such that the drive unit is external to 

the hull of the marine vessel, while the 

engine is internal to the hull of the 

marine vessel. 

• Inboard engine means a four stroke 

Marine SI engine that is designed such 

that the propeller shaft penetrates the 

hull of the marine vessel while the 

engine and the remainder of the drive 

unit is internal to the hull of the marine 

vessel. 

We are amending the above 

definitions for determining which 

exhaust emission standards apply to 

spark-ignition marine engines in 2010. 

The new definition establishes a single 

term to include sterndrive and inboard 

engines together as a single engine 

category. The new definition for 

sterndrive/inboard also is drafted to 

include all engines not otherwise 

classified as outboard or personal 

watercraft engines. 

The new definition has several 

noteworthy impacts. First, it removes a 

requirement that only four-stroke 

engines can qualify as sterndrive/ 

inboard engines. We believe limiting the 

definition to include only four-stroke 

engines is unnecessarily restrictive and 

could create an incentive to use twostroke (or rotary) engines to avoid 

catalyst-based standards. Second, it 

removes limitations caused by reference 

to propellers. The definition should not 

refer specifically to propellers, because 

there are other propulsion drives on 

marine vessels, such as jet drives, that 

could be used with SD/I engines. Third, 

as explained in the section on the OB/ 

PWC definitions, the new definitions 

treat engines installed in open-bay 

vessels (e.g. jet boats) and in vessels 

over 4 meters long as SD/I engines. 

Finally, the definition in part 91 does 

not clearly specify how to treat specialty 

vessels such as airboats or hovercraft 

that use engines similar to those in 

conventional SD/I applications. The 

mstockstill on PROD1PC66 with RULES2

59050 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

definition of personal watercraft grants 

EPA the discretion to classify engines as 

SD/I engines if the engine is comparable 

in technology and emissions to an 

inboard or sterndrive engine. EPA has 

used this discretion to classify airboats 

as SD/I engines. See 40 CFR 91.3 for the 

existing definitions of the marine engine 

classes. We continue to believe these 

engines share fundamental 

characteristics with traditional SD/I 

engines and should therefore be treated 

the same way. However, we believe the 

definitions should address these 

applications expressly to make clear 

which standards apply. We are adopting 

the following definition: 

• Sterndrive/inboard engine means a 

spark-ignition engine that is used to 

propel a vessel, but is not an outboard 

engine or a personal watercraft engine. 

A sterndrive/inboard engine may be 

either a conventional sterndrive/inboard 

engine or a high-performance engine. 

Engines on propeller-driven vessels, jet 

boats, air boats, and hovercraft are all 

sterndrive/inboard engines. 

SD/I high-performance engines are 

generally characterized by high-speed 

operation, supercharged air intake, 

customized parts, very high power 

densities, and a short time until rebuild 

(50 to 200 hours). Based on current SD/ 

I product offerings, we are defining a 

high-performance engine as an SD/I 

engine with maximum power above 373 

kW (500 hp) that has design features to 

enhance power output such that the 

expected operating time until rebuild is 

substantially shorter than 480 hours. 

(2) Exclusions and Exemptions 

We are extending our basic nonroad 

exemptions to the SD/I engines and 

vessels covered by this rule. These 

include the testing exemption, the 

manufacturer-owned exemption, the 

display exemption, and the nationalsecurity exemption. If the conditions for 

an exemption are met, then the engine 

is not subject to the exhaust emission 

standards. 

In the rulemaking for recreational 

vehicles, we chose not to apply 

standards to hobby products by 

exempting all reduced-scale models of 

vehicles that are not capable of 

transporting a person (67 FR 68242, 

November 8, 2002). We are extending 

that same provision to SD/I marine 

engines (see § 1045.5). 

The Clean Air Act provides for 

different treatment of engines used 

solely for competition. Rather than 

relying on engine design features that 

serve as inherent indicators of dedicated 

competitive use, as specified in the 

current regulations, we have taken the 

approach in more recent programs of 

more carefully differentiating 

competition and noncompetition 

models in ways that reflect the nature of 

the particular products. In the case of 

Marine SI engines, we do not believe 

there are engine design features that 

allow us to differentiate between 

engines that are used in highperformance recreational applications 

and those that are used solely for 

competition. Starting January 1, 2009, 

Marine SI engines meeting all the 

following criteria will therefore be 

considered to be used solely for 

competition: 

• The engine (or a vessel in which the 

engine is installed) may not be 

displayed for sale in any public 

dealership or otherwise offered for sale 

to the general public. 

• Sale of the vessel in which the 

engine is installed must be limited to 

professional racers or other qualified 

racers. 

• The engine must have performance 

characteristics that are substantially 

superior to noncompetitive models (e.g. 

higher power-to-weight ratio). 

• The engines must be intended for 

use only in racing events sanctioned 

(with applicable permits) by the Coast 

Guard or other public organization, with 

operation limited to racing events, 

speed record attempts, and official time 

trials. 

We are also including a provision 

allowing us to approve an exemption for 

cases in which an engine manufacturer 

can provide clear and convincing 

evidence that an engine will be used 

solely for competition even though not 

all the above criteria apply for a given 

situation. This may occur, for example, 

if a racing association specifies a 

particular engine model in their 

competition rules, where that engine 

has design features that prevent it from 

being certified or from being used for 

purposes other than competition. 

Engine manufacturers will make their 

request for each new model year. We 

will deny a request for future 

production if there are indications that 

some engines covered by previous 

requests are not being used solely for 

competition. Competition engines are 

generally produced and sold in very 

small quantities, so manufacturers 

should be able to identify which engines 

qualify for this exemption. We are 

applying the same criteria to outboard 

and personal watercraft engines and 

vessels. See § 1045.620. 

We are adopting a new exemption to 

address individuals who manufacture 

recreational marine vessels for personal 

use (see § 1045.630). Under this 

exemption, someone may install a used 

engine in a new vessel where that 

engine is exempt from standards, 

subject to certain limitations. For 

example, an individual may produce 

one such vessel over a five-year period, 

the vessel may not be used for 

commercial purposes, and any exempt 

engines may not be sold for at least five 

years. The vessel must generally be built 

from unassembled components, rather 

than simply completing assembly of a 

vessel that is otherwise similar to one 

that will be certified to meet emission 

standards. This exemption does not 

apply for freshly manufactured engines. 

This exemption addresses the concern 

that hobbyists who make their own 

vessels could otherwise be a 

manufacturer subject to the full set of 

emission standards by introducing these 

vessels into commerce. We expect this 

exemption to involve a very small 

number of vessels. We revised the 

provisions of the personal-use 

exemption since the proposal to allow 

people to build a vessel with an 

exempted engine once every five years 

instead of ten years. We believe this is 

more reflective of a hobbyists interest in 

building a boat and using it before 

moving on to the next building project. 

C. Exhaust Emission Standards 

We are adopting technology-based 

exhaust emission standards for new SD/ 

I engines. These standards are similar to 

the exhaust emission standards that 

California ARB recently adopted (see 

Section I). This section describes the 

provisions related to controlling exhaust 

emissions from SD/I engines. See 

Section VI for a description of the new 

requirements related to evaporative 

emissions. 

(1) Standards and Dates 

We are adopting exhaust emission 

standards of 5.0 g/kW-hr HC+NOX and 

75 g/kW-hr CO for SD/I engines, starting 

with the 2010 model year (see 

§ 1045.105). On average, this represents 

about a 70 percent reduction in 

HC+NOX and a 50 percent reduction in 

CO from baseline engine configurations. 

Due to the challenges of controlling CO 

emissions at high load, the expected 

reduction in CO emissions from low-to 

mid-power operation is expected to be 

more than 80 percent. We are providing 

additional lead time for small 

businesses as discussed in Section 

III.F.2. The new standards are based on 

the same duty cycle that currently is in 

place for outboard and personal 

watercraft engines, as described in 

Section III.D. Section III.G discusses the 

technological feasibility of these 

standards in more detail. 

The new standards are largely based 

on the use of small catalytic converters 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59051 

93 ‘‘GM Product Changes Affecting SD/I Engine 

Marinizers,’’ memo from Mike Samulski, EPA, to 

Docket EPA–HQ–OAR–2004–0008–0528. 

that can be packaged in the watercooled exhaust systems typical for these 

applications. California ARB also 

adopted an HC+NOX standard of 5 g/ 

kW-hr, starting with 2008 model year 

engines, but they did not adopt a 

standard for CO emissions. We believe 

the type of catalyst used to achieve the 

HC+NOX standard will also be effective 

in reducing CO emissions enough to 

meet the new standard with the proper 

calibrations, so no additional hardware 

will be needed to control CO emissions. 

Manufacturers have expressed 

concern that the implementation dates 

may be difficult to meet, for certain 

engines, due to anticipated changes in 

engine block designs produced by 

General Motors. As described in the 

Final RIA and in the docket, the vast 

majority of SD/I engines are based on 

automotive engine blocks sold by 

General Motors.93 There are five basic 

engine blocks used, and recently GM 

announced that it plans to discontinue 

production of the 4.3L and 8.1L engine 

blocks. GM anticipates that it will offer 

a 4.1L engine block and a 6.0L 

supercharged engine block to the marine 

industry as replacements. Full-run 

production of these new blocks is 

anticipated around the time that 

manufacturers will be making the 

transition to meeting new EPA emission 

standards. SD/I engine manufacturers 

have expressed concern that they will 

not be able to begin the engineering 

processes related to marinizing these 

engines, including the development of 

catalyst-equipped exhaust manifolds, 

until they see the first prototypes of the 

two replacement engine models. In 

addition, they are concerned that they 

do not have enough remaining years of 

sales of the 4.3L and 8.1L engines to 

justify the cost of developing catalystequipped exhaust manifolds for these 

engines and amortizing the costs of the 

required tooling while also developing 

the two new engine models. 

These are unique circumstances 

because the SD/I engine manufacturers’ 

plans and products depend on the 

manufacture of the base engine by a 

company not directly involved in 

marine engine manufacturing. The SD/ 

I sales represent only a small fraction of 

GM’s total engine sales and thus did not 

weigh heavily in their decision to 

replace the existing engine blocks with 

two comparable versions during the 

timeframe when the SD/I manufacturers 

are facing new emission standards. SD/ 

I manufacturers have stated that 

alternative engine blocks that meet their 

needs are not available in the interim, 

and that it will be cost-prohibitive for 

them to produce their own engine 

blocks. 

EPA’s SD/I standards start to take 

effect with the 2010 model year, two 

years after the same standards apply in 

California. We believe a requirement to 

extend the California standards 

nationwide after a two-year delay allows 

manufacturers adequate time to 

incorporate catalysts across their 

product lines as they are doing in 

California. Once the technology is 

developed for use in California, it will 

be available for use nationwide soon 

thereafter. In fact, one company 

currently certified to the California 

standards is already offering catalystequipped SD/I engines nationwide. To 

address the challenge related to the 

transition away from the current 4.3 and 

8.1 liter GM engines, we are including 

in the final rule a direct approval for a 

hardship exemption allowing 

manufacturers to produce these engines 

for one additional year without 

certifying them (see § 1045.145). 

Starting in the 2011 model year, we 

would expect manufacturers to have 

worked things out such that they could 

certify their full product lineup to the 

applicable standards. 

Engines used on jet boats may have 

been classified under the original 

definitions as personal watercraft 

engines. As described in Section IV, 

engines used in jet boats or personal 

watercraft-like vessels that are four 

meters or longer will be classified as 

SD/I engines under the new definitions. 

Such engines subject to part 91 today 

will therefore need to continue meeting 

EPA emission standards as personal 

watercraft engines through the 2009 

model year under part 91, after which 

they will need to meet the new SD/I 

standards under part 1045. This is 

another situation where the transition 

period discussed above may be helpful. 

In contrast, as discussed above, air boats 

have been classified as SD/I engines 

under EPA’s discretionary authority and 

are not required to comply with part 91, 

but must meet the new emission 

standards for SD/I engines under part 

1045. 

As described above, engines used 

solely for competition are not subject to 

emission standards, but many SD/I 

high-performance engines are sold for 

recreational use. SD/I high-performance 

engines have very high power outputs, 

large exhaust gas flow rates, and 

relatively high concentrations of 

hydrocarbons and carbon monoxide in 

the exhaust gases. As described in the 

Final Regulatory Impact Analysis, 

applying catalyst technology to these 

engines is not practical. California ARB 

initially adopted the same HC+NOX

standards that apply for other SD/I 

engines with the expectation that 

manufacturers would simply rely on 

emission credits from other SD/I 

engines. We believe a credit-based 

solution is not viable for small business 

manufacturers that do not have other 

products with which to exchange 

emission credits and California ARB has 

modified their rule to also address this 

concern. 

We are adopting standards for SD/I 

high-performance engines based on the 

level of control that can be expected 

from recalibration with electronically 

controlled fuel injection. These 

standards are phased in over a two-year 

transition period. In the 2010 model 

year, the HC+NOX emission standards 

are 20.0 g/kW-hr for engines at or below 

485 kW and 25.0 g/kW-hr for bigger 

engines. In 2011 and later model years, 

the HC+NOX emission standards drop to 

16.0 g/kW-hr for engines at or below 485 

kW and 22.0 g/kW-hr for bigger engines. 

The CO standard is 350 g/kW-hr for all 

SD/I high-performance engines. We 

believe this is achievable with more 

careful control of fueling rates, 

especially under idle conditions. 

Control of air-fuel ratios should result in 

improved emission control even after 

multiple rebuilds. Note that smallvolume manufacturers may delay 

complying with the high-performance 

standards until 2013. In that year, the 

standard will be the same as the 2011 

standards for larger manufacturers. 

We are adopting a variety of 

provisions to simplify the requirements 

for exhaust emission certification and 

compliance for SD/I high-performance 

engines, as described in Section IV.F. 

We have also chosen not to apply the 

Not-to-Exceed emission standards to 

these engines because we have very 

limited information on their detailed 

emission characteristics and we are 

concerned about extent of testing that 

would be required by the large number 

of affected engine manufacturers that 

are small businesses. 

We are also aware that there are some 

very small sterndrive or inboard 

engines. In particular, sailboats may 

have small propulsion engines for 

backup power. These engines will fall 

under the new definition of sterndrive/ 

inboard engines, even though they are 

much smaller and may experience very 

different in-use operation. These 

engines generally have more in common 

with marine auxiliary engines or lawn 

and garden engines that are subject to 

land-based standards. We are therefore 

allowing manufacturers to use engines 

that have been certified to current landmstockstill on PROD1PC66 with RULES2

59052 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

based emission standards for sterndrive 

and inboard installation, much like we 

are adopting for outboard and personal 

watercraft engines (see § 1045.610). 

The emission standards apply at the 

range of atmospheric pressures 

represented by the test conditions 

specified in part 1065. This includes 

operation at elevated altitudes. Since we 

expect most or all SD/I engines to have 

three-way catalysts with closed-loop 

fuel control, these engines should be 

able to include the ability to 

automatically compensate for varying 

altitude. Manufacturers may choose to 

use an altitude kit for demonstrating 

compliance with emission standards at 

high altitudes as described for OB/PWC 

engines in Section IV.C.1. 

Manufacturers using altitude kits would 

need to take a variety of steps to 

describe their approach and ensure that 

such altitude kits are in fact being used 

with in-use engines operating at high 

altitudes, as described in Section IV.E.8. 

(2) Not-to-Exceed Standards 

We are adopting emission standards 

that apply over an NTE zone. The NTE 

standards are in the form of a multiplier 

times the duty-cycle standard for 

HC+NOX and for CO (see § 1045.105. 

Section III.D.2 gives an overview of the 

NTE standards and compliance 

provisions and describes the NTE test 

procedures. 

Manufacturers commented that 

certification to the NTE standards 

requires additional testing for engine 

models that are already certified to the 

new emission standards for California. 

In addition, they expressed concern that 

they may need to recalibrate existing 

engine models to meet the NTE 

standards. Manufacturers commented 

that this would not be possible by the 

date of the duty cycle standard. For 

engines already certified in California, 

manufacturers carry over preexisting 

certification test data from year to year. 

Manufacturers commented that 

additional time would be necessary to 

retest, and potentially recalibrate, these 

engines for certification to the NTE 

standards. To address these issues 

regarding lead time needed to retest 

these engines, we are not applying the 

NTE standards for 2010–2012 model 

year engines that are certified using 

preexisting data (i.e., carryover engine 

families). For new engine models, 

manufacturers indicated that they will 

be able to perform the NTE testing and 

duty-cycle testing as part of their efforts 

to certify to the new standards. 

Therefore the primary implementation 

date of 2010 applies to these engines. 

Beginning in the 2013 model year, all 

conventional SD/I engines must be 

certified to meet the NTE standards. 

This NTE approach complements the 

weighted modal emission tests included 

in this rule. These steady-state duty 

cycles and standards are intended to 

establish average emission levels over 

several discrete modes of engine 

operation. Because it is an average, 

manufacturers design their engines with 

emission levels at individual points 

varying as needed to maintain 

maximum engine performance and still 

meet the engine standard. The NTE 

limit will be an additional requirement. 

It is intended to ensure that emission 

controls function with relative 

consistency across the full range of 

expected operating conditions. 

(3) Emission Credit Programs 

(a) Averaging, Banking, and Trading 

We are adopting provisions for 

averaging, banking, and trading of 

emission credits for conventional SD/I 

engines to meet the new HC+NOX and 

CO standards (see § 1045.105 and part 

1045, subpart H). See Section VII.C.5 of 

the preamble to the proposed rule for a 

description of general provisions related 

to averaging, banking, and trading 

programs. A description of the ABT 

provisions for the new SD/I standards is 

provided in this section. 

EPA proposed that manufacturers 

would not be able to earn credits for one 

pollutant while using credits to comply 

with the emissions standard for another 

pollutant. The proposed restriction was 

modeled on similar requirements in 

other ABT programs where there was 

concern that a manufacturer could use 

technologies to reduce one pollutant 

while increasing another pollutant. 

Manufacturers are expected to comply 

with the new SD/I standards by using a 

combination of improved engine 

designs and catalysts. This should result 

in reductions in both HC+NOX

emissions and CO emissions compared 

to current designs. While the technology 

is expected to reduce both HC+NOX

emissions and CO emissions, there 

could be situations where the engines 

are capable of meeting one of the 

emission standards but not the other. 

EPA does not want to preclude such 

engines from being able to certify using 

the provisions of the ABT program and 

is therefore dropping the proposed 

restriction from the final rule. 

Credit generation and use is 

calculated based on the FEL of the 

engine family and the standard. We are 

adopting FEL caps to prevent the sale of 

very high-emitting engines. The 

HC+NOX FEL cap for conventional SD/ 

I engines is 16 g/kW-hr while the CO 

FEL cap is 150 g/kW-hr and applies 

starting in 2010, except as noted below. 

These FEL caps represent the average 

baseline emission levels of SD/I engines, 

based on data described in the Final 

RIA. However, through the 2013 model 

year we are separately allowing smallvolume engine manufacturers to certify 

their four-stroke conventional SD/I 

engines without testing by assuming an 

HC+NOX FEL of 22.0 g/kW-hr and a CO 

FEL of 150 g/kW-hr. Manufacturers 

using this provision would not be 

subject to the FEL cap for those engine 

families. 

We are specifying that SD/I engines 

are in a separate averaging set from OB/ 

PWC engines, with a limited exception 

for certain jet boat engines as described 

below. This means that credits earned 

by SD/I engines may be used only to 

offset higher emissions from other SD/ 

I engines. Likewise, credits earned by 

OB/PWC engines may be used only to 

offset higher emissions from other OB/ 

PWC engines (except where we allow 

those credits to be used for certain jet 

boat engines). 

Emission credits earned for SD/I 

engines will have an indefinite credit 

life with no discounting. We consider 

these emission credits to be part of the 

overall program for complying with the 

new standards. Given that we may 

consider further reductions beyond 

these standards in the future, we believe 

it will be important to assess the ABT 

credit situation that exists at the time 

any further standards are considered. 

Emission credit balances will be part of 

the analysis for determining the 

appropriate level and timing of new 

standards, consistent with the statutory 

requirement to establish standards that 

represent the greatest degree of emission 

reduction achievable, considering cost, 

safety, lead time, and other factors. If we 

were to allow the use of credits 

generated under the standards adopted 

in this rule to meet more stringent 

standards adopted in a future 

rulemaking, we may need to adopt 

emission standards at more stringent 

levels or with an earlier start date than 

we would absent the continued use of 

existing emission credits, depending on 

the level of emission credit banks. 

Alternatively, we may adopt future 

standards without allowing the use of 

existing emission credits. 

Finally, manufacturers may include as 

part of their federal credit calculation 

the sales of engines in California as long 

as they don’t separately account for 

those emission credits under the 

California regulations. We originally 

proposed to exclude engines sold in 

California that are subject to the 

California ABR standards. However, we 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59053 

consider California’s current HC+NOX

standards to be equivalent to those we 

are adopting in this rulemaking, so we 

would expect a widespread practice of 

producing and marketing 50-state 

products. Therefore, as long as a 

manufacturer is not generating credits 

under California’s regulations for SD/I 

engines, we would allow manufacturers 

to count those engines when calculating 

credits under EPA’s program. This is 

consistent with how EPA allows credits 

to be calculated in other nonroad 

sectors, such as recreational vehicles. 

(b) Early-Credit Approaches 

We are adopting an early-credit 

program in which a manufacturer could 

earn emission credits before 2010 with 

early introduction of emission controls 

designed to meet the new standards (see 

§ 1045.145). For engines produced by 

small-volume SD/I manufacturers that 

are eligible for the one-year delay 

described in Section III.F.2, early credits 

could be earned before 2011. As 

proposed, use of these early credits 

would be limited to the first three years 

that the new standards apply. While we 

believe adequate lead time is provided 

to meet the new standards, we recognize 

that flexibility in timing could help 

some manufacturers—particularly small 

manufacturers—to meet the new 

standards. Other manufacturers that are 

able to comply early on certain models 

will be better able to transition their full 

product line to the new standards by 

spreading out the transition over two 

years or more. Under this approach, we 

anticipate that manufacturers will 

generate credits through the use of 

catalysts. 

Manufacturers will generate these 

early credits based on the difference 

between the measured emission level of 

the clean engines and an assigned 

baseline level (16 g/kW-hr HC+NOX and 

150 g/kW-hr CO). These assigned 

baseline levels are based on data 

presented in Chapter 4 of the Final RIA 

representing the average level observed 

for uncontrolled engines. We also 

provide bonus credits for any smallvolume SD/I engine manufacturer that 

certifies early to the new standards to 

provide a further incentive for 

introducing catalysts in SD/I engines. 

The bonus credits will take the form of 

a multiplier times the earned credits. 

The multipliers are 1.25 for being one 

year early, 1.5 for being two years early, 

and 2.0 for being three years early. For 

example, a small-volume manufacturer 

certifying an engine to 5.0 g/kW-hr 

HC+NOX in 2009 (two years early) will 

get a bonus multiplier of 1.5. Early 

HC+NOX credits will therefore be 

calculated using the following equation: 

credits [grams] = (16–5) mu Power [kW] 

× Useful Life [hours] × Load Factor × 

1.5. The specified load factor is 0.207, 

which is currently used in the OB/PWC 

calculations. 

To earn these early credits, the engine 

must meet both the new HC+NOX

standard and the new CO standard. 

These early credits will be treated the 

same as emission credits generated after 

the emission standards start to apply. 

This approach provides an incentive for 

manufacturers to pull ahead 

significantly cleaner technologies. We 

believe such an incentive will lead to 

early introduction of catalysts on SD/I 

engines and help promote earlier market 

acceptance of this technology. We 

believe this early credit program will 

allow manufactures to comply with the 

new standards in an earlier time frame 

because it allows them to spread out 

their development resources over 

multiple years. To ensure that 

manufacturers do not generate credits 

for meeting standards that already 

apply, no EPA credits will be generated 

for engines that are produced for sale in 

California. 

(c) Jet Boats 

Sterndrive and inboard vessels are 

typically propelled by traditional SD/I 

engines based on automotive engine 

blocks. As explained in Section IV, we 

are changing the definition of personal 

watercraft to ensure that engines used 

on jet boats will no longer be classified 

as personal watercraft engines but 

instead as SD/I engines because jet boats 

are more like SD/I vessels. However, 

manufacturers in many cases make 

these jet boats by installing an engine 

also used in outboard or personal 

watercraft applications (less than 4 

meters in length) and coupling the 

engine to a jet drive for propelling the 

jet boat. Thus, manufacturers of 

outboard or personal watercraft engines 

may also manufacture the same or a 

similar engine for use on what we 

consider to be a jet boat. 

Engines used in jet boats will be 

subject to SD/I emission standards. 

However, we are providing some 

flexibility in meeting the new emission 

standards for jet boat engines because 

they are currently designed to use 

engines derived from OB/PWC 

applications and because of their 

relatively low sales volumes. We will 

allow manufacturers to use emission 

credits generated from OB/PWC engines 

to demonstrate that their jet boat 

engines meet the new HC+NOX and CO 

standards for SD/I engines if the same 

or similar engine is certified as an 

outboard or personal watercraft engine, 

and if the majority of units sold in the 

United States from those related engine 

families are sold for use as outboard or 

personal watercraft engines (see 

§ 1045.660 and § 1045.701). 

Manufacturers will need to group SD/I 

engines used for jet boats in a separate 

engine family from the outboard or 

personal watercraft engines to ensure 

proper labeling and calculation of 

emission credits, but manufacturers 

could rely on emission data from the 

same prototype engine for certifying 

both engine families. 

Finally, manufacturers of jet boat 

engines subject to SD/I standards and 

using credits from outboard or personal 

watercraft engines must certify these jet 

boat engines to an FEL that meets or 

exceeds the newly adopted standards 

for outboard and personal watercraft 

engines. This limits the degree to which 

manufacturers may take advantage of 

emission credits to produce engines that 

are emitting at higher levels than 

competitive engines. 

(d) SD/I High-Performance Engines 

For the reasons described in Section 

III.C.1, the standards being adopted for 

SD/I high-performance engines are less 

stringent than originally proposed. As a 

result, we are not including the SD/I 

high-performance engines in the ABT 

program. Manufacturers are required to 

meet the emission standards for SD/I 

high-performance engines without using 

emission credits. 

(4) Crankcase Emissions 

Due to blowby of combustion gases 

and the reciprocating action of the 

piston, exhaust emissions can 

accumulate in the crankcase. 

Uncontrolled engine designs route these 

vapors directly to the atmosphere. 

Closed crankcases have become 

standard technology for automotive 

engines and for outboard and personal 

watercraft engines. Manufacturers 

generally do this by routing crankcase 

vapors through a valve into the engine’s 

air intake system. We are requiring 

manufacturers to prevent crankcase 

emissions from SD/I marine engines (see 

§ 1045.115). Because automotive engine 

blocks are already tooled for closed 

crankcases, the cost of adding a valve 

for positive crankcase ventilation is 

small for SD/I engines. Even with nonautomotive blocks, the tooling changes 

necessary for closing the crankcase are 

straightforward. 

(5) Durability Provisions 

We rely on pre-production 

certification, and other programs, to 

ensure that engines control emissions 

throughout their intended lifetime of 

operation. Section VII of the preamble to 

mstockstill on PROD1PC66 with RULES2

59054 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

the proposed rule describes how we 

require manufacturers to incorporate 

laboratory aging in the certification 

process, how we limit the extent of 

maintenance that manufacturers may 

specify to keep engines operating as 

designed, and other general provisions 

related to certification. The following 

sections describe additional provisions 

that are specific to SD/I engines. 

(a) Useful Life 

We are specifying a useful life period 

of ten years or 480 hours of engine 

operation, whichever comes first (see 

§ 1045.105). Manufacturers are 

responsible for meeting emission 

standards during this useful life period. 

This is consistent with the requirements 

adopted by California ARB. We are 

further requiring that the 480-hour 

useful life period is a baseline value, 

which may be extended if data show 

that the average service life for engines 

in the family is longer. For example, we 

may require that the manufacturer 

certify the engine over a longer useful 

life period that more accurately 

represents the engines’ expected 

operating life if we find that in-use 

engines are typically operating 

substantially more than 480 hours. This 

approach is similar to what we adopted 

for recreational vehicles. 

For SD/I high-performance engines, 

we are specifying a useful life of 150 

hours or 3 years for engines at or below 

485 kW and a useful life of 50 hours or 

1 year for engines above 485 kW. Due 

to the high power and high speed of 

these engines, mechanical parts are 

often expected to wear out quickly. For 

instance, one manufacturer indicated 

that some engines above 485 kW have 

scheduled head rebuilds between 50 

and 75 hours of operation. These useful 

life values are consistent with the 

California ARB regulations for SD/I 

high-performance engines. 

Some SD/I engines below 373 kW 

may be designed for high power output 

even though they do not reach the 

power threshold to qualify as SD/I highperformance engines. Because they do 

not qualify for the shorter useful life 

that applies to SD/I high-performance 

engines, they will be subject to the 

default value of 480 hours for other SD/ 

I engines. However, to address the 

limited operating life for engines that 

are designed for especially high power 

output, we are allowing manufacturers 

to request a shorter useful life for such 

an engine family based on information 

showing that engines in the family 

rarely operate beyond the requested 

shorter period. For example, if engines 

designed for extremely highperformance are typically rebuilt after 

250 hours of operation, this will form 

the basis for establishing a shorter 

useful life period for those engines. See 

§ 1045.105 for additional detail in 

establishing a shorter useful life. 

Jet boat engines that are certified in 

conjunction with outboard or personal 

watercraft engine families are subject to 

the shorter useful life period that 

applies for outboard or personal 

watercraft engines. This is necessary to 

prevent a situation where the original 

certification data is insufficient for 

certifying the jet boat engines without 

some further testing or analysis to show 

that the engines meet emission 

standards over a longer period. 

(b) Warranty Periods 

We are requiring that manufacturers 

provide an emission-related warranty 

during the first three years or 480 hours 

of engine operation, whichever comes 

first (see § 1045.120). This warranty 

period applies equally to emissionrelated electronic components on SD/I 

high-performance engines. However, we 

are allowing shorter warranty periods 

(in hours) for emission-related 

mechanical components on SD/I highperformance engines because these parts 

are expected to wear out more rapidly 

than comparable parts on traditional 

SD/I engines. Specifically, we are 

specifying a warranty period for 

emission-related mechanical 

components of 3 years or 150 hours for 

high-performance engines between 373 

and 485 kW, and 1 year or 50 hours for 

high-performance engines above 485 

kW. These warranty periods are the 

same as those adopted by the California 

ARB. 

If the manufacturer offers a longer 

warranty for the engine or any of its 

components at no additional charge, we 

require that the emission-related 

warranty for the respective engine or 

component must be extended by the 

same amount. The emission-related 

warranty includes components related 

to controlling exhaust, evaporative, and 

crankcase emissions from the engine. 

These warranty requirements are 

consistent with provisions that apply in 

most other programs for nonroad 

engines. 

(6) Engine Diagnostics 

We are requiring that manufacturers 

design their catalyst-equipped SD/I 

engines to diagnose malfunctioning 

emission control systems starting with 

the introduction of the final standards 

(see § 1045.110). As discussed in the 

Final RIA, three-way catalyst systems 

with closed-loop fueling control work 

well only when the air-fuel ratios are 

controlled to stay within a narrow range 

around stoichiometry. Worn or broken 

components or drifting calibrations over 

time can prevent an engine from 

operating within the specified range. 

This increases emissions and can lead to 

significantly increased 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 OB/PWC engines because 

the anticipated emission control 

technologies for these other applications 

are generally less susceptible to drift 

and gradual deterioration. We have 

adopted similar diagnostic requirements 

for Large SI engines operating in 

forklifts and other industrial equipment 

that also use three-way catalysts to meet 

emission standards. 

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 

(upstream of sensors and catalysts), fuel 

deposits, and other things that require 

maintenance to keep the engine at the 

proper air-fuel ratio. 

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 marine 

engines, so the most important variable 

in making the emission control and 

diagnostic systems effective is getting 

operators to repair the engine when the 

diagnostic light comes on. This calls for 

a relatively simple design to avoid 

signaling false failures as much as 

possible. The diagnostic requirements in 

this final rule, therefore, focus on 

detecting inappropriate air-fuel ratios, 

which is the most likely failure mode 

for three-way catalyst systems. The 

malfunction indicator must go on when 

an engine runs for a full minute under 

closed-loop operation without reaching 

a stoichiometric air-fuel ratio. 

California ARB has adopted 

diagnostic requirements for SD/I 

engines that involve a more extensive 

system for monitoring catalyst 

performance and other parameters. We 

will accept a California-approved 

system as meeting EPA requirements. 

The final regulations direct 

manufacturers to follow standard 

practices defined in documents adopted 

recently by the Society of Automotive 

Engineers in SAE J1939–5. See 

§ 1045.110 for detailed information. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59055 

D. Test Procedures for Certification 

(1) General Provisions 

The marine engine test procedures are 

generally the same for both SD/I and 

OB/PWC engines. This involves 

laboratory measurement of emissions 

while the engine operates over the ISO 

E4 duty cycle. This is a five-mode 

steady-state duty cycle including an idle 

mode and four modes lying on a 

propeller curve with an exponent of 2.5, 

as shown in Appendix II to part 1045. 

The International Organization for 

Standardization (ISO) intended for this 

cycle to be used for recreational sparkignition marine engines installed in 

vessels up to 24 m in length. Because 

most or all vessels over 24 m have diesel 

engines, we believe the E4 duty cycle is 

most appropriate for SD/I engines 

covered by this rule. There may be some 

spark-ignition engines installed in 

vessels somewhat longer than 24 m, but 

we believe the E4 duty cycle is no less 

appropriate in these cases. See Section 

IV.D for a discussion of adjustments to 

the test procedures related to the 

migration to 40 CFR part 1065, testing 

with a ramped-modal cycle, 

determining maximum test speed for 

denormalizing the duty cycle, and 

testing at high altitude. 

The E4 duty cycle includes a 

weighting of 40 percent for idle. For SD/ 

I high-performance engines, 

commenters suggested that these 

engines typically have substantial 

auxiliary loads and parasitic losses even 

when the vessel does not need 

propulsion power. While the specified 

duty cycle for SD/I high-performance 

engines is identical to that for other 

Marine SI engines, we would expect 

manufacturers to use the provisions of 

§ 1065.510(b)(3) to target a reference 

torque of 15 percent instead of zero at 

idle. 

(2) Not-to-Exceed Test Procedures and 

Standards 

We are adopting not-to-exceed (NTE) 

requirements similar to those 

established for marine diesel engines. 

Engines will be required to meet the 

NTE standards during normal in-use 

operation. 

(a) Concept 

Our goal is to achieve control of 

emissions over a wide range of ambient 

conditions and over the broad range of 

in-use speed and load combinations that 

can occur on a marine engine. This will 

ensure real-world emission control, 

rather than just controlling emissions 

under certain laboratory conditions. 

This allows us to evaluate an engine’s 

compliance during in-use testing 

without removing the engine from the 

vessel because the NTE requirements 

establish an objective standard and an 

easily implemented test procedure. Our 

traditional 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 establishing the same 

prohibition on defeat devices for OB/ 

PWC and SD/I engines (see § 1045.115). 

No single test procedure or test cycle 

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 testing conditions. However, 

the defeat device prohibition is not a 

quantified standard and does not have 

an associated test procedure, so it does 

not have the clear objectivity and ready 

enforceability of a numerical standard 

and test procedure. We believe using the 

traditional approach, i.e., using only a 

standardized laboratory test procedure 

and test cycle, makes it difficult to 

ensure that engines will operate with 

the same level of emission control in 

use as in the laboratory. 

Because the duty cycle we have 

adopted uses only five modes on an 

average propeller curve to characterize 

marine engine operation, we are 

concerned that an engine designed to 

that duty cycle will not necessarily 

perform the same way over the range of 

speed and load combinations seen on a 

boat. This duty cycle is based on an 

average propeller curve, but a marine 

propulsion engine may never be fitted 

with an ‘‘average propeller.’’ For 

instance, an engine installed in a 

specific boat with a particular propeller 

may operate differently based on the 

design of the boat and how heavily the 

boat is loaded, among other factors. 

To ensure that engines control 

emissions over a wide range of speed 

and load combinations normally seen 

on boats, we are including a zone under 

the engine’s power curve where the 

engine may not exceed a specified 

emission limit (see § 1045.105 and 

§ 1045.515). This limit will apply to all 

regulated pollutants during steady-state 

operation. In addition, we are requiring 

that a wide range of real ambient 

conditions be included in testing with 

this NTE zone. The NTE zone, limit, and 

ambient conditions are described below. 

We believe there are significant 

advantages to establishing NTE 

standards. The final NTE test procedure 

is flexible, so it can represent the 

majority of in-use engine operation and 

ambient conditions. The NTE approach 

thus takes all the benefits of a numerical 

standard and test procedure and 

expands it to cover a broad range of 

conditions. Also, laboratory testing 

makes it harder to perform in-use testing 

because either the engines will have to 

be removed from the vessel or care will 

have to be taken to achieve laboratorytype conditions on the vessel. With the 

NTE approach, in-use testing and 

compliance become much easier since 

emissions may be sampled during 

normal boating. By establishing an 

objective measurement, this approach 

makes enforcement of defeat device 

provisions easier and provides more 

certainty to the industry. 

Even with the NTE requirements, we 

believe it is still appropriate to retain 

standards based on the steady-state duty 

cycle. This is the standard that we 

expect the certified marine engines to 

meet on average in use. The NTE testing 

is focused more on maximum emissions 

for segments of operation and, in most 

cases, will not require additional 

technology beyond what is used to meet 

the final standards. In some cases, the 

calibration of the engine may need to be 

adjusted. We believe that basing the 

emission standards on a distinct cycle 

and using the NTE zone to ensure in-use 

control creates a comprehensive 

program. 

We believe the technology used to 

meet the standards over the five-mode 

duty cycle, when properly calibrated, 

will meet the caps that apply across the 

NTE zone. We therefore do not expect 

the final NTE standards to cause 

manufacturers to need additional 

hardware. We believe the NTE standard 

will not result in a large amount of 

additional testing, because these engines 

should be designed to perform as well 

in use as they do over the five-mode 

test. However, our cost analysis in the 

Final RIA 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 NTE Zone 

We developed the NTE zone based on 

the range of conditions that these 

engines typically see in use. 

Manufacturers collected data on several 

engines installed on vessels and 

operated under light and heavy load. 

Chapter 4 of the Final RIA presents this 

data and describes the development of 

the boundaries and conditions 

mstockstill on PROD1PC66 with RULES2

59056 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

associated with the NTE zone. Although 

significant in-use engine operation 

occurs at low speeds, we are excluding 

operation below 40 percent of maximum 

test speed because brake-specific 

emissions increase dramatically as 

power approaches zero. An NTE limit 

for low-speed or low-power operation 

will be very hard for manufacturers and 

EPA to implement in a meaningful way. 

We anticipate that most, if not all SD/ 

I engines subject to the NTE standards 

will use three-way catalytic controls to 

meet the exhaust emission standards. 

For that reason, this discussion focuses 

on the NTE zone and subzones for 

catalyst-equipped engines. Catalysts are 

most effective when the fuel-air ratio in 

the exhaust is near stoichiometry, and 

engine manufacturers use closed-loop 

electronic control to monitor and 

maintain the proper fuel-air ratio in the 

exhaust for optimum catalyst efficiency. 

However, at high power, engine 

manufacturers must increase the fueling 

rate to reduce the exhaust temperatures. 

Otherwise, if the exhaust temperature 

becomes too high, exhaust valves and 

catalysts may be damaged. During rich, 

open-loop operation at high power, the 

catalyst is oxygen-limited and less 

effective at oxidizing HC and CO. To 

address the issue of open-loop catalyst 

efficiency, we created a high power 

subzone for catalyst-equipped engines. 

The shape of this subzone is based on 

data presented in the RIA on engine 

protection strategies. 

Figure III–1 illustrates the final NTE 

zone for engines equipped with 

catalysts. Section IV.D.5 discusses the 

NTE test procedures and limits for noncatalyzed engines. The NTE zones and 

standards apply depending on whether 

the engine has a catalyst or not, so 

outboard or personal watercraft engines 

may be subject to the NTE approach 

described in this section and sterndrive/ 

inboard engines may be subject to the 

NTE provisions described in Section 

IV.D.5. However, we expect these 

situations to be rather uncommon. 

The final regulations allow 

manufacturers to request approval for 

adjustments to the size and shape of the 

NTE zone for certain engines if they can 

show that the engine will not normally 

operate outside the revised NTE zone in 

use (see § 1045.515). We do not want 

manufacturers to go to extra lengths to 

design and test their engines to control 

emissions for operation that will not 

occur in use. However, manufacturers 

will still be responsible for all operation 

of an engine on a vessel that will 

reasonably be expected to be seen in 

use, and they will be responsible for 

ensuring that their specified operation is 

indicative of real-world operation. EPA 

testing may include any normal 

operation observed on in-use vessels, 

consistent with the applicable 

regulatory provisions. In addition, if a 

manufacturer designs an engine for 

operation at speeds and loads outside of 

the NTE zone, the manufacturer is 

required to notify us so the NTE zone 

used to comply with the applicable 

standards can be modified appropriately 

to include this operation for that engine 

family. 

(c) NTE Emission Limits 

We are establishing NTE limits for the 

individual subzones shown in Figure 

III–1 above based on data collected from 

several SD/I engines equipped with 

catalysts. These data and our analysis 

are presented in Chapter 4 of the Final 

RIA. See Section IV.D.5 for a discussion 


mstockstill on PROD1PC66 with RULES2ER08oc08.061</GPH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59057 

of NTE limits for engines not equipped 

with catalysts. 

For catalyst-equipped engines, the 

largest contribution of emissions over 

the 5-mode duty cycle comes from 

open-loop operation at Mode 1. In 

addition, the idle point (Mode 5) is 

weighted 40 percent in the 5-mode duty 

cycle, but not included in the NTE zone. 

For this reason, brake-specific emissions 

throughout most of the NTE zone are 

less than the weighted average from the 

steady-state testing. For most of the NTE 

zone, we are therefore establishing a 

limit equal to the duty-cycle standard 

(i.e., NTE multiplier = 1.0). This means 

that these engines may not have steadystate emissions at any point inside the 

NTE zone, except in the subzone around 

full-load operation, that exceed the 

HC+NOX or CO emission standards. 

Emission data on catalyst-equipped 

engines also show higher emissions near 

full-power operation. As discussed 

above, this is due to the need for richer 

fuel-air ratios under high-power 

operation to protect the engines from 

overheating. Under rich conditions, a 

three-way catalyst does not effectively 

oxidize CO emissions. Therefore, we are 

not setting an NTE limit in Subzone 1 

for CO. Some HC+NOX control is 

expected in Subzone 1 because a threeway catalyst will efficiently reduce NOX

emissions under rich conditions. 

Similar to CO, HC emissions are not 

effectively oxidized in a catalyst during 

rich operation. We are therefore 

establishing a higher NTE limit of 1.5 

for HC+NOX in Subzone 1. This limit is 

based on emission control performance 

during open-loop operation. 

(d) Excluded Operation 

As with marine diesel engines, only 

steady-state operation is included for 

NTE testing (see § 1045.515). Steadystate operation will generally mean 

setting the throttle (or speed control) in 

a fixed position. We believe most 

operation with Marine SI engines 

involves nominally steady-state operator 

demand. It is true that boats often 

experience rapid accelerations, such as 

with water skiing. However, boats are 

typically designed for planing operation 

at relatively high speeds. This limits the 

degree to which we would expect 

engines to experience frequent 

accelerations during extended 

operation. Also, because most of the 

transient events involve acceleration 

from idle to reach a planing condition, 

most transient engine operation is 

outside the NTE zone and will therefore 

not be covered by NTE testing anyway. 

Moreover, we believe OB/PWC and SD/ 

I engines designed to comply with 

steady-state NTE requirements will be 

using technologies that also work 

effectively under the changing speed 

and load conditions that may occur. If 

we find there is substantial transient 

operation within the NTE zone that 

causes significantly increased emissions 

from installed engines, we will revisit 

this provision in the future. 

We are aware that engines may not be 

able to meet emission standards under 

all conditions, such as times when 

emission control must be compromised 

for startability or safety. As with 

outboard and personal watercraft 

engines, NTE testing excludes engine 

starting and warm-up. We are allowing 

manufacturers to design their engines to 

utilize engine protection strategies that 

will not be covered by defeat device 

provisions or NTE standards. This is 

analogous to the tampering exemptions 

incorporated into 40 CFR 1068.101(b)(1) 

to address emergencies. We believe it is 

appropriate to allow manufacturers to 

design their engines with ‘‘limp-home’’ 

capabilities to prevent a scenario where 

an engine fails to function, leaving an 

operator on the water without any 

means of propulsion. 

(e) Ambient Conditions 

Variations in ambient conditions can 

affect emissions. Such conditions 

include air temperature, water 

temperature, barometric pressure, and 

humidity. We are applying the 

comparable ranges for these variables as 

for marine diesel engines (see 

§ 1045.515). Within the specified ranges, 

there is no provision to correct emission 

levels to standard conditions. Outside of 

the specified ranges, emissions may be 

corrected back to the nearest end of the 

range using good engineering practice. 

The specified ranges are 13 to 35 °C (55 

to 95 °F) for ambient air temperature, 5 

to 27 °C (41 to 80 °F) for ambient water 

temperature, and 94.0 to 103.325 kPa for 

atmospheric pressure. NTE testing may 

take place at any humidity level, but 

manufacturers may correct for humidity 

effects as described in § 1065.670. 

(f) Measurement Methods 

While it may be easier to test outboard 

engines in the laboratory, there is a 

strong advantage to using portable 

measurement equipment to test SD/I 

engines and personal watercraft without 

removing the engine from the vessel. 

Field testing will also provide a much 

better means of measuring emissions to 

establish compliance with the NTE 

standards, because it is intended to 

ensure control of emissions during 

normal in-use operation that may not 

occur during laboratory testing over the 

specified duty cycle. We are adopting 

field-testing provisions for all SD/I 

engines. These field-testing procedures 

are described further in Section IV.E.2. 

A parameter to consider is the 

minimum sampling time for field 

testing. A longer period allows for 

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 

30 seconds. This is consistent with the 

requirement for marine diesel engines. 

Spark-ignition engines generally don’t 

have turbochargers and they control 

emissions largely by maintaining airfuel ratio. Spark-ignition engines are 

therefore much less prone to consistent 

emission spikes from off-cycle or 

unusual engine operation. We believe 

the minimum 30 second sampling time 

will ensure sufficient measurement 

accuracy and will allow for meaningful 

measurements. 

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, 

for any sampling period, each 30-second 

period of operation would be subject to 

the NTE standards. For example, 

manufacturers may measure emissions 

for ten minutes. The engine’s emissions 

over the ten-minute period would need 

to meet the applicable NTE standards, 

but each 30-second period of operation 

during the ten-minute period should 

also be evaluated to determine that the 

engine complies. 

(g) Certification 

We are requiring that manufacturers 

state in their application for certification 

that their engines will comply with the 

NTE standards under any nominally 

steady-state combination of speeds and 

loads within the new NTE zone (see 

§ 1045.205). The manufacturer must also 

provide a detailed description of all 

testing, engineering analysis, and other 

information that forms the basis for the 

statement. This statement will be based 

on testing and, if applicable, other 

research that supports such a statement, 

consistent with good engineering 

judgment. We will review the basis for 

this statement during the certification 

process. For marine diesel engines, we 

have provided guidance that 

manufacturers may demonstrate 

compliance with NTE standards by 

testing their engines at a number of 

standard points throughout the NTE 

zone. In addition, manufacturers must 

test at a few random points chosen by 

EPA prior to the testing. 

mstockstill on PROD1PC66 with RULES2

59058 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

94See Cost Analysis Document at p. 21 associated 

with the proposed fees rule (http://www.epa.gov/ 

otaq/fees.htm). 

E. Additional Certification and 

Compliance Provisions 

(1) Production-Line Testing 

There are several factors that have led 

us to conclude that we should not 

finalize production-line testing 

requirements for SD/I engines in this 

rulemaking. First, California ARB has 

not yet adopted production-line testing 

requirements for these engines. Second, 

the companies producing these engines 

are predominantly small businesses. 

Third, the relatively short useful life 

and small sales volumes limit the 

overall emissions effect from these 

engines. Fourth, we are aware that 

marine engines may need additional 

setup time for testing to simulate the 

marine configuration. We do not 

consider any of these issues to be 

fundamental, but we believe it is best to 

defer further consideration of a 

requirement for production-line testing 

until a later rulemaking. This would 

allow us to better understand the degree 

of compliance with emission standards, 

the effectiveness of diagnostic controls, 

and California ARB’s interest in 

requiring production-line testing. 

However, we may require the 

manufacturer to conduct a reasonable 

degree of testing under Clean Air Act 

section 208 if we have reason to believe 

that an engine family does not conform 

to the regulations. This testing may take 

the form of a Selective Enforcement 

Audit. 

(2) In-Use Testing 

Manufacturers of OB/PWC engines 

have been required to test in-use 

engines to show that they continue to 

meet emission standards. We 

contemplated a similar requirement for 

SD/I engines, but have decided not to 

adopt a requirement for a manufacturerrun in-use testing program at this time. 

Manufacturers have pointed out that it 

would be very difficult to identify a 

commercial fleet of boats that could be 

set up to operate for hundreds of hours 

because it is very uncommon for 

commercial operators to have significant 

numbers of SD/I vessels. Where there 

are commercial fleets of vessels that 

may be conducive to accelerated in-use 

service accumulation, these vessels 

generally use outboard engines. 

Manufacturers could instead hire 

drivers to operate the boats, but this 

may be cost-prohibitive. There is also a 

question about access to the engines for 

testing. If engines need to be removed 

from vessels for testing in the laboratory 

for some reason, it is unlikely that 

owners will cooperate. 

While we are not establishing a 

program to require manufacturers to 

routinely test in-use engines, the Clean 

Air Act allows us to perform our own 

testing at any time with in-use engines 

to evaluate whether they continue to 

meet emission standards throughout the 

useful life. This may involve either 

laboratory testing or in-field testing with 

portable measurement equipment. For 

laboratory tests, we could evaluate 

compliance with either the duty-cycle 

standards or the not-to-exceed 

standards. For testing with engines that 

remain installed on marine vessels, we 

will evaluate compliance with the notto-exceed standards. In addition, as 

described above for production-line 

testing, we may require manufacturers 

to perform a reasonable degree of 

testing. This may include testing in-use 

engines. 

(3) Certification Fees 

Under our current certification 

program, manufacturers pay a fee to 

cover the costs for various certification 

and other compliance activities 

associated with implementing the 

emission standards. As explained 

below, we are assessing EPA’s 

compliance costs associated with SD/I 

engines based on EPA’s existing fees 

regulation. Section VI describes a new 

fees category we are adopting, based on 

the cost study methodology used in 

establishing EPA’s original fees 

regulation, for costs related to the final 

evaporative emission standards for both 

vessels and equipment that are subject 

to this final rule. 

EPA established a fee structure by 

grouping together various manufacturers 

and industries into fee categories, with 

an explanation that separation of 

industries into groups was appropriate 

to tailor the applicable fee to the level 

of effort expected for EPA to oversee the 

range of certification and compliance 

responsibilities (69 FR 26222, May 11, 

2004). As part of this process, EPA 

conducted a cost analysis to determine 

the various compliance activities 

associated with each fee category and 

EPA’s associated annual cost burden. 

Once the total EPA costs were 

determined for each fee category, the 

total number of certificates involved 

within a fee category was added 

together and divided into the total costs 

to determine the appropriate assessment 

for each anticipated certificate.94 One of 

the fee categories created was for ‘‘Other 

Engines and Vehicles,’’ which includes 

marine engines (both compressionignition and spark-ignition), nonroad 

spark-ignition engines (above and below 

19 kW), locomotive engines, 

recreational vehicles, heavy-duty 

evaporative systems, and heavy-duty 

engines certified only for sale in 

California. These engine and vehicle 

types were grouped together because 

EPA planned a more basic certification 

review than, for example, for light-duty 

motor vehicles. 

EPA determined in the final fees 

rulemaking that it was premature to 

assess fees for SD/I engines since they 

were not yet subject to emission 

standards. The fee calculation 

nevertheless includes a projection that 

there will eventually be 25 certificates 

of conformity annually for SD/I engines. 

We are now formally including SD/I 

engines in the ‘‘Other Engines and 

Vehicles’’ category such that the 

baseline fee is $839 for each certificate 

of conformity. Note that we will 

continue to update assessed fees each 

year, so the actual fee in 2010 and later 

model years will depend on these 

annual calculations (see § 1027.105). 

(4) Special Provisions Related to 

Partially Complete Engines 

It is common practice for one 

company to produce engine blocks that 

a second company modifies for use as 

a marine engine. Since our regulations 

prohibit the sale of uncertified engines, 

we are establishing provisions to clarify 

the status of these engines and defining 

a path by which these engines can be 

handled without violating the 

regulations. See Section VIII.C.1 for 

more information. 

(5) Use of Engines Already Certified to 

Other Programs 

In some cases, manufacturers may 

want to use engines already certified 

under our other programs. Engines 

certified to the emission standards for 

highway applications in part 86 or Large 

SI applications in part 1048 are meeting 

more stringent standards. We are 

therefore allowing the pre-existing 

certification to be valid for engines used 

in marine applications, on the condition 

that the engine is not changed from its 

certified configuration in any way (see 

§ 1045.605). Manufacturers will need to 

demonstrate that fewer than five percent 

of the total sales of the engine model are 

for marine applications. There are also 

a few minor notification and labeling 

requirements to allow for EPA oversight 

of this provision. We are adopting 

similar provisions for engines below 19 

kW that are certified to Small SI 

standards as described in Section III.C.1. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59059 

(6) Import-specific Information at 

Certification 

We are requiring additional 

information to improve our ability to 

oversee compliance related to imported 

engines (see § 1045.205). In the 

application for certification, we require 

the following additional information: (1) 

The port or ports at which the 

manufacturer has imported engines over 

the previous 12 months, (2) the names 

and addresses of the agents the 

manufacturer has authorized to import 

the engines, and (3) the location of the 

test facilities in the United States where 

the manufacturer will test the engines if 

we select them for testing under a 

selective enforcement audit. See Section 

1.3 of the Summary and Analysis of 

Comments for further discussion related 

to naming test facilities in the United 

States. 

(7) Alternate Fuels 

See Section IV.E.7 for a discussion of 

requirements that apply to sparkignition SD/I engines that operate on 

fuels other than gasoline. 

F. Small-Business Provisions 

(1) Small Business Advocacy Review 

Panel 

On June 7, 1999, we convened a Small 

Business Advocacy Review Panel under 

section 609(b) of the Regulatory 

Flexibility Act as amended by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996 (RFA). The 

purpose of the Panel was to collect the 

advice and recommendations of 

representatives of small entities that 

could be affected by the proposal and to 

report on those comments and the 

Panel’s findings and recommendations 

as to issues related to the key elements 

of the Initial Regulatory Flexibility 

Analysis under section 603 of the 

Regulatory Flexibility Act. We reconvened the Panel on August 17, 2006 

to update our review for the proposal. 

The Panel reports have been placed in 

the rulemaking record for this final rule. 

Section 609(b) of the Regulatory 

Flexibility Act directs the review Panel 

to report on the comments of small 

entity representatives and make findings 

as to issues related to certain elements 

of an initial regulatory flexibility 

analysis (IRFA) under RFA section 603. 

Those elements of an IRFA are: 

• A description of, and where 

feasible, an estimate of the number of 

small entities to which the rule will 

apply; 

• A description of projected 

reporting, recordkeeping, and other 

compliance requirements of the rule, 

including an estimate of the classes of 

small entities that will be subject to the 

requirements and the type of 

professional skills necessary for 

preparation of the report or record; 

• An identification, to the extent 

practicable, of all relevant Federal rules 

that may duplicate, overlap, or conflict 

with the rule; and 

• A description of any significant 

alternative to the rule that accomplishes 

the stated objectives of applicable 

statutes and that minimizes any 

significant economic impact of the rule 

on small entities. 

In addition to the EPA’s Small 

Business Advocacy Chairperson, the 

Panel consisted of the Director of the 

Assessment and Standards Division of 

the Office of Transportation and Air 

Quality, the Administrator of the Office 

of Information and Regulatory Affairs 

within the Office of Management and 

Budget, and the Chief Counsel for 

Advocacy of the Small Business 

Administration. 

EPA used the size standards provided 

by the Small Business Administration 

(SBA) at 13 CFR part 121 to identify 

small entities for the purposes of its 

regulatory flexibility analysis. 

Companies that manufacture internalcombustion engines and that employ 

fewer than 1000 employees are 

considered small businesses for the 

purpose of the RFA analysis for this 

rule. Equipment manufacturers, boat 

builders, and fuel system component 

manufacturers that employ fewer than 

500 people are considered small 

businesses for the purpose of the RFA 

analysis for this rule. Based on this 

information, we asked 25 companies 

that met the SBA small business 

thresholds to serve as small entity 

representatives for the duration of the 

Panel process. Of these 25 companies, 

13 were involved in the marine 

industry. These companies represented 

a cross-section of SD/I engine 

manufacturers, boat builders, and fuel 

system component manufacturers. 

With input from small entity 

representatives, the Panel reports 

provide findings and recommendations 

on how to reduce potential burden on 

small businesses that may occur as a 

result of the proposed rule. The Panel 

reports are included in the rulemaking 

record for this action. In light of the 

Panel report, and where appropriate, we 

proposed a number of provisions for 

small business SD/I engine 

manufacturers. With this final rule we 

are adopting many of the flexibility 

options proposed with some changes 

due to the different standards we are 

adopting for SD/I high-performance 

engines. In addition, we are making a 

change to the criteria for determining 

which companies are eligible for the 

flexibility options. The following 

section describes the flexibility options 

being adopted as part of this final rule 

and the criteria for determining which 

manufacturers are eligible. 

(2) Final Burden Reduction Approaches 

for Small-Volume SD/I Engine 

Manufacturers 

We are establishing several options 

for small-volume SD/I engine 

manufacturers. For purposes of 

determining which engine 

manufacturers are eligible for the small 

business provisions described below for 

SD/I engine manufacturers, we are 

adopting a 250 employee limit. EPA 

believes this limit will cover all the 

existing small business SD/I engine 

manufacturers (as defined by SBA), but 

places a reasonable limit on how large 

a company could grow before they are 

no longer eligible for EPA’s flexibilities 

for small volume engine manufacturers. 

(a) Additional Lead Time 

As recommended in the SBAR Panel 

report and as proposed, EPA is 

establishing an implementation date of 

2011 for conventional SD/I engines 

produced by small volume engine 

manufacturers. In addition, EPA is 

establishing an implementation date of 

2013 for SD/I high-performance engines 

produced by small volume engine 

manufacturers (see § 1045.145). 

(b) Exhaust Emission ABT 

In the proposal, EPA cited concerns 

raised by small businesses that ABT 

could give a competitive advantage to 

large businesses and requested comment 

on the desirability of credit trading 

between high-performance and 

conventional SD/I marine engines. As 

described earlier in Section III.C.1, EPA 

is adopting different standards for SD/ 

I high-performance engines than 

originally proposed. While we are 

adopting an averaging, banking, and 

trading (ABT) credit program for 

conventional SD/I marine engines (see 

part 1045, subpart H), SD/I highperformance engines are required to 

meet the new standards without an ABT 

program. 

(c) Early Credit Generation for ABT 

As recommended in the SBAR Panel 

report and as proposed, we are adopting 

an early banking program in which 

small volume engine manufacturers can 

earn bonus credits for certifying earlier 

than required (see § 1045.145). This 

program, combined with the additional 

lead time for small businesses, will give 

small-volume SD/I engine 

manufacturers ample opportunity to 

mstockstill on PROD1PC66 with RULES2

59060 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

bank emission credits prior to the 

implementation date of the standards 

and will provide greater incentive for 

more small business engine 

manufacturers to introduce advanced 

technology earlier across the nation than 

will otherwise occur. The ABT program 

applies only to conventional SD/I 

engines so the early credit provisions 

will not apply to SD/I high-performance 

engines. 

(d) Assigned Emission Rates for SD/I 

High-Performance Engines 

In the proposal, EPA noted that 

engine manufacturers using emission 

credits to comply with the standard will 

still need to test engines to calculate 

how many emission credits are needed. 

To minimize this testing burden, we 

proposed to allow manufacturers to use 

assigned baseline emission rates for 

certification based on previously 

generated emission data. As discussed 

above, we are adopting less stringent 

standards for SD/I high-performance 

engines that do not allow for the use of 

the ABT program for demonstrating 

compliance with the standards. We are 

not adopting baseline HC+NOX and CO 

emission rates for SD/I highperformance engines since the proposed 

levels were higher than the standards 

being adopted and therefore are of no 

use without an ABT program. 

(e) Alternative Standards for SD/I HighPerformance Engines 

In the proposal, EPA cited concerns 

raised by small businesses that catalysts 

had not been demonstrated on highperformance engines and that they may 

not be practicable for this application 

and therefore requested comment on the 

need for and level of alternative 

standards for SD/I high-performance 

engines. As described in Section III.C.1, 

we are adopting a less stringent set of 

exhaust emission standards for SD/I 

high-performance engines than 

originally proposed. 

In addition, as described in Section 

III.C.2, we are not adopting NTE 

standards for SD/I high-performance 

engines (See § 1045.105). This is 

consistent with the SBAR Panel 

recommendation that NTE standards not 

apply to SD/I high-performance engines. 

(f) Broad Engine Families for SD/I HighPerformance Engines 

In the proposal, EPA noted that the 

testing burden could be reduced by 

using broader definitions of engine 

families. As proposed, we are adopting 

provisions to allow small businesses to 

group all their SD/I high-performance 

engines into a single engine family for 

certification (see § 1045.230). A 

manufacturer will need to perform 

emission tests only on the engine in that 

family that is most likely to exceed an 

emission standard. 

(g) Simplified Test Procedures for SD/I 

High-Performance Engines 

Existing testing requirements include 

detailed specifications for the 

calibration and maintenance of testing 

equipment and tolerances for 

performing the actual tests. For 

laboratory equipment and testing, these 

specifications and tolerances are 

intended to achieve the most repeatable 

results feasible given testing hardware 

capabilities. For SD/I high-performance 

engines, EPA is adopting a provision 

that allows for different equipment than 

is specified for the laboratory and with 

less restrictive specifications and 

tolerances more typical of in-use testing 

(see § 1045.501(h)). These less 

restrictive specifications will facilitate 

less expensive testing for businesses, 

with little or no negative effect on the 

environment. The relaxation on these 

specifications is especially helpful for 

testing high-performance engines due to 

their high exhaust flow rates, 

temperatures, and emission 

concentrations. This provision is 

available to all SD/I high-performance 

engine manufacturers, regardless of 

business size. 

(h) Reduced Testing Requirements for 

SD/I Engines 

We are adopting provisions to allow 

small-volume engine manufacturers to 

use an assigned deterioration factor to 

demonstrate compliance with the 

standards for certification rather than 

doing service accumulation and 

additional testing to measure 

deteriorated emission levels at the end 

of the regulatory useful life (see 

§ 1045.240). EPA is not specifying actual 

levels for the assigned deterioration 

factors in this final rule. EPA intends to 

analyze available emission deterioration 

information to determine appropriate 

deterioration factors for SD/I engines. 

The data will likely include durability 

information from engines certified to 

California ARB’s standards and may 

also include engines certified early to 

EPA’s standards. Prior to the 

implementation date for the SD/I 

standards, EPA will provide guidance to 

engine manufacturers specifying the 

levels of the assigned deterioration 

factors for small-volume engine 

manufacturers. 

We proposed to exempt small-volume 

manufacturers of SD/I engines from the 

production-line testing requirements. 

However, we are dropping the 

production-line testing requirements for 

all SD/I engine manufacturers. 

Therefore, no production-line testing 

will be required of any SD/I engine 

manufacturer, whether large or small 

(see § 1045.301). 

(i) Hardship Provisions 

We are adopting two types of 

hardship provisions for SD/I engine 

manufacturers, consistent with the 

Panel recommendations. EPA used the 

SBA size standards for purposes of 

defining ‘‘small businesses’’ for its 

regulatory flexibility analysis. The 

eligibility criteria for the hardship 

provisions described below reflect 

EPA’s consideration of the Panel’s 

recommendations and a reasonable 

application of existing hardship 

provisions. As has been our experience 

with similar provisions already adopted, 

we anticipate that hardship mechanisms 

will be used sparingly. First, under the 

unusual circumstances hardship 

provision, any manufacturer subject to 

the new standards may apply for 

hardship relief if circumstances outside 

their control cause the failure to comply 

and if failure to sell the subject engines 

or equipment or fuel system component 

would have a major impact on the 

company’s solvency (see § 1068.245). 

An example of an unusual circumstance 

outside a manufacturer’s control may be 

an ‘‘Act of God,’’ a fire at the 

manufacturing plant, or the unforeseen 

shutdown of a supplier with no 

alternative available. The terms and 

time frame of the relief will depend on 

the specific circumstances of the 

company and the situation involved. As 

part of its application for hardship, a 

company will be required to provide a 

compliance plan detailing when and 

how it will achieve compliance with the 

standards. This hardship provision will 

be available to all manufacturers of 

engines, equipment, boats, and fuel 

system components subject to the new 

standards, regardless of business size. 

Second, an economic hardship 

provision allows small businesses 

subject to the new standards to petition 

EPA for limited additional lead time to 

comply with the standards (see 

§ 1068.250). A small business must 

make the case that it has taken all 

possible business, technical, and 

economic steps to comply, but the 

burden of compliance costs would 

jeopardize the company’s solvency. 

Hardship relief could include 

requirements for interim emission 

reductions and/or the purchase and use 

of emission credits. The length of the 

hardship relief decided during review of 

the hardship application will be up to 

one year, with the potential to extend 

the relief as needed. We anticipate that 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59061 

one to two years will normally be 

sufficient. As part of its application for 

hardship, a company will be required to 

provide a compliance plan detailing 

when and how it will achieve 

compliance with the standards. This 

hardship provision will be available 

only to qualifying small businesses. 

Because boat builders in many cases 

will depend on engine manufacturers to 

supply certified engines in time to 

produce complying boats, we are also 

providing a hardship provision for all 

boat builders, regardless of size, that 

will allow the builder to request more 

time if they are unable to obtain a 

certified engine and they are not at fault 

and will face serious economic hardship 

without an extension (see § 1068.255). 

G. Technological Feasibility 

(1) Level of Standards 

Over the past few years, 

developmental programs have 

demonstrated the capabilities of 

achieving significant reductions in 

exhaust emissions from SD/I engines. 

California ARB has acted on this 

information to set an HC+NOX emission 

standard of 5 g/kW-hr for SD/I engines, 

starting in 2008. At this time, three 

engine manufacturers have certified SD/ 

I engines to these standards. Chapter 4 

of the Final RIA presents data from 

these engines as well as detailed data on 

several developmental SD/I engines 

with catalysts packaged within watercooled exhaust manifolds. Four of these 

developmental engines were operated 

with catalysts in vessels for 480 hours. 

The remaining developmental engines 

were tested with catalysts that had been 

subjected to a rapid-aging cycle in the 

laboratory. Data from these catalystequipped engines support the level of 

the standards. 

SD/I high-performance engines have 

very high power outputs, large exhaust 

gas flow rates, and relatively high 

concentrations of hydrocarbons and 

carbon monoxide in the exhaust gases. 

As a result, we believe it is not practical 

to apply catalyst technology to these 

engines. We are therefore adopting 

standards for SD/I high-performance 

engines based on the level of control 

that can be expected from recalibration 

with electronically controlled fuel 

injection. 

(2) Implementation Dates 

We anticipate that manufacturers will 

use the same catalyst designs to meet 

the final standards that they will use to 

meet the California ARB standards for 

SD/I engines in 2008. We believe a 

requirement to extend the California 

standards nationwide after a two-year 

delay allows manufacturers adequate 

time to incorporate catalysts across their 

product lines. Once the technology is 

developed for use in California, it will 

be available for use nationwide. In fact, 

several engine models currently 

certified to the California standards are 

already available with catalysts 

nationwide. As discussed above, we are 

accommodating the transition to new 

base engines by agreeing to one year of 

hardship relief for companies that 

would otherwise need to design and 

certify an engine for that one year before 

it becomes obsolete. 

(3) Technological Approaches 

Engine manufacturers can adapt 

readily available technologies to control 

emissions from SD/I engines. 

Electronically controlled fuel injection 

gives manufacturers more precise 

control of the air/fuel ratio in each 

cylinder, thereby giving them greater 

flexibility in how they calibrate their 

engines. With the addition of an oxygen 

sensor, electronic controls give 

manufacturers the ability to use closedloop control, which is especially 

valuable when using a catalyst. In 

addition, manufacturers can achieve 

HC+NOX reductions through the use of 

exhaust gas recirculation. However, the 

most effective technology for controlling 

emissions is a three-way catalyst in the 

exhaust stream. 

In SD/I engines, the exhaust 

manifolds are water-jacketed and the 

water mixes with the exhaust stream 

before exiting the vessel. Manufacturers 

add a water jacket to the exhaust 

manifold to meet temperature-safety 

protocol. They route this cooling water 

into the exhaust to protect the exhaust 

couplings and to reduce engine noise. 

Catalysts must therefore be placed 

upstream of the point where the exhaust 

and water mix-this ensures the 

effectiveness and durability of the 

catalyst. Because the catalyst must be 

small enough to fit in the exhaust 

manifold, potential emission reductions 

are not likely to exceed 90 percent, as 

is common in land-based applications. 

However, as discussed in Chapter 4 of 

the Final RIA, data on catalyst-equipped 

SD/I engines show that emissions may 

be reduced by 70 to 80 percent for 

HC+NOX and 30 to 50 percent for CO 

over the test cycle. Larger reductions, 

especially for CO, have been achieved at 

lower-speed operation. 

There have been concerns that aspects 

of the marine environment could result 

in unique durability problems for 

catalysts. The primary aspects that 

could affect catalyst durability are 

sustained operation at high load, 

saltwater effects on catalyst efficiency, 

and thermal shock from cold water 

coming into contact with a hot catalyst. 

Modern catalysts perform well at 

temperatures up to 1100 °C, which is 

much higher than expected in a marine 

exhaust manifold. These catalysts have 

also been shown to withstand the 

thermal shock of being immersed in 

water. More detail on catalyst durability 

is presented in the Final RIA. In 

addition, use of catalysts in automotive, 

motorcycle, and handheld equipment 

has shown that catalysts can be 

packaged to withstand vibration in the 

exhaust manifold. 

Manufacturers already strive to design 

their exhaust systems to prevent water 

from reaching the exhaust ports. If too 

much water reaches the exhaust ports, 

significant durability problems will 

result from corrosion or hydraulic lock. 

As discussed in the Final RIA, industry 

and government worked on a number of 

cooperative test programs in which 

several SD/I engines were equipped 

with catalysts and installed in vessels to 

prove out the technology. Early in the 

development work, a study was 

performed on an SD/I engine operating 

in a boat to see if water was entering the 

part of the manifold where catalysts will 

be installed. Although some water was 

collected in the exhaust manifold, it was 

found that this water came from water 

vapor that condensed out of the 

combustion products. This was easily 

corrected using a thermostat to prevent 

overcooling from the water jacket. 

Four SD/I engines equipped with 

catalysts were operated in vessels for 

480 hours in fresh water. This time 

period was intended to represent the 

full expected operating life of a typical 

SD/I engine. No significant deterioration 

was observed on any of these catalysts, 

nor was there any evidence of water 

reaching the catalysts. In addition, the 

catalysts were packaged such that the 

exhaust system met industry standards 

for maximum surface temperatures. 

Testing has been performed on one 

engine in a vessel on both fresh water 

and saltwater over a test protocol 

designed by industry to simulate the 

worst-case operation for water 

reversion. No evidence was found of 

water reaching the catalysts. After the 

testing, the engine had emission rates 

below the HC+NOX standard. We later 

engaged in a test program to evaluate 

three additional engines with catalysts 

in vessels operating on saltwater for 

extended periods. Early in the program, 

two of the three manifolds experienced 

corrosion in the salt-water environment 

resulting in water leaks and damage to 

the catalyst. These manifolds were 

rebuilt with guidance from experts in 

the marine industry and additional 

mstockstill on PROD1PC66 with RULES2

59062 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

hours were accumulated on the boats. 

Although the accumulated hours are 

well below the 480 hours performed on 

fresh water, the operation completed 

showed no visible evidence of water 

reversion or damage to the catalysts. 

Three SD/I engine manufacturers have 

certified SD/I engines to the California 

ARB standards, and some catalystequipped engines are available for 

purchase nationwide. Manufacturers 

have indicated that they have 

successfully completed durability 

testing, including extended in-use 

testing on saltwater. 

(4) Regulatory Alternatives 

In developing the final emission 

standards, we considered both what was 

achievable without catalysts and what 

could be achieved with larger, more 

efficient catalysts than those used in our 

test programs. Chapter 4 of the Final 

RIA presents data on SD/I engines 

equipped with exhaust gas recirculation 

(EGR). HC+NOX emission levels below 

10 g/kW-hr were achieved for each of 

the engines. CO emissions ranged from 

25 to 185 g/kW-hr. We believe EGR will 

be a technologically feasible and costeffective approach to reducing 

emissions from SD/I marine engines. 

However, we believe greater reductions 

could be achieved through the use of 

catalysts. We considered basing an 

interim standard on EGR, but were 

concerned that this will divert 

manufacturers’ resources away from 

catalyst development and could have 

the effect of delaying emission 

reductions from this sector. 

Several of the marine engines with 

catalysts that were tested as part of the 

development of the standards had 

HC+NOX emission rates appreciably 

lower that 5 g/kW-hr, even with 

consideration of expected in-use 

emissions deterioration associated with 

catalyst aging. However, we believe a 

standard of 5 g/kW-hr is still 

appropriate given the potential 

variability in in-use performance and in 

test data. The test programs described in 

Chapter 4 of the Final RIA did not 

investigate larger catalysts for SD/I 

applications. The goal of the testing was 

to demonstrate catalysts that will work 

within the packaging constraints 

associated with water jacketing the 

exhaust and fitting the engines into 

engine compartments on boats. 

However, we did perform testing on 

engines equipped with both catalysts 

and EGR. These engines showed 

emission results in the 2–3 g/kW-hr 

range. We expect that these same 

reductions could be achieved more 

simply through the use of larger 

catalysts or catalysts with higher 

precious metal loading. Past experience 

indicates that most manufacturers will 

strive to achieve emission reductions 

well below the final standards to give 

them certainty that they will pass the 

standards in-use, especially as catalysts 

on SD/I engines are a new technology. 

Therefore, we do not believe it is 

necessary at this time to set a lower 

standard for these engines. 

For SD/I high-performance engines, 

we originally proposed a standard based 

on the use of catalysts and then 

considered a less stringent alternative 

based on engine fuel system upgrades, 

calibration, or other minor changes such 

as an air injection pump rather than 

catalytic control. However, 

manufacturers commented that catalysts 

are not practical for these engines due 

to the high exhaust flow rates, high 

emission rates, and short time between 

rebuilds. In the final rule, we are 

establishing standards that can be met 

through the use of engine controls, 

similar to the alternative standard that 

was analyzed in the proposal. Because 

we do not consider catalyst-based 

standards to be feasible for highperformance engines at this time, we 

did not model a more stringent 

alternative for these engines. 

(5) Our Conclusions 

We believe the final 2010 exhaust 

emission standards for SD/I engines 

represent the greatest degree of emission 

reduction achievable in this time frame. 

Manufacturers of conventional SD/I 

engines can meet the standards through 

the use of three-way catalysts packaged 

in the exhaust systems upstream of 

where the water and exhaust mix. 

Manufacturers are already selling 

engines with this technology. By 2010 

there will be widespread experience in 

applying emission controls to a large 

number of engine models. 

As discussed in Section VII, we do 

not believe the final standards will have 

negative effects on energy, noise, or 

safety and may lead to some positive 

effects. 

IV. Outboard and Personal Watercraft 

Engines 

A. Overview 

This section applies to spark-ignition 

outboard and personal watercraft (OB/ 

PWC) marine engines and vessels. OB/ 

PWC engines are currently required to 

meet the HC+NOX exhaust emissions 

and other related requirements under 40 

CFR part 91. As a result of these 

standards, manufacturers have spent the 

last several years developing new 

technologies to replace traditional 

carbureted two-stroke engine designs. 

Many of these technologies are capable 

of emission levels well below the 

current standards. We are adopting new 

HC+NOX and CO exhaust emission 

standards for OB/PWC marine engines 

reflecting the capabilities of these new 

technologies. 

For outboard and personal watercraft 

engines, the current emission standards 

regulate only HC+NOX emissions. As 

described in Section II, we are making 

the finding under Clean Air Act section 

213(a)(3) that Marine SI engines cause 

or contribute to CO nonattainment in 

two or more areas of the United States. 

We believe manufacturers can use 

readily available technological 

approaches to design their engines to 

meet the new standards. In fact, as 

discussed in Chapter 4 of the Final RIA, 

manufacturers are already producing 

several models of four-stroke engines 

and direction-injection two-stroke 

engines that meet the new standards. 

The most important compliance step for 

the standards will be to retire highemitting designs that are still available 

and replace them with these cleaner 

engines. We are not establishing 

standards based on the use of catalytic 

converters in OB/PWC engines. While 

this may be an attractive technology in 

the future, we do not believe there has 

been sufficient development work on 

the application of catalysts to OB/PWC 

engines to use as a basis for standards 

at this time. 

Note that we are migrating the 

regulatory requirements for marine 

spark-ignition engines from 40 CFR part 

91 to 40 CFR part 1045. Manufacturers 

must comply with the provisions in part 

1045 for an engine once the exhaust 

emission standards begin to apply in 

2010. This gives us the opportunity to 

update the details of our certification 

and compliance program to be 

consistent with the comparable 

provisions that apply to other engine 

categories and describe regulatory 

requirements in plain language. Most of 

the change in regulatory text provides 

improved clarity without substantially 

changing procedures or compliance 

obligations. Where there is a change that 

warrants further attention, we describe 

the need for the change below. 

Engines and vessels subject to part 

1045 are also subject to the general 

compliance provisions in 40 CFR part 

1068. These include prohibited acts and 

penalties, exemptions and importation 

provisions, selective enforcement 

audits, defect reporting and recall, and 

hearing procedures. See Section VIII of 

the preamble to the proposed rule for 

further discussion of these general 

compliance provisions. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59063 

B. Engines Covered by This Rule 

(1) Definition of Outboard and Personal 

Watercraft Engines and Vessels 

The final standards are intended to 

apply to outboard marine engines and 

engines used to propel personal 

watercraft. We are changing the 

definitions of outboard and personal 

watercraft to reflect this intent. The 

original definitions of outboard engine 

and personal watercraft marine engine 

adopted in 40 CFR part 91 are presented 

below: 

• Outboard engine is a Marine SI 

engine that, when properly mounted on 

a marine vessel in the position to 

operate, houses the engine and drive 

unit external to the hull of the marine 

vessel. 

• Personal watercraft engine (PWC) is 

a Marine SI engine that does not meet 

the definition of outboard engine, 

inboard engine, or sterndrive engine, 

except that the Administrator in his or 

her discretion may classify a PWC as an 

inboard or sterndrive engine if it is 

comparable in technology and 

emissions to an inboard or sterndrive 

engine. 

With the implementation of catalystbased standards for sterndrive and 

inboard marine engines, we believe the 

above definitions could be problematic. 

Certain applications using SD/I engines 

and able to apply catalyst control will 

not be categorized as SD/I under the 

original definitions in at least two cases. 

First, an airboat engine, which is often 

mounted well above the hull of the 

engine and used to drive an aircraft-like 

propeller could be misconstrued as an 

outboard engine. However, like 

traditional sterndrive and inboard 

engines, airboat engines are typically 

derived from automotive-based engines 

without substantial modifications for 

marine application. Airboat engines can 

use the same technologies that are 

available to sterndrive and inboard 

engines, so we believe they should be 

subject to the same standards. To 

address the concerns about classifying 

airboats, we are changing the outboard 

definition to specify that the engine and 

drive unit be a single, self-contained 

unit that is designed to be lifted out of 

the water. This clarifies that air boats 

are not outboard engines; air boats do 

not have engines and drive units that 

are designed to be lifted out of the 

water. We are adopting the following 

definition: 

• Outboard engine means an 

assembly of a spark-ignition engine and 

drive unit used to propel a marine 

vessel from a properly mounted position 

external to the hull of the marine vessel. 

An outboard drive unit is partially 

submerged during operation and can be 

tilted out of the water when not in use. 

Second, engines used on jet boats 

(with an open bay for passengers) have 

size, power, and usage characteristics 

that are very similar to sterndrive and 

inboard applications, but these engines 

may be the same as OB/PWC engines, 

rather than the marinized automotive 

engines traditionally used on sterndrive 

vessels. Because jet boat engines may be 

the same as OB/PWC engines, the 

regulations classified them as OB/PWC 

engines unless the Agency classified 

them as SD/I due to comparable 

technology and emissions as SD/I 

engines. However, as explained in the 

proposed rule, we believe classifying 

such engines as personal watercraft 

engines is inappropriate because it will 

subject the jet boats to less stringent 

emission standards than other boats 

with similar size, power, and usage 

characteristics, and thus potentially lead 

to increased use of high-emitting 

engines in these vessels. Because the 

current regulations authorize engines 

powering jet boats to be treated as SD/ 

I engines at the discretion of the 

Agency, but do not compel such 

classification, we are finalizing 

amendments to the definition to 

explicitly exclude jet boats and their 

engines from being treated as personal 

watercraft engines or vessels. Instead, 

we are classifying jet boat engines as 

SD/I engines. 

The new definition conforms to the 

definition of personal watercraft 

established by the International 

Organization for Standardization (ISO 

13590). This ISO standard excludes 

open-bay vessels and specifies a 

maximum vessel length of 4 meters. The 

ISO standard for personal watercraft 

therefore excludes personal watercraftlike vessels 4 meters or greater and jet 

boats. Thus, engines powering such 

vessels will be classified as sterndrive/ 

inboard engines. We believe this 

definition effectively serves to 

differentiate vessels in a way that 

groups propulsion engines into 

categories that are appropriate for 

meeting different emission standards. 

This approach is shown below with the 

corresponding definition of personal 

watercraft engine. We are making one 

change to the ISO definition for 

domestic regulatory purposes; we are 

removing the word ‘‘inboard’’ to prevent 

confusion between PWC and inboard 

engines and state specifically that a 

vessel powered by an outboard marine 

engine is not a PWC. We are revising the 

definitions as follows: 

• Personal watercraft means a vessel 

less than 4.0 meters (13 feet) in length 

that uses an installed spark-ignition 

engine powering a water jet pump as its 

primary source of propulsion and is 

designed with no open load carrying 

area that would retain water. The vessel 

is designed to be operated by a person 

or persons positioned on, rather than 

within the confines of the hull. A vessel 

using an outboard engine as its primary 

source of propulsion is not a personal 

watercraft. 

• Personal watercraft engine means a 

spark-ignition engine used to propel a 

personal watercraft. 

Section III.C.3 describes special 

provisions that will allow 

manufacturers extra flexibility with 

emission credits if they want to 

continue using outboard or personal 

watercraft engines in jet boats. These 

engines will need to meet the standards 

for sterndrive/inboard engines, but we 

believe it is appropriate for them to 

make this demonstration using emission 

credits generated by other outboard and 

personal watercraft engines because 

these vessels are currently using these 

engine types. 

(2) Exclusions and Exemptions 

We are maintaining the current 

exemptions for OB/PWC engines. These 

include the testing exemption, the 

manufacturer-owned exemption, the 

display exemption, and the nationalsecurity exemption. If the conditions for 

an exemption are met, the engine is not 

subject to the exhaust emission 

standards. These exemptions are 

described in more detail in Section VIII 

of the preamble to the proposed rule. 

The Clean Air Act provides for 

different treatment of engines used 

solely for competition. In the initial 

rulemaking to set standards for OB/PWC 

engines, we adopted the conventional 

definitions that excluded engines from 

the regulations if they had features that 

were difficult to remove and that made 

it unsafe, impractical, or unlikely to be 

used for noncompetitive purposes. We 

have more recently taken the approach 

in other programs of more carefully 

differentiating competition and 

noncompetition models, and are 

adopting these kinds of changes in this 

rule. The changes to the provisions 

relating to competition engines apply 

equally to all types of Marine SI 

engines. See Section III.B and 

§ 1045.620 of the regulations for a full 

discussion of the new approach. 

We are incorporating a new 

exemption to address individuals who 

manufacture recreational marine vessels 

for personal use as described in Section 

III.B.2. 

In the rulemaking for recreational 

vehicles, we chose not to apply 

standards to hobby products by 

mstockstill on PROD1PC66 with RULES2

59064 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

exempting all reduced-scale models of 

vehicles that are not capable of 

transporting a person (67 FR 68242, 

November 8, 2002). We are extending 

that same provision to OB/PWC marine 

engines (see § 1045.5). 

C. Final Exhaust Emission Standards 

We are requiring more stringent 

exhaust emission standards for new OB/ 

PWC marine engines. These standards 

can be met through expanded reliance 

on four-stroke engines and two-stroke 

direct-injection engines. This section 

describes the new requirements for OB/ 

PWC engines for controlling exhaust 

emissions. See Section VI for a 

description of the final requirements 

related to evaporative emissions. 

(1) Standards and Dates 

We are requiring new HC+NOX

standards for OB/PWC engines starting 

in model year 2010 that will achieve 

more than a 60 percent reduction from 

the 2006 standards (see § 1045.103). We 

are also establishing new CO emission 

standards. These standards will result in 

meaningful CO reductions from many 

engines and prevent CO from increasing 

for engines that already use technologies 

with lower CO emissions. The new 

emission standards are largely based on 

certification data from cleaner-burning 

four-stroke engines and two-stroke 

direct-injection engines that are certified 

under part 91. Section IV.H discusses 

the technological feasibility of these 

standards in more detail. Table IV–1 

presents the exhaust emission standards 

for OB/PWC. The HC+NOX emission 

standards are the same as those adopted 

by California ARB for 2008 and later 

model years. We are also applying notto-exceed emission standards over a 

range of engine operating conditions, as 

described in Section IV.C.2. 

TABLE IV–1: OB/PWC EXHAUST EMISSION STANDARDS [G/KW-HR] 

Pollutant Power Emission standard 

HC+NOX .................................................................................................................. P ≤ 4.3 kW 30.0 

P > 4.3 kW 2.1 + 0.09 × (151 + 557/P0.9)) 

CO ............................................................................................................................ P ≤ 40 kW 500—5.0 × P 

P> 40 kW 300 

Note: P = maximum engine power in kilowatts (kW). 

Our implementation date allows two 

additional years beyond the 

implementation date of the same 

standards in California. Manufacturers 

generally sell their lower-emission 

engines, which are already meeting the 

2008 California standards, nationwide. 

However, the additional time will give 

manufacturers time to address any 

models that may not meet the upcoming 

California standards or are not sold in 

California. This also accommodates the 

lead time concerns with the timing of 

this final rule as expressed by the 

commenters. 

The emission standards apply at the 

range of atmospheric pressures 

represented by the test conditions 

specified in part 1065. This includes 

operation at elevated altitudes. Since 

not all engines have electronic engines 

with feedback controls to incorporate 

altitude compensation, we are taking the 

same approach here as for Small SI 

engines where a similar dynamic is in 

place. Specifically, we are requiring that 

all engines must comply with emission 

standards in the standard configuration 

(i.e., without an altitude kit) at 

barometric pressures above 94.0 kPa, 

which corresponds to altitudes up to 

about 2,000 feet above sea level (see 

§ 1045.115). This will ensure that all 

areas east of the Rocky Mountains and 

most of the populated areas in Pacific 

Coast states will have compliant engines 

without depending on engine 

adjustments. This becomes more 

important as we anticipate 

manufacturers increasingly relying on 

technologies that are sensitive to 

controlling air-fuel ratio for reducing 

emissions. For operation at higher 

altitudes, manufacturers may rely on an 

altitude kit that allows their engines to 

meet emission standards at higher 

elevations. In this case, engine 

manufacturers must describe the kit 

specifications in their application for 

certification and identify in the owner’s 

manual the altitude ranges for proper 

engine performance and emission 

control that are expected with and 

without the altitude kit. The owner’s 

manual must also state that operating 

the engine with the wrong engine 

configuration at a given altitude may 

increase its emissions and decrease fuel 

efficiency and performance. The 

regulations specify that owners may 

follow the manufacturer’s instructions 

to modify their engines with altitude 

kits without violating the tampering 

prohibition. See Section IV.E.8 for 

further discussion related to the 

deployment of altitude kits where the 

manufacturers rely on them for 

operation at higher altitudes. 

The new standards include the same 

general provisions that apply today. For 

example, engines must control 

crankcase emissions. The regulations 

also require compliance over the full 

range of adjustable parameters and 

prohibit the use of defeat devices. (See 

§ 1045.115.) 

(2) Not-to-Exceed Standards 

We are adopting emission standards 

that apply over an NTE zone. The NTE 

standards are in the form of a multiplier 

times the duty-cycle standard for 

HC+NOX and for CO (see § 1045.105). 

Section IV.D.5 gives an overview of the 

NTE standards and compliance 

provisions and describes the NTE test 

procedures. 

Manufacturers commented that 

certification to the NTE standards 

requires additional testing even for 

engine models that are currently 

certified to emission levels below the 

new duty-cycle based standards. In 

addition, they expressed concern that 

they may need to recalibrate existing 

engine models to meet the NTE 

standards. Manufacturers commented 

that this would not be possible by 2010 

because of the large number of engine 

models. For most engines, 

manufacturers carry over preexisting 

certification test data from year to year. 

Manufacturers commented that 

additional time would be necessary to 

retest, and potentially recalibrate, all 

these engines for certification to the 

NTE standards. To address these issues 

regarding lead time needed to retest 

these engines, we are not applying the 

NTE standards for 2010–2012 model 

year engines that are certified using 

preexisting data (i.e., carryover engine 

families). For new engine models, 

manufacturers indicated that they will 

be able to perform the NTE testing and 

duty-cycle testing as part of their efforts 

to certify to the new standards. 

Therefore the primary implementation 

date of 2010 applies to these engines. 

Beginning in the 2013 model year, all 

conventional OB/PWC engines must be 

certified to meet the NTE standards. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59065 

This NTE approach complements the 

weighted modal emission tests included 

in this rule. These steady-state duty 

cycles and standards are intended to 

establish average emission levels over 

several discrete modes of engine 

operation. Because it is an average, 

manufacturers design their engines with 

emission levels at individual points 

varying as needed to maintain 

maximum engine performance and still 

meet the engine standard. The NTE 

limit will be an additional requirement. 

It is intended to ensure that emission 

controls function with relative 

consistency across the full range of 

expected operating conditions. 

(3) Emission Credit Programs 

Engine manufacturers may use 

emission credits to meet OB/PWC 

standards under part 91. We are 

adopting an ABT program for the new 

HC+NOX emission standards that is 

similar to the previous program (see part 

1045, subpart H). A description of the 

ABT provisions for the new OB/PWC 

standards is described below. 

OB/PWC engine manufacturers that 

have generated HC+NOX credits under 

the 2006 standards will be able to use 

those credits to demonstrate compliance 

with the new HC+NOX standards being 

adopted in this final rule. The credits 

generated under the 2006 standards are 

subject to a three-year credit life. 

Therefore, a manufacturer will be able 

to use those credits for demonstrating 

compliance with the new standards as 

long as the credits have not expired. 

We are allowing an indefinite life for 

emission credits earned under the new 

standards for OB/PWC engines. We 

consider these emission credits to be 

part of the overall program for 

complying with standards. Given that 

we may consider further reductions 

beyond these standards in the future, we 

believe it will be important to assess the 

ABT credit situation that exists at the 

time any further standards are 

considered. Emission credit balances 

will be part of the analysis for 

determining the appropriate level and 

timing of new standards, consistent 

with the statutory requirement to 

establish standards that represent the 

greatest degree of emission reduction 

achievable, considering cost, safety, lead 

time, and other factors. If we were to 

allow the use of credits generated under 

the standards adopted in this rule to 

meet more stringent standards adopt in 

a future rulemaking, we may need to 

adopt emission standards at more 

stringent levels or with an earlier start 

date than we would absent the 

continued use of existing emission 

credits, depending on the level of 

emission credit banks. Alternatively, we 

may adopt future standards without 

allowing the use of existing emission 

credits. 

We are adopting the equation for 

calculating emission credits for OB/ 

PWC engines as proposed. This 

equation represents a simpler 

calculation than is currently used for 

OB/PWC engines and is based on the 

equation that is common in many of our 

other ABT programs. The primary 

difference is that the regulatory useful 

life will be used in the credit calculation 

rather than a discounted useful life 

function based on engine type and 

power rating. In addition, the emission 

credits will be reported in units of 

kilograms rather than grams. 

We are also adopting an averaging 

program for CO emissions. Under this 

program, manufacturers can generate 

credits with engine families that have 

FELs below the CO emission standard to 

be used for engine families in their 

product line in the same model year that 

are above the CO standard. However, we 

are not establishing a banking program 

for CO emissions. As noted in the 

proposal, we are concerned that a 

banking program could result in a large 

accumulation of credits based on a 

given company’s mix of engine 

technologies. Furthermore, because we 

generally allow trading only with 

banked credits, we are not allowing 

trading of CO emission credits. 

EPA proposed that manufacturers 

would not be able to earn credits for one 

pollutant while using credits to comply 

with the emissions standard for another 

pollutant. We are dropping that 

provision for the final rule. The 

proposed restriction was modeled on 

similar requirements in other ABT 

programs where there was concern that 

a manufacturer could use technologies 

to reduce one pollutant while increasing 

another pollutant. The types of 

technologies manufacturers are 

expected to use to comply with the new 

standards include direct-injection twostroke engines or four-stroke engines. 

Both of these technologies should result 

in reductions in both HC+NOX

emissions and CO emissions compared 

to current designs. While the 

technologies are expected to reduce 

both HC+NOX emissions and CO 

emissions, there could be situations 

where these technologies are capable of 

meeting one of the emission standards 

but not the other. EPA does not want to 

preclude such engines from being able 

to certify using the provisions of the 

ABT program and is therefore dropping 

the proposed restriction from the final 

rule. 

For OB/PWC engines subject to the 

new emission standards, we are 

adopting FEL caps to prevent the sale of 

very high-emitting engines. For 

HC+NOX, the FEL cap will be the 

applicable 2006 and later model year 

HC+NOX standard, which is dependent 

on the average power of an engine 

family. For CO, the FEL cap will be 150 

g/kW-hr above the newly adopted CO 

standard, which is also dependent on 

the average power of an engine family. 

We believe these FEL caps will allow a 

great deal of flexibility for 

manufacturers using credits, but will 

require manufacturers to stop producing 

engines that emit pollutants at 

essentially uncontrolled levels. 

We are specifying that OB/PWC 

engines are in a separate averaging set 

from SD/I engines, with an exception for 

certain jet boat engines. This means that 

credits earned by OB/PWC engines may 

be used only to offset higher emissions 

from other OB/PWC engines. Likewise, 

credits earned by SD/I engines may be 

used only to offset higher emissions 

from other SD/I engines. As described in 

Section III.C.2, manufacturers will be 

able to use credits generated from OB/ 

PWC engines to demonstrate that their 

jet boat engines meet the HC+NOX and 

CO standards for SD/I engines if the 

majority of units sold in the United 

States from those related OB/PWC 

engine families are sold for use as OB/ 

PWC engines. 

Finally, manufacturers may include as 

part of their federal credit calculation 

the sales of engines in California as long 

as they don’t separately account for 

those emission credits under the 

California regulations. We originally 

proposed to exclude engines sold in 

California that are subject to the 

California ARB standards. However, we 

consider California’s current HC+NOX

standards to be equivalent to those we 

are adopting in this rulemaking, so we 

would expect a widespread practice of 

producing and marketing 50-state 

products. Therefore, as long as a 

manufacturer is not generating credits 

under California’s averaging program for 

OB/PWC engines, we would allow 

manufacturers to count those engines 

when calculating credits under EPA’s 

program. This is consistent with how 

EPA allows credits to be calculated in 

other nonroad sectors, such as 

recreational vehicles. 

(4) Durability Provisions 

We are keeping the useful life periods 

from 40 CFR part 91. The specified 

useful life for outboard engines is 10 

years or 350 hours of operation, 

whichever comes first. The useful life 

for personal watercraft engines is 5 

mstockstill on PROD1PC66 with RULES2

59066 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

95See our previous rulemakings related to 40 CFR 

part 1065 for more information about the changes 

in test provisions (70 FR 40420, July 13, 2005 and 

67 FR 68242, November 8, 2002). 

years or 350 hours of operation, 

whichever comes first. (See § 1045.103.) 

We are updating the specified 

emissions warranty periods for outboard 

and personal watercraft engines to align 

with our other emission control 

programs (see § 1045.120). Most 

nonroad engines have emissions 

warranty periods that are half of the 

total useful life period. Accordingly, the 

new warranty period for outboard 

engines is five years or 175 hours of 

operation, whichever comes first. The 

new warranty period for personal 

watercraft engines is 30 months or 175 

hours, whichever comes first. This 

contrasts somewhat with the currently 

specified warranty period of 200 hours 

or two years (or three years for specified 

major emission control components). 

The new approach will slightly decrease 

the warranty period in terms of hours, 

but will somewhat increase the period 

in terms of calendar years (or months). 

If the manufacturer offers a longer 

mechanical warranty for the engine or 

any of its components at no additional 

charge, we are requiring that the 

emission-related warranty for the 

respective engine or component must be 

extended by the same amount. The 

emission-related warranty includes 

components related to controlling 

exhaust, evaporative, and crankcase 

emissions from the engine. This 

approach to setting warranty 

requirements is consistent with 

provisions that apply in most other 

programs for nonroad engines. 

We are keeping the requirements 

related to demonstrating the durability 

of emission controls for purposes of 

certification (see § 1045.235, § 1045.240, 

and § 1045.245). Manufacturers must 

run engines long enough to develop and 

justify full-life deterioration factors. 

This allows manufacturers to generate a 

deterioration factor that helps ensure 

that the engines will continue to control 

emissions over a lifetime of operation. 

The new requirement to generate 

deterioration factors for CO emissions is 

the same as that for HC+NOX emissions. 

For the HC+NOX standard, we are 

requiring that manufacturers use a 

single deterioration factor for the sum of 

HC and NOX emissions. However, if 

manufacturers get our approval to 

establish a deterioration factor on an 

engine that is tested with service 

accumulation representing less than the 

full useful life for any reason, we will 

require separate deterioration factors for 

HC and NOX emissions. The advantage 

of a combined deterioration factor is 

that it can account for an improvement 

in emission levels with aging. However, 

for engines that have service 

accumulation representing less than the 

full useful life, we believe it is not 

appropriate to extrapolate measured 

values indicating that emission levels 

for a particular pollutant will decrease. 

Under the current regulations, 

emission-related maintenance is not 

allowed during service accumulation to 

establish deterioration factors. 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. In addition, we are 

specifying that manufacturers may not 

schedule critical emission-related 

maintenance during the useful life 

period (see § 1045.125). This will 

prevent manufacturers from designing 

engines with emission controls that 

depend on scheduled maintenance that 

is not likely to occur with in-use 

engines. 

D. Changes to OB/PWC Test Procedures 

We are making a number of minor 

changes to the test procedures for OB/ 

PWC to make them more consistent 

with the test procedures for other 

nonroad spark-ignition engines. These 

test provisions will apply to SD/I 

marine engines as well. 

(1) Duty Cycle 

A duty cycle is the set of modes 

(engine speed and load) over which an 

engine is operated during a test. For 

purposes of exhaust emission testing, 

we are keeping the duty cycle specified 

for OB/PWC engines, with two 

adjustments (see § 1045.505). First, we 

are requiring that manufacturers may 

choose to run the specified duty cycle 

as a ramped-modal cycle. Second, we 

are changing the low-power test mode 

from a specified 25 percent load 

condition to 25.3 percent load, which 

will complete the intended alignment 

with the E4 duty cycle adopted by the 

International Organization for 

Standardization. 

(2) Maximum Test Speed 

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 the duty cycles for testing. Engine 

manufacturers currently declare the 

rated speeds for their engines and then 

used the rated speed as the maximum 

speed for testing. However, we have 

established an objective procedure for 

measuring this engine parameter to have 

a clearer reference point for an engine’s 

maximum test speed. This is important 

to ensure that engines are tested at 

operating points that correspond with 

in-use operation. This also helps ensure 

that the NTE zone is appropriately 

matched to in-use operating conditions. 

We are defining 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 

maximum-power versus speed curve. 

The nominal value of maximum test 

speed is defined at that point where the 

length of this line reaches its maximum 

value. 

The engine mapping procedures in 

part 1065 that we referenced in the 

proposal allow manufacturers to declare 

a value for maximum test speed that is 

within 2.5 percent of the calculated (or 

measured) nominal value. Based on the 

manufacturers’ descriptions of the way 

they instruct boat builders to match 

propellers to their engines, we have 

included in the final rule a special 

allowance for manufacturers to declare 

a value for maximum test speed that is 

up to 500 rpm below the calculated 

value. This equates to about 8 percent 

of the calculated value for most engines; 

however, we would never expect 

manufacturers to select a value for 

maximum test speed that is above the 

nominal value, so the total allowable 

range is not much greater than for other 

engines. We also note that the maximum 

test speed for a four-stroke engine that 

remains installed in a vessel is the 

highest engine speed that can occur. As 

long as the propeller matching and other 

vessel characteristics do not take the 

engine outside of the manufacturer’s 

specified range, the engine would need 

to meet the Not-to-Exceed standards 

based on the in-use value for maximum 

test speed. These provisions related to 

maximum test speed apply equally to 

OB/PWC engines and SD/I engines. 

(3) 40 CFR Part 1065 

We are requiring that OB/PWC 

engines certified to the new exhaust 

emission standards use the test 

procedures in 40 CFR part 1065 instead 

of those in 40 CFR part 91.95 Part 1065 

includes detailed laboratory and 

equipment specifications and 

procedures for equipment calibration 

and emission measurements. These new 

procedures will apply starting with the 

introduction of new exhaust standards, 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59067 

though we will allow manufacturers to 

start using these new procedures earlier 

as an alternative procedure. The 

procedures in part 1065 include 

updated provisions to account for newer 

measurement technologies and 

improved calculation and corrections 

procedures. Part 1065 also specifies 

more detailed provisions related to 

alternate procedures, including a 

requirement to conduct testing 

representative of in-use operation. In 

many cases, we allow carryover of 

emission test data from one year to 

another. After the implementation of the 

new standards, we will allow the 

carryover of any test data generated 

prior to 2009 under the test procedures 

in 40 CFR part 91. 

(4) Engine Break-in 

Testing new engines requires a period 

of engine operation to stabilize emission 

levels. The regulations specify two 

separate figures for break-in periods. 

First, for certification, we establish a 

limit on how much an engine may 

operate and still be considered a ‘‘lowhour’’ engine. The results of testing with 

the low-hour engine are compared with 

a deteriorated value after some degree of 

service accumulation to establish a 

deterioration factor. For Large SI 

engines, we require that low-hour test 

engines have no more than 300 hours of 

engine operation. However, given the 

shorter useful life for marine engines, 

this will not make for a meaningful 

process for establishing deterioration 

factors, even if there is a degree of 

commonality between the two types of 

engines. We are requiring that low-hour 

marine spark-ignition engines generally 

have no more than 30 hours of engine 

operation (see § 1045.801). This allows 

some substantial time for break-in, 

stabilization, and running multiple 

tests, without approaching a significant 

fraction of the useful life. The current 

regulation in part 91 specifies that 

manufacturers perform the low-hour 

measurement after no more than 12 

hours of engine operation (see 

§ 91.408(a)(1)). The new allowance for 

up to 30 hours of engine operation is 

consistent with what we have done for 

recreational vehicles and will give 

manufacturers more time to complete a 

valid low-hour test. 

For production-line testing there is 

also a concern about how long an engine 

should operate to reach a stabilized 

emission level. We are keeping the 

provision in part 91 that allows for a 

presumed stabilization period of 12 

hours (see § 90.117(a)). We believe 12 

hours is sufficient to stabilize the 

emissions from the engine. 

(5) Not-to-Exceed Test Procedures and 

Standards 

Section III.D.2 discusses the general 

concept and approach behind NTE 

standards for Marine SI engines. In 

addition, Section III.D.2 presents 

specific zones and limits for catalystequipped marine engines. We are 

applying the same general NTE testing 

provisions to OB/PWC engines, 

including the same broad NTE zone and 

ambient conditions (see § 1045.515). 

We anticipate that most OB/PWC 

engines subject to the NTE standards 

will use engine-based controls to meet 

the exhaust emission standards. For that 

reason, this discussion focuses on the 

NTE zone and subzones for engines not 

equipped with catalysts. Data presented 

in Chapter 4 of the RIA suggests that the 

emissions characteristics of marine 

engines are largely dependent on 

technology type. Four-stroke engines 

tend to have relatively constant 

emission levels throughout the NTE 

zone. In contrast, two-stroke engines 

tend to have high variability in 

emissions, not only within the NTE 

zone but between different engine 

designs as well. Therefore, we 

developed separate NTE approaches and 

standards for four-stroke and two-stroke 

engines. These approaches and 

standards are discussed below. 

(a) Four-Stroke Marine Engines 

The NTE approach for four-stroke 

marine engines without catalysts is 

similar to that for catalyst-equipped 

engines as described in Section III. We 

are applying the same NTE zone; 

however, we are establishing different 

subzones and emission limits based on 

data presented in the Final RIA. 

Emission data for four-stroke marine 

engines suggest that brake-specific 

emission rates are relatively constant 

throughout the NTE zone. One 

exception is slightly higher HC+NOX

emissions at low power. To account for 

this, we are subdividing the NTE zone 

to have a low-power subzone below 50 

percent of maximum test speed. In this 

low-power subzone, the HC+NOX NTE 

limit is 1.6, while it is 1.4 for the 

remainder of the NTE zone. The CO 

NTE limit is 1.5 throughout the NTE 

zone. Figure IV–1 presents the NTE 

zone and subzones. These limits would 

apply to all non-catalyzed four-stroke 

engines. See Section III.D.2 for a 

detailed discussion of NTE 

requirements that apply for catalystequipped engines (including OB/PWC 

engines). 

As discussed above in Section IV.C.2, 

we are providing extra lead time for 

2010–2012 model year engines certified 

using preexisting data. The purpose of 

this provision is to allow testing and 

calibration work to better fit into 

product development cycles. We have 

received an indication that a small 

subset of existing outboard engines may 

need additional time to meet the 1.4 

NTE limit at mid-range speeds due to 

technological challenges associated with 

high-power supercharging. 

Manufacturers have indicated that a 

slightly higher limit of 1.6 would be 

feasible in the 2013 time frame, but 

additional time would be needed for 

hardware changes to meet the 1.4 limit. 

To address this issue, we are 

temporarily expanding Subzone 2 to 

include mid-range speeds up to 70 

percent of maximum test speed for 

supercharged outboard engines greater 

than 150 kW. Beginning with the 2015 

model year, these engines would be 

subject to the same NTE zone and 

standards as other four-stroke engines. 

mstockstill on PROD1PC66 with RULES2

59068 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(b) Two-Stroke Marine Engines 

The emission data presented in 

Chapter 4 of the Final RIA for twostroke direct-injection marine engines 

suggest that these engines have high 

variability in emissions, not only within 

the NTE zone but between different 

engine designs as well. Due to this 

variability, we do not believe that a flat 

(or stepped) limit in the NTE zone could 

be effectively used to establish 

meaningful standards for these engines. 

At the same time, we continue to 

believe that NTE standards are valuable 

for facilitating in-use testing. We 

therefore developed a weighted NTE 

approach specifically for these engines. 

In the long term, we may consider 

further emission reductions based on 

catalytic control applied to OB/PWC 

engines. In this case, we would revisit 

the appropriateness of the weighted 

NTE approach in the context of those 

standards. 

Under the weighted NTE approach, 

emission data is collected at five test 

points. These test points are idle, full 

power, and the speeds specified in 

Modes 2 through 4 of the 5-mode duty 

cycle. Similar to the 5-mode duty cycle, 

the five test points are weighted to 

achieve a composite value. This 

composite value must be no higher than 

1.2 times the FEL for that engine family. 

The difference in this approach from 

the 5-mode duty cycle is that the test 

torque is not specified. During an in-use 

test, the engine would be set to the 

target speed and the torque value would 

be allowed to float. The actual torque 

would depend on the propeller design, 

the weight and condition of the boat, 

and other factors. In addition, the 

engine speed at wide open throttle 

would be based on actual performance 

on the boat. Because in-use engines 

installed in boats do not generally 

operate on the theoretical propeller 

curve used to define the 5-mode duty 

cycle, this approach helps facilitate NTE 

testing. 

At each test mode, limits are placed 

on allowable engine operation. These 

limits are generally based on the NTE 

zone presented above for four-stroke 

engines, but there are two exceptions. 

First, the lower torque limit at 40 

percent speed is lowered slightly to 

better ensure that an engine on an in-use 

boat is capable of operating within the 

NTE zone. Second, the speed range is 

extended at wide-open throttle for the 

same reason. Figure IV–3 presents the 

NTE zone and subzones. These limits 

would apply to all non-catalyzed twostroke engines. See Section III.D.2 for a 

detailed discussion of NTE 

requirements that apply to catalystequipped engines (including OB/PWC 

engines). 


mstockstill on PROD1PC66 with RULES2ER08oc08.062</GPH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59069 

During laboratory testing, any point 

within each of the four non-idle 

subzones may be chosen as test points. 

These test points do not necessarily 

need to lie on a propeller curve. Note 

that measured power should be used in 

the calculation of the weighted brakespecific emissions. 

(6) Test Fuel 

As described below in Section V.D.3, 

we are adopting provisions that will 

allow manufacturers to use a 10 percent 

ethanol blend for certification testing of 

exhaust emissions from Small SI 

engines as an alternative to the standard 

gasoline test fuel. We are adopting 

similar provisions for Marine SI engines 

in this rule. This option to use a 10 

percent ethanol blend will begin with 

the implementation date of the new 

exhaust standards for both OB/PWC 

engines and SD/I engines. The option to 

use a 10 percent ethanol blend would 

apply to PLT testing as well if the 

manufacturer based their certification 

on the 10 percent ethanol blend. The 

test fuel specifications are based on 

using the current gasoline test fuel and 

adding ethanol until the blended fuel 

has 10 percent ethanol by volume. 

While we will allow use of a 10 percent 

ethanol blend for certification, we 

expect to use our test fuel without 

oxygenates for all confirmatory testing 

for exhaust emissions. Therefore, an 

engine manufacturer will want to 

consider the impacts of ethanol on 

emissions in evaluating the compliance 

margin for the standard, or in setting the 

FEL for the engine family if it is 

participating in the ABT program. We 

could decide at our own discretion to do 

exhaust emissions testing using a 10 

percent ethanol blend if the 

manufacturer certified on that fuel. 

Ethanol has been blended into in-use 

gasoline for many years and its use has 

been increasing in recent years. Under 

provisions of the Energy Independence 

and Security Act of 2007, ethanol is 

required to be used in significantly 

greater quantities. We project that 

potentially 80 percent of the national 

gasoline pool will contain ethanol by 

2010, making ethanol blends (up to 10 

percent) the de facto in-use fuel. As 

ethanol blends become the main in-use 

fuel, we believe it makes sense for 

manufacturers to optimize their engine 

designs with regard to emissions, 

performance, and durability on such a 

fuel. While limited data on Marine SI 

engines operated on a 10 percent 

ethanol blend suggests the HC emissions 

will decrease and NOX emission will 

increase or stay the same, these effects 

result in small decreases in total 

HC+NOX emission levels, with the 

difference generally being around 10 

percent. CARB is currently running a 

test program to look at the emission 

impacts of ethanol blends on a range of 

Marine SI engines. Based on the results 

of that test program, we may consider 

changes to the provisions allowing the 

use of a 10 percent ethanol blend for 

certification and production-line testing. 

E. Additional Certification and 

Compliance Provisions 

(1) Production-Line Testing 

We are continuing to require that 

manufacturers routinely test engines at 

the point of production to ensure that 

production variability does not affect 

the engine family’s compliance with 

emission standards. The final rule 

includes a variety of amendments and 

adjustments as described in the 

proposal. We may also require 

manufacturers to perform production 

line testing under the selective 

enforcement auditing provisions of 40 

CFR part 1068, subpart E. 

(2) In-Use Testing 

We are also continuing the 

requirements related to the 


mstockstill on PROD1PC66 with RULES2ER08oc08.063</GPH>
59070 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

manufacturer-run in-use testing 

program. Under this program, 

manufacturers test field-aged engines to 

determine whether they continue to 

meet emission standards (see part 1045, 

subpart E). We are, however, making a 

variety of changes and clarifications to 

the current requirements, as described 

in the following sections. 

(a) Adjustments Related to Engine 

Selection 

Both EPA and manufacturers have 

gained insights from implementing the 

current program. Manufacturers have 

expressed a concern that engine families 

are selected rather late in the model 

year, which makes it harder to prepare 

a test fleet for fulfilling testing 

obligations. On the other hand, we have 

seen that manufacturers certify some of 

their engine families well into the 

model year. By making selections early 

in the model year, we will generally be 

foregoing the opportunity to select 

engine families for which manufacturers 

don’t apply for certification until after 

the selections occur. 

To address these competing interests, 

we are adopting an approach that allows 

for early selection of engine families, 

while preserving the potential to require 

testing for engines that are certified later 

in the model year. For complete 

applications we receive by December 31 

of a given calendar year for the 

following model year, we expect to 

select engine families for testing by the 

end of February of the following year. If 

we have not made a complete selection 

of engine families by the end of 

February, manufacturers have the 

option of making their own selections 

for in-use testing. The regulations 

include criteria to serve as guidance for 

manufacturers to make appropriate 

selections. For example, we expect 

manufacturers to most strongly consider 

those engine families with the highest 

projected sales volume and the smallest 

compliance margins. Manufacturers 

may also take into account past 

experience with engine families if they 

have already passed an in-use testing 

regimen and have not undergone 

significant design changes since that 

time. 

We will treat engine families 

differently for in-use testing if we 

receive the application after December 

31. This applies, for example, if we 

receive a complete application for a 

2010 engine family in February 2010. In 

these cases, the engine family will 

automatically be subject to in-use 

testing, without regard to the 25 percent 

limitation that will otherwise dictate 

our selections. This may appear to 

increase the potential test burden, but 

the clear majority of applications for 

certification are completed before the 

end of the calendar year for the 

following model year. This provision 

will eliminate the manufacturers’ ability 

to game the testing system by delaying 

a family of potential concern until the 

next calendar year. We expect to receive 

few new applications after the end of 

the calendar year. This will be 

consistent with the manufacturers’ 

interest in early family selections, 

without jeopardizing EPA’s interest in 

being able to select from a 

manufacturer’s full product lineup. 

(b) Crankcase Emissions 

Because the crankcase requirements 

are based on a design specification 

rather than emission measurements, the 

anticipated crankcase technologies are 

best evaluated simply by checking 

whether or not they continue to 

function as designed. As a result, we 

intend for an inspection of in-use 

engines to show whether these systems 

continue to function properly 

throughout the useful life, but we are 

not requiring manufacturers to include 

crankcase emission measurements as 

part of the in-use testing program 

described in this section. This is 

consistent with the approach we have 

taken in other programs. 

(c) In-Use Emission Credits 

Clean Air Act section 213 requires 

engines to comply with emission 

standards throughout the regulatory 

useful life, 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). As described 

in the original rulemaking, a potential 

option to address a nonconformity is 

that manufacturers could use a 

calculation of emission credits 

generated under the in-use testing 

program to avoid a recall determination 

if an engine family’s in-use testing 

results exceeded emission standards (61 

FR 52095, October 4, 1996). 

We are adopting a more general 

approach to addressing potential 

noncompliance under the in-use testing 

program than is specified in 40 CFR part 

91. The final regulations do not specify 

how manufacturers could generate 

emission credits to offset a 

nonconforming engine family. This new 

approach is preferred for two primary 

reasons. First, manufacturers will 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. We plan to consider, 

among other information, 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. 

Not specifying how manufacturers 

generate emission credits under the inuse testing program 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 will apply. For 

example, we 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 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 = Si[(STD–CL)i × (UL)i × 

(Sales)i × Poweri × LFi] ÷ Si [(UL)i × 

(Sales)i × Poweri × LFi] 

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. 

(STD–CL)i = The difference between the 

emission standard (or Family Emission 

Limit) 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 

maximum engine power for an engine 

family in kW. 

LFi = Load factor or fraction of maximum 

engine power utilized in use; use 0.50 for 

engine families used only in constantmstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59071 

speed applications and 0.32 for all other 

engine families. 

We have adopted this same approach 

for the in-use testing program that 

applies for Large SI engines in 40 CFR 

part 1048. 

(3) Optional Procedures for Field 

Testing 

Outboard engines are inherently 

portable, so it may be easier to test them 

in the laboratory than in the field. 

However, there is a strong advantage to 

using portable measurement equipment 

to test personal watercraft and SD/I 

engines while the engine remains 

installed to avoid the effort of taking the 

engine out and setting it up in a 

laboratory. Field testing will also 

provide a much better means of 

measuring emissions to establish 

compliance with the NTE standards, 

because it is intended to ensure control 

of emissions during normal in-use 

operation that may not occur during 

laboratory testing over the specified 

duty cycle. We are adopting the field 

testing provisions described below as an 

option for all OB/PWC and SD/I 

engines. 

The regulations at 40 CFR part 1065, 

subpart J, specify how to measure 

emissions using portable measurement 

equipment. To test engines while they 

remain installed, 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 in the field. A 

portable flame ionization detector can 

measure total hydrocarbon 

concentrations. A portable analyzer 

based on zirconia technology can 

measure NOX emissions. A 

nondispersive infrared (NDIR) unit can 

measure CO. We are requiring 

manufacturers to specify how they will 

intend to draw emission samples from 

in-use engines for testing installed 

engines. For example, emission samples 

can be drawn from the exhaust flow 

directly upstream of the point at which 

water is mixed into the exhaust flow. 

This should minimize collection of 

water in the extracted sample, though a 

water separator may be needed to 

maintain a sufficiently dry sample. Mass 

flow rates also factor into the torque 

calculation; this may be measured either 

in the intake or exhaust manifold. 

Calculating brake-specific emissions 

depends on determining instantaneous 

engine speed and torque levels. We are 

therefore requiring manufacturers to 

design their engine control systems to 

be able to continuously monitor engine 

speed and torque. We have already 

adopted this requirement for other 

mobile source programs where 

electronic engine control is used. 

Monitoring speed values is 

straightforward. 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 look-up tables for 

torque conversion into a remote scan 

tool. Part 1065 specifies the 

performance requirements for accuracy, 

repeatability, and noise related to speed 

and torque measurements. These 

tolerances are taken into account in the 

selection of the new NTE standards. We 

are adopting the requirement to meet 

the torque-broadcasting requirements in 

the 2013 model year, which aligns with 

the final implementation of the NTE 

standards. 

(4) Other Changes for In-Use Testing 

A question has been raised regarding 

the extent of liability if an engine family 

is found to be noncompliant during inuse testing. Because it can take up to 

two years to complete the in-use testing 

regimen for an engine family, we want 

to clarify the status of engines produced 

under that engine family’s certificate, 

and under the certificates of earlier and 

later engine families that were 

effectively of the same design. For 

example, manufacturers in many cases 

use carryover data to continue certifying 

new engine families for a subsequent 

model year; this avoids the need to 

produce new test data for engines whose 

design does not change from year to 

year. For these cases, absent any 

contrary information from the 

manufacturer, we will maintain the 

discretion to include other applicable 

engine families in the scope of any 

eventual recall, as allowed by the Act. 

In response to comments received 

from manufacturers, we have agreed to 

adopt a provision allowing 

manufacturers to request hardship relief 

under the in-use testing program if 

conditions outside their control prevent 

them from completing the required 

testing. We would expect this to be a 

rare occurrence, but this provision will 

allow us to accommodate manufacturers 

if extreme unforeseen circumstances 

prevent a manufacturer from completing 

a test program. 

There are a variety of smaller changes 

to the in-use testing provisions as a 

result of updating the regulatory 

language to reflect the language changes 

that we adopted for similar testing with 

Large SI engines. First, we are removing 

the requirement to select engines that 

have had service accumulation 

representing less than 75 percent of the 

useful life. This gives manufacturers the 

flexibility to test somewhat older 

engines if they want to. Second, we are 

slightly adjusting the description of the 

timing of the test program, specifying 

that the manufacturer must submit a test 

plan within 12 months of EPA selecting 

the family for testing, with a 

requirement to complete all testing 

within 24 months. This contrasts with 

the current requirement to complete 

testing within 12 months after the start 

of testing, which in turn must occur 

within 12 months of family selection. 

We believe the modified approach 

allows additional flexibility without 

delaying the conclusion of testing. 

Third, we are requiring that 

manufacturers explain why they 

excluded any particular engines from 

testing. Finally, we are requiring 

manufacturers to report any 

noncompliance within 15 days after 

completion of testing for a family, rather 

than 15 days after an individual engine 

fails. This has the advantage for 

manufacturers and the Agency of a more 

unified reporting after testing is 

complete, rather than piecemeal 

reporting before conclusions can be 

drawn. 

(5) Use of Engines Already Certified to 

Other Programs 

In some cases, manufacturers may 

want to use engines already certified 

under our other programs. Engines 

certified to the emission standards for 

highway applications in part 86 or Large 

SI applications in part 1048 are meeting 

more stringent standards. We are 

therefore accepting the pre-existing 

certification for these engines used in 

marine applications, on the condition 

that the engine is not changed from its 

certified configuration in any way (see 

§ 1045.605). We allow this in a similar 

way for a limited number of engines 

certified to the Small SI emission 

standards (see § 1045.610). The number 

of installed marine engines must 

generally be less then five percent of the 

total U.S. sales of that engine model in 

all applications. 

mstockstill on PROD1PC66 with RULES2

59072 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(6) Import-Specific Information at 

Certification 

We are requiring additional 

information to improve our ability to 

oversee compliance related to imported 

engines (see § 1045.205). In the 

application for certification, the 

following additional information is 

necessary: (1) The port or ports at which 

the manufacturer has imported engines 

over the previous 12 months, (2) the 

names and addresses of the agents the 

manufacturer has authorized to import 

the engines, and (3) the location of the 

test facilities in the United States where 

the manufacturer will test the engines if 

we select them for testing under a 

selective enforcement audit. See Section 

1.3 of the Summary and Analysis of 

Comments for further discussion related 

to naming test facilities in the United 

States. 

(7) Alternate Fuels 

The emission standards apply to all 

spark-ignition engines regardless of the 

fuel they use. Almost all Marine SI 

engines operate on gasoline, but these 

engines may also operate on other fuels, 

such as natural gas, liquefied petroleum 

gas, ethanol, or methanol. The test 

procedures in 40 CFR part 1065 describe 

adjustments needed for operating test 

engines with oxygenated fuels. 

In some special cases, a single engine 

is designed to alternately run on 

different fuels. For example, some 

engines can switch back and forth 

between natural gas and LPG. We are 

adding a clarification to the regulations 

to describe how manufacturers would 

submit certification data and divide 

such engines into engine families. We 

would expect a manufacturer to submit 

test data on each fuel type. If 

manufacturers produce engines that run 

only on one fuel where that dedicatedfuel engine is identical to a dual-fuel 

engine with respect to that fuel, those 

engines could be included in the same 

family. This is also true for the second 

fuel. For example, if a manufacturer 

produces an engine that can run on both 

gasoline and LPG and also produces that 

engine model in gasoline-only and LPGonly versions without adjusting the 

calibration or other aspects of that 

configuration, those engines may all be 

included in the same engine family. 

Once an engine is placed into service, 

someone might want to convert it to 

operate on a different fuel. This would 

take the engine out of its certified 

configuration, so we are requiring that 

someone performing such a fuel 

conversion to go through a certification 

process. We will allow certification of 

the complete engine using normal 

certification procedures, or the 

aftermarket conversion kit could be 

certified using the provisions of 40 CFR 

part 85, subpart V. This contrasts with 

the provisions in part 91 that allow for 

fuel conversions that can be 

demonstrated not to increase emission 

levels above the applicable standard. 

We propose to apply this requirement 

starting January 1, 2010. (See § 91.1103 

and § 1045.645.) 

(8) Special Provisions Related to 

Altitude 

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

allowing manufacturers to comply with 

emission standards at high altitudes 

using an altitude kit. Manufacturers 

using altitude kits to comply at altitude 

must take steps to describe their altitude 

kits in the application for certification 

and explain their basis for believing that 

engines with these altitude kits will 

comply with emission standards at high 

altitude. Manufacturers must also 

describe a plan for making information 

and parts available such that the 

widespread use of altitude kits will 

reasonably be expected in high-altitude 

areas. For a more thorough description 

of these compliance provisions, see the 

discussion in Section V.E.5 for 

nonhandheld Small SI engines. 

F. Other Adjustments to Regulatory 

Provisions 

We are moving the regulatory 

requirements for marine spark-ignition 

engines from 40 CFR part 91 to 40 CFR 

part 1045. This gives us the opportunity 

to update the details of our certification 

and compliance program to be 

consistent with the comparable 

provisions that apply to other engine 

categories. The following paragraphs 

highlight some of the provisions in the 

new language that may involve 

noteworthy changes from the current 

regulations in part 91. All these 

provisions apply equally to SD/I 

engines, except that they are not subject 

to the current requirements in 40 CFR 

part 91. 

We are making some adjustments to 

the criteria for defining engine families 

(see § 1045.230). The fundamental 

principle behind engine families is to 

group together engines that will have 

similar emission characteristics over the 

useful life. As a result, all engines 

within an engine family must have the 

same approximate bore diameter and 

use the same method of air aspiration 

(for example, naturally aspirated vs. 

turbocharged). Under the previous 

regulation, manufacturers were allowed 

the discretion to consider bore and 

stroke dimensions and aspiration 

method for subdividing engine families 

beyond what was required under the 

primary criteria in § 91.115. We believe 

engines with substantially different bore 

diameters will have combustion and 

operating characteristics that must be 

taken into account with unique 

engineering. Similarly, adding a 

turbocharger or supercharger changes 

the engine’s combustion and emission 

control in important ways. We are also 

requiring that all the engines in an 

engine family use the same type of fuel. 

This may have been a simple oversight 

in the current regulations, since all OB/ 

PWC engines operate on gasoline. 

However, if a manufacturer were to 

produce an engine model that runs on 

natural gas or another alternative fuel, 

that engine model should be in its own 

engine family. See Section IV.E.7 for a 

discussion of dual-fuel engines. Finally 

we are removing the provision currently 

in part 91 related to the engine-cooling 

mechanism. Manufacturers pointed out 

that raw-water cooling and separatecircuit cooling do not have a significant 

effect on an engine’s emission 

characteristics. 

The new regulatory language related 

to engine labels remains largely 

unchanged from the previous 

requirements (see § 1045.135). We are 

including a provision to allow 

manufacturers to print labels that have 

a different company’s trademark. Some 

manufacturers in other programs have 

requested this flexibility for marketing 

purposes. 

The warranty provisions are described 

above. We are adding an administrative 

requirement to describe the provisions 

of the emission-related warranty in the 

owners manual (see § 1045.120). We 

expect that many manufacturers already 

do this, but believe it is appropriate to 

require this as a routine practice. 

Certification procedures depend on 

establishing deterioration factors to 

predict the degradation in emission 

controls that occurs over the course of 

an engine’s useful life. This typically 

involves service accumulation in the 

laboratory to simulate in-use operation. 

Since manufacturers do in-use testing to 

further characterize this deterioration 

rate, we are specifying that deterioration 

factors for certification must take into 

account any available data from in-use 

testing with similar engines. This 

provision applies in most of our 

emission control programs that involve 

routine in-use testing. To the extent this 

information is available, it should be 

factored into the certification process. 

For example, if in-use testing shows that 

emission deterioration is substantially 

higher than that characterized by the 

deterioration factor, we expect the 

manufacturer to factor the in-use data 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59073 

into a new deterioration factor, or to 

revise durability testing procedures to 

better represent the observed in-use 

degradation. 

Maximum engine power for an engine 

family is an important parameter. For 

example, maximum engine power 

determines the applicable CO standard 

for engines at or below 40 kW. For 

bigger engines, emission credits are 

calculated based on total power output. 

As a result, we are specifying that 

manufacturers determine their engines’ 

maximum engine power as the point of 

maximum engine power on the engine’s 

nominal power curve (see § 1045.140). 

This value may be established as a 

design value, but must be determined 

consistent with the engine mapping 

procedures in § 1065.510. The 

manufacturer must adjust the declared 

value for maximum engine power if it 

does not fall within the range of values 

from production engines. 

The new requirements related to the 

application for certification will involve 

some new information, most of which is 

described above, such as installation 

instructions and a description of how 

engines comply with not-to-exceed 

standards (see § 1045.205). In addition, 

we are requiring that manufacturers 

submit projected sales volumes for each 

family, rather than allowing 

manufacturers to keep these records and 

make them available upon request. 

Manufacturers already do this routinely 

and it is helpful to have ready access to 

this information to maintain compliance 

oversight for such things as emission 

credit calculations. We are also 

requiring that each manufacturer 

identify an agent for service in the 

United States. For companies based 

outside the United States, this ensures 

that we will be able to maintain contact 

regarding any official communication 

that may be required. We have adopted 

these same requirements for other 

nonroad programs. 

We are requiring that manufacturers 

use good engineering judgment in all 

aspects of their effort to comply with 

regulatory requirements. The 

regulations at § 1068.5 describe how we 

will apply this provision and what we 

will require of manufacturers where we 

disagree with a manufacturer’s 

judgment. 

We are also establishing new defectreporting requirements. These 

requirements are described in Section 

VIII of the preamble to the proposed 

rule. 

It is common practice for one 

company to produce engine blocks that 

a second company modifies for use as 

a marine engine. Since our regulations 

prohibit the sale of uncertified engines, 

we are establishing provisions to clarify 

the status of these engines and defining 

a path by which these engines can be 

handled without violating the 

regulations. See Section VIII.C.1 for 

more information. 

G. Small-Business Provisions 

The OB/PWC market has traditionally 

been made up of large businesses. We 

anticipate that the OB/PWC standards 

will be met through the expanded use 

of existing cleaner engine technologies. 

Small businesses certifying to standards 

today are already using technologies 

that could be used to meet the new 

standards. As a result, we are adopting 

only three small business regulatory 

relief provisions for small business 

manufacturers of OB/PWC engines. We 

are allowing small business OB/PWC 

engine manufacturers to be exempt from 

PLT testing and to use assigned 

deterioration factors for certification. 

(EPA will provide guidance to engine 

manufacturers on the assigned 

deterioration factors prior to 

implementation of the new OB/PWC 

standards.) We are also extending the 

economic hardship relief to OB/PWC 

engine manufacturers that qualify as 

small businesses (see § 1068.250). We 

are defining small business eligibility 

criteria for OB/PWC engine 

manufacturers based on an employee 

cut-off of 250 employees. 

In addition to the flexibilities noted 

above, all OB/PWC engine 

manufacturers, regardless of size, will 

be able to apply for the unusual 

circumstances hardship in § 1068.245. 

Finally, all OB/PWC vessel 

manufacturers that rely on other 

companies to provide certified engines 

or fuel system components for their 

product will be able to apply for the 

hardship provisions in § 1068.255. 

H. Technological Feasibility 

(1) Level of Standards 

Over the past several years, 

manufacturers have demonstrated their 

ability to achieve significant HC+NOX

emission reductions from outboard and 

personal watercraft engines. This has 

largely been accomplished through the 

introduction of two-stroke direct 

injection engines and conversion to 

four-stroke engines. Recent certification 

data for these types of engines show that 

these technologies may be used to 

achieve emission levels significantly 

below the current exhaust emission 

standards. In fact, California standards 

require a 65 percent reduction beyond 

the current federal standards. 

Our own analysis of recent 

certification data shows that most fourstroke outboard engines and many twostroke direct injection outboard engines 

can meet the final HC+NOX standard. 

Similarly, although PWC engines tend 

to have higher HC+NOX emissions, 

presumably due to their higher power 

densities, many of these engines can 

also meet the new HC+NOX standard. 

Although there is currently no CO 

standard for OB/PWC engines, OB/PWC 

manufacturers are required to report CO 

emissions from their engines (see 

§ 91.107(d)(9)). These emissions are 

based on test data from new engines and 

do not consider deterioration or 

compliance margins. Based on this data, 

all the two-stroke direct injection 

engines show emissions well below the 

new standards. In addition, the majority 

of four-stroke engines meet the new CO 

standards as well. 

We therefore believe the HC+NOX and 

CO emission standards will be achieved 

by phasing out conventional carbureted 

two-stroke engines and replacing them 

with four-stroke engines or two-stroke 

direct injection engines. This has been 

the market-driven trend over the last 

five years. Chapter 4 of the Final RIA 

presents charts that compare 

certification data to the new standards. 

(2) Implementation Dates 

We are implementing the new 

emission standards beginning with the 

2010 model year. This gives two 

additional years beyond the 

implementation date of the same 

standards in California. This additional 

time may be necessary for 

manufacturers that do not sell engine 

models in California or that sell less 

than their full product lineup into the 

California market. We believe the same 

technology used to meet the 2008 

standards in California could be used 

nationwide with the additional year 

allowed for any engine models not sold 

in California. Low-emission engines 

sold in California are generally sold 

nationwide as part of manufacturer 

compliance strategies for EPA’s 2006 

standards. Manufacturers have 

indicated that they are calibrating their 

four-stroke and direct-injection twostroke engines to meet the California 

requirements. To meet the new 

standards, manufacturers’ efforts will 

primarily center on phasing out their 

higher-emission carbureted two-stroke 

engines and producing more of their 

lower emission engines. 

(3) Technological Approaches 

Conventional two-stroke engines add 

a fuel-oil mixture to the intake air with 

a carburetor, and use the crankcase to 

force this mixed charge air into the 

combustion chamber. In the two-stroke 

mstockstill on PROD1PC66 with RULES2

59074 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

design, the exhaust gases must be 

purged from the cylinder while the fresh 

charge enters the cylinder. With 

traditional two-stroke designs, the fresh 

charge, with unburned fuel and oil, will 

push the exhaust gases out of the 

combustion chamber as the combustion 

event concludes. As a result, 25 percent 

or more of the fresh fuel-oil could pass 

through the engine unburned. This is 

known as scavenging losses. 

Manufacturers have phased out sales of 

the majority of their traditional twostroke engines to meet the federal 2006 

OB/PWC exhaust emission standards. 

However, many of these engines still 

remain in the product mix as a result of 

emission credits. 

One approach to minimizing 

scavenging losses in a two-stroke engine 

is through the use of direct fuel 

injection into the combustion chamber. 

The primary advantage of direct 

injection for a two-stroke engine is that 

the exhaust gases can be scavenged with 

fresh air and fuel can be injected into 

the combustion chamber after the 

exhaust port closes. As a result, 

hydrocarbon emissions, fuel economy, 

and oil consumption are greatly 

improved. Some users prefer two-stroke 

direct injection engines over four-stroke 

engines due to the higher power-toweight ratio. Most of the two-stroke 

direct injection engines certified to the 

current OB/PWC emission standards 

have HC+NOX emissions levels 

somewhat higher than certified fourstroke engines. However, these engines 

also typically have lower CO emissions 

due to the nature of a heterogeneous 

charge. By injecting the fuel directly 

into a charge of air in the combustion 

chamber, localized areas of lean air/fuel 

mixtures are created where CO is 

efficiently oxidized. 

OB/PWC manufacturers are also 

achieving lower emissions through the 

use of four-stroke engine designs. 

Because a single combustion event takes 

place over two revolutions of the 

crankshaft, the fresh fuel-air charge can 

enter the combustion chamber after the 

exhaust valve is closed. This minimizes 

scavenging losses. Manufacturers 

currently offer four-stroke marine 

engines with maximum engine power 

ranging from 1.5 to more than 250 kW. 

These engines are available with 

carburetion, throttle-body fuel injection, 

or multi-point fuel injection. Based on 

the certification data, whether the 

engine is carbureted or fuel-injected 

does not have a significant effect on 

combined HC+NOX emissions. For PWC 

engines, the HC+NOX levels are 

somewhat higher, primarily due to their 

higher power-to-weight ratio. CO 

emissions from PWC engines are similar 

to those for four-stroke outboard 

engines. 

One manufacturer has certified two 

PWC engine models with oxidation 

catalysts. One engine model uses the 

oxidation catalyst in conjunction with a 

carburetor while the other uses throttlebody fuel injection. In this application, 

the exhaust system is shaped in such a 

way to protect the catalyst from water. 

The exhaust system is relatively large 

compared to the size of the engine. We 

are not aware of any efforts to develop 

a three-way catalyst system for PWC 

engines. We are also not aware of any 

development efforts to package a 

catalyst into the exhaust system of an 

outboard marine engine. In current 

designs, water and exhaust are mixed in 

the exhaust system to help cool the 

exhaust and tune the engine. Water can 

work its way up through the exhaust 

system because the lower end is under 

water and varying pressures in the 

exhaust stream can draw water against 

the prevailing gas flow. As discussed in 

Chapter 4 of the Final RIA, saltwater can 

be detrimental to catalyst performance 

and durability. In addition, outboard 

engines are designed with lower units 

that are designed to be as thin as 

possible to improve the ability to turn 

the engine on the back of the boat and 

to reduce drag on the lowest part of the 

unit. This raises concerns about the 

placement and packaging of catalysts in 

the exhaust stream. Certainly, the 

success of packaging catalysts in 

sterndrive and inboard boats in recent 

development efforts (see Section III) 

suggests that catalysts may be feasible 

for outboards with additional effort. 

However, this has not yet been 

demonstrated and significant 

development efforts will be necessary. 

(4) Regulatory Alternatives 

We considered a level of 10 g/kW-hr 

HC+NOX for OB/PWC engines above 40 

kW with an equivalent percent 

reduction below the new standards for 

engines at or below 40 kW. This second 

tier of standards could apply in the 2012 

or later time frame. Such a standard 

would be consistent with currently 

certified emission levels from a 

significant number of four-stroke 

outboard engines. We had three 

concerns with adopting this second tier 

of OB/PWC standards. First, while some 

four-stroke engines may be able to meet 

a 10 g/kW-hr standard with improved 

calibrations, it is not clear that all 

engines could meet this standard 

without applying catalyst technology. 

As described in Section IV.H.3, we 

believe it is not appropriate to base 

standards in this rule on the use of 

catalysts for OB/PWC engines. Second, 

certification data for personal watercraft 

engines show somewhat higher exhaust 

emission levels, so setting the standard 

at 10 g/kW-hr would likely require 

catalysts for many models. Third, it is 

not clear that two-stroke engines would 

be able to meet the more stringent 

standard, even with direct injection and 

catalysts. These engines operate with 

lean air-fuel ratios, so reducing NOX

emissions with any kind of 

aftertreatment is especially challenging. 

Therefore, unlike the new standards 

for sterndrive and inboard engines, we 

are not adopting OB/PWC standards that 

require the use of catalysts. Catalyst 

technology would be necessary for 

significant additional control of 

HC+NOX and CO emissions for these 

engines. While there is good potential 

for eventual application of catalyst 

technology to outboard and personal 

watercraft engines, we believe the 

technology is not adequately 

demonstrated at this point. Much 

laboratory and in-water work is needed. 

(5) Our Conclusions 

We believe the final emission 

standards can be achieved by phasing 

out conventional carbureted two-stroke 

engines in favor of four-stroke engines 

or two-stroke direct injection engines. 

The four-stroke engines or two-stroke 

direct injection engines are already 

widely available from marine engine 

manufacturers. One or both of these 

technologies are currently in place for 

the whole range of outboard and 

personal watercraft engines. 

The new exhaust emission standards 

represent the greatest degree of emission 

control achievable in the contemplated 

time frame. While manufacturers can 

meet the standards with their full 

product line in 2010, requiring full 

compliance with a nationwide program 

earlier, such as in the same year that 

California introduces new emission 

standards, will pose an unreasonable 

requirement. Allowing two years 

beyond California’s requirements is 

necessary to allow manufacturers to 

certify their full product line to the new 

standards, not only those products they 

will make available in California. Also, 

as described above, we believe the 

catalyst technology that will be required 

to meet emission standards substantially 

more stringent than we are adopting has 

not been adequately demonstrated for 

outboard or personal watercraft engines. 

As such, we believe the new standards 

for HC+NOX and CO emissions are the 

most stringent possible in this 

rulemaking. More time to gain 

experience with catalysts on sterndrive 

and inboard engines and a substantial 

engineering effort to apply that learning 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59075 

96California ARB also adopted new fuel 

evaporative emission standards for equipment using 

handheld and nonhandheld engines. These 

included tank permeation standards for both types 

of equipment and hose permeation, running loss, 

and diurnal emission standards for nonhandheld 

equipment. See Section VI for additional 

information related to evaporative emissions. 

to outboard and personal watercraft 

engines may allow us to pursue more 

stringent standards in a future 

rulemaking. 

As discussed in Section VII, we do 

not believe the final standards will have 

negative effects on energy, noise, or 

safety and may lead to some positive 

effects. 

V. Small SI Engines 

A. Overview 

This section applies to new nonroad 

spark-ignition engines with rated power 

at or below 19 kW (‘‘Small SI engines’’). 

These engines are most often used in 

lawn and garden applications, typically 

by individual consumers; they are many 

times also used by commercial operators 

and they provide power for a wide range 

of other home, industrial, farm, and 

construction applications. The engines 

are typically air-cooled single-cylinder 

models, though Class II engines (with 

displacement over 225 cc) may have two 

or three cylinders, and premium models 

with higher power may be water-cooled. 

We have already adopted two phases 

of exhaust standards for Small SI 

engines. The first phase of standards for 

nonhandheld engines generally led 

manufacturers to convert any two-stroke 

engines to four-stroke engines. These 

standards applied only at the time of 

sale. The second phase of standards for 

nonhandheld engines generally led 

manufacturers to apply emission control 

technologies, such as in-cylinder 

controls and improved carburetion, with 

the additional requirement that 

manufacturers needed to meet emission 

standards over a useful life period. 

As described in Section I, this final 

rule is the result of a Congressional 

mandate that springs from the new 

California ARB standards. In 2003, 

California ARB adopted more stringent 

standards for nonhandheld engines. 

These standards target emission 

reductions of approximately 35 percent 

below EPA’s Phase 2 standards and are 

based on the expectation that 

manufacturers will use relatively lowefficiency three-way catalysts to control 

HC+NOX emissions. California ARB did 

not change the applicable CO emission 

standard.96

We are adding these new regulations 

for Small SI engines in 40 CFR part 1054 

rather than changing the current 

regulations in 40 CFR part 90. This gives 

us the opportunity to update the details 

of our certification and compliance 

program that are consistent with the 

comparable provisions that apply to 

other engine categories and describe 

regulatory requirements in plain 

language. Most of the change in 

regulatory text provides improved 

clarity without changing procedures or 

compliance obligations. Where there is 

a change that warrants further attention, 

we describe the need for the change 

below. For nonhandheld engines, 

manufacturers must comply with all the 

provisions in part 1054 once the Phase 

3 standards begin to apply in 2011 or 

2012. For handheld engines, 

manufacturers must comply with the 

provisions in part 1054 starting in 2010. 

Note, however, that part 1054 specifies 

that certain provisions do not apply for 

handheld engines until sometime after 

2010. 

Engines and equipment subject to part 

1054 are also subject to the general 

compliance provisions in 40 CFR part 

1068. These include prohibited acts and 

penalties, exemptions and importation 

provisions, selective enforcement 

audits, defect reporting and recall, and 

hearing procedures. See Section VIII of 

the preamble to the proposed rule for 

further discussion of these general 

compliance provisions. 

B. Engines Covered by This Rule 

This action includes more stringent 

exhaust emission standards for new 

nonroad engines with rated power at or 

below 19 kW that are sold in the United 

States. The exhaust standards are for 

nonhandheld engines (Classes I and II). 

As described in Section I, handheld 

Small SI engines (Classes III, IV, and V) 

are also subject to standards, but we are 

not changing the level of exhaust 

emission standards for these engines. As 

described in Section VI, we are also 

adopting new standards for controlling 

evaporative emissions from Small SI 

engines, including both handheld and 

nonhandheld engines. Certain of the 

provisions discussed in this Section V 

apply to both handheld and 

nonhandheld engines, as noted. 

Reference to both handheld and 

nonhandheld engines also includes 

marine auxiliary engines subject to the 

Small SI engine standards for that size 

engine. 

(1) Engines Covered by Other Programs 

The Small SI engine standards do not 

apply to recreational vehicles covered 

by EPA emission standards in 40 CFR 

part 1051. The regulations in part 1051 

apply to off-highway motorcycles, 

snowmobiles, all-terrain vehicles, and 

certain offroad utility vehicles. 

However, if an amphibious vehicle or 

other recreational vehicle with an 

engine at or below 19 kW is not subject 

to standards under part 1051, its engine 

will need to meet the Small SI engine 

standards. We also do not consider 

vehicles such as go karts or golf carts to 

be subject to part 1051 because they are 

not intended for high-speed operation 

over rough terrain; these engines are 

also subject to Small SI engine 

standards. The Small SI engine 

standards do not apply to engines used 

in scooters or other vehicles that qualify 

as motor vehicles. 

Consistent with the current regulation 

under 40 CFR part 90, Small SI engine 

standards apply to spark-ignition 

engines used as generators or for other 

auxiliary power on marine vessels, but 

not to marine propulsion engines. As 

described below, we are finalizing more 

stringent exhaust emission standards 

that will apply uniquely to marine 

generator engines. 

Engines with rated power above 19 

kW are subject to emission standards 

under 40 CFR part 1048. However, we 

adopted a special provision under part 

1048 allowing engines with total 

displacement at or below 1000 cc and 

with rated power at or below 30 kW to 

meet the applicable Small SI engine 

standards instead of the standards in 

part 1048. For any engines that are 

certified using this provision, any 

emission standards that we adopt for 

Class II engines and equipment in this 

rulemaking (or in later rulemakings) 

will also apply at the same time. Since 

these engines are not required to meet 

the Small SI engine standards we have 

not included them in the analyses 

associated with this final rule. 

(2) Maximum Engine Power and Engine 

Displacement 

Under the current regulations, ‘‘rated 

power’’ and ‘‘power rating’’ are 

determined by the manufacturer with 

little or no direction for selecting 

appropriate values. We are establishing 

an objective approach to establishing 

the alternative term ‘‘maximum engine 

power’’ under the regulations (see 

§ 1054.140). This value has regulatory 

significance for Small SI engines only to 

establish whether or not engines are 

instead subject to Large SI engine 

standards. Determining maximum 

engine power is therefore relevant only 

for those engines that are approaching 

the line separating these two engine 

categories. We are requiring that 

manufacturers determine and report 

maximum engine power if their 

emission-data engine has a maximum 

modal power at or above 15 kW (at or 

mstockstill on PROD1PC66 with RULES2

59076 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

above 25 kW if engine displacement is 

at or below 1000 cc). 

Similarly, the regulations depend on 

engine displacement to differentiate 

engines for the applicability of different 

standards. The regulations currently 

provide no objective direction or 

restriction regarding the determination 

of engine displacement. We are defining 

displacement as the intended swept 

volume of the engine to the nearest 

cubic centimeter, where the engine’s 

swept volume is the product of the 

internal cross-sectional area of the 

cylinders, the stroke length, and the 

number of cylinders. 

For both maximum engine power and 

displacement, the declared values must 

be within the range of the values from 

production engines considering normal 

production variability. This does not 

imply that production engines need to 

be routinely tested or measured to verify 

the declared values, but it serves to 

define a range of appropriate values and 

provides a mechanism by which we can 

ensure that the declared values conform 

to the production engines in question. If 

production engines are found to have 

different values for maximum engine 

power or displacement, this should be 

noted in a change to the application for 

certification. 

(3) Exempted or Excluded Engines 

Under the Clean Air Act, engines that 

are used in stationary applications are 

not nonroad engines. States are 

generally preempted from setting 

emission standards for nonroad engines 

but this preemption does not apply to 

stationary engines. EPA has adopted 

emission standards for stationary 

compression-ignition engines sold or 

used in the United States (71 FR 39154, 

July 11, 2006). EPA also recently 

adopted emission standards for 

stationary spark-ignition engines in a 

separate action (73 FR 3568, January 18, 

2008). In pursuing emission standards 

for stationary engines, we have 

attempted to maintain consistency 

between stationary and nonroad 

requirements as much as possible. As 

explained in the stationary rule, 

stationary spark-ignition engines below 

19 kW are almost all sold into 

residential applications so we believe it 

is not appropriate to include 

requirements for owners or operators 

that will normally be part of a program 

for implementing standards for 

stationary engines. As a result, we 

indicated in the stationary rule that it is 

most appropriate to set exhaust and 

evaporative emission standards for 

stationary spark-ignition engines and 

equipment below 19 kW as if they were 

used in nonroad applications. This will 

allow manufacturers to make a single 

product that meets all applicable EPA 

standards for both stationary and 

nonroad applications. 

The Clean Air Act provides for a 

different regulatory approach for 

engines used solely in competition. 

Rather than relying on engine design 

features that serve as inherent indicators 

of dedicated competitive use, we have 

taken the approach in other programs of 

more carefully differentiating 

competition and noncompetition 

models in ways that reflect the nature of 

the particular products. In the case of 

Small SI engines, we believe there are 

no particular engine design features that 

allow us to differentiate between 

engines that are used solely for 

competition from those with racing-type 

features that are not used solely for 

competition. We are requiring that 

handheld and nonhandheld equipment 

with engines meeting all the following 

criteria will be considered as being used 

solely for competition: 

• The engine (or equipment in which 

the engine is installed) may not be 

displayed for sale in any public 

dealership; 

• Sale of the equipment in which the 

engine is installed must be limited to 

professional competitors or other 

qualified competitors; 

• The engine must have performance 

characteristics that are substantially 

superior to noncompetitive models; 

• The engines must be intended for 

use only in competition events 

sanctioned (with applicable permits) by 

a state or federal government agency or 

other widely recognized public 

organization, with operation limited to 

competition events, performance-record 

attempts, and official time trials. 

We are also including a provision 

allowing us to approve an exemption for 

cases in which an engine manufacturer 

can provide clear and convincing 

evidence that an engine will be used 

solely for competition even though not 

all the above criteria apply for a given 

situation. This may occur, for example, 

if a racing association specifies a 

particular engine model in the 

competition rules, where that engine 

has design features that prevent it from 

being certified, or from being used for 

purposes other than competition. 

Engine manufacturers will make their 

request for each new model year and we 

will deny a request for future 

production if there are indications that 

some engines covered by previous 

requests are not being used solely for 

competition. Competition engines are 

produced and sold in very small 

quantities so manufacturers should be 

able to identify which engines qualify 

for this exemption. 

In the rulemaking for recreational 

vehicles, we chose not to apply 

standards to hobby products by 

exempting all reduced-scale models of 

vehicles that were not capable of 

transporting a person (67 FR 68242, 

November 8, 2002). We are extending 

that same provision to handheld and 

nonhandheld Small SI engines. (See 

§ 1054.5.) 

In the rulemaking to establish Phase 

2 emission standards, we adopted an 

exemption for handheld and 

nonhandheld engines used in rescue 

equipment. The regulation does not 

require any request, approval, or 

recordkeeping related to the exemption. 

We discovered while conducting the 

SBAR Panel described in Section VI.G 

that some companies are producing 

noncompliant engines under this 

exemption. As a result, we are keeping 

this exemption but are adding several 

provisions to allow us to better monitor 

how it is used (see § 1054.660). We are 

also keeping the requirement that 

equipment manufacturers use certified 

engines if they are available. We are 

updating this provision by adding a 

requirement that equipment 

manufacturers use an engine that has 

been certified to less stringent Phase 1 

or Phase 2 standards if such an engine 

is available. We are explicitly allowing 

engine manufacturers to produce 

engines for this exemption (with 

permanent labels identifying the 

particular exemption), but only if they 

have a written request for each 

equipment model from the equipment 

manufacturer. We are further requiring 

that the equipment manufacturer notify 

EPA of the intent to produce emergency 

equipment with exempted engines. 

Also, to clarify the scope of this 

provision, we are defining ‘‘emergency 

rescue situations’’ as firefighting or 

other situations in which a person is 

retrieved from imminent danger. 

Finally, we are clarifying that EPA may 

discontinue the exemption on a case-bycase basis if we find that such engines 

are not used solely for emergency and 

rescue equipment or if we find that a 

certified engine is available to power the 

equipment safely and practically. We 

are applying the provisions of this 

section for new equipment built on or 

after January 1, 2010. 

The current regulations also specify 

an exemption allowing individuals to 

import up to three nonconforming 

handheld or nonhandheld engines one 

time. We are keeping this exemption 

with three adjustments (see § 1054.630). 

First, we are allowing this exemption 

only for used equipment. Allowing 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59077 

importation of new equipment under 

this exemption is not consistent with 

the intent of the provision, which is to 

allow people to move to the United 

States from another country and 

continue to use lawn and garden 

equipment that may already be in their 

possession. Second, we are allowing 

such an importation once every five 

years but are requiring a statement that 

the person importing the exempted 

equipment has not used this provision 

in the preceding five years. The current 

regulations allow only one importation 

in a person’s lifetime without including 

any way of making that enforceable. We 

believe the new combination of 

provisions represents an appropriate 

balance between preserving the 

enforceability of the exemption within 

the normal flow of personal property for 

people coming into the country. Third, 

we are no longer requiring submission 

of the taxpayer identification number 

since this is not essential for ensuring 

compliance. We are applying these 

changes starting January 1, 2010. 

C. Final Requirements 

A key element of the new 

requirements for Small SI engines is the 

more stringent exhaust emission 

standards for nonhandheld engines. We 

are also finalizing several changes to the 

certification program that will apply to 

both handheld and nonhandheld 

engines. For example, we are clarifying 

the process for selecting an engine 

family’s useful life, which defines the 

length of time over which 

manufacturers are responsible for 

meeting emission standards. We are also 

adding several provisions to update the 

program for allowing manufacturers to 

use emission credits to show that they 

meet emission standards. The following 

sections describe the elements of this 

rule. 

The timing for implementation of the 

new exhaust emission standards is 

described below. Unless we specify 

otherwise, all the additional regulatory 

changes will apply when engines are 

subject to the emission standards and 

the other provisions under 40 CFR part 

1054. This will be model year 2012 for 

Class I engines and model year 2011 for 

Class II engines. For handheld engines, 

we are generally requiring that 

manufacturers comply with the 

provisions of part 1054, including the 

certification provisions, starting in the 

2010 model year. These new 

requirements apply to handheld engines 

unless stated otherwise. For 

convenience we refer to the handheld 

emission standards in part 1054 as 

Phase 3 standards even though the 

numerical values remain unchanged 

from the Phase 2 standards. 

(1) Emission Standards 

Extensive testing and dialogue with 

manufacturers and other interested 

parties has led us to a much better 

understanding of the capabilities and 

limitations of applying emission control 

technologies to nonhandheld Small SI 

engines. As described in the Final RIA, 

we have collected a wealth of 

information related to the feasibility, 

performance characteristics, and safety 

implications of applying catalyst 

technology to these engines. We have 

concluded within the context of Clean 

Air Act section 213 that it is appropriate 

to establish emission standards that are 

consistent with those adopted by 

California ARB. We are finalizing 

HC+NOX emission standards of 10.0 

g/kW-hr for Class I engines starting in 

the 2012 model year, and 8.0 g/kW-hr 

for Class II engines starting in the 2011 

model year (see § 1054.105). For both 

classes of nonhandheld engines we are 

maintaining the existing CO standard of 

610 g/kW-hr. 

We are eliminating the defined 

subclasses for the smallest sizes of 

nonhandheld engines starting with 

implementation of the Phase 3 

standards. Under the current regulations 

in part 90, Class I-A is designated for 

engines with displacement below 66 cc 

that may be used in nonhandheld 

applications. To address the 

technological constraints of these 

engines, all the current requirements for 

these engines are the same as for 

handheld engines. Class I-B is similarly 

designated for engines with 

displacement between 66 and 100 cc 

that may be used in nonhandheld 

applications. These engines are 

currently subject to a mix of provisions 

that result in an overall stringency that 

lies between handheld and 

nonhandheld engines. We are revising 

the regulations such that engines at or 

below 80 cc are subject to the Phase 3 

standards for handheld engines and 

equipment in part 1054 starting in the 

2010 model year. We are allowing 

engines at or below 80 cc to be used 

without restriction in nonhandheld 

equipment. The 80 cc threshold aligns 

with the California ARB program. For 

nonhandheld engines above 80 cc, we 

are treating them in every way as Class 

I engines. Based on the fact that it is 

more difficult for smaller displacement 

engines to achieve the same g/kW-hr 

emission level as larger displacement 

engines, it will be more of a challenge 

for manufacturers to achieve a 10.0 

g/kW-hr HC+NOX level on these 

smallest Class I engines. However, for 

those engines unable to achieve the 

level of the new standards (either with 

or without a catalyst), manufacturers 

may elect to rely on emission credits to 

comply with emission standards. We 

believe all manufacturers producing 

engines formerly included in Class I–B 

also have a wide enough range of engine 

models that they will be able to generate 

sufficient credits to meet standards 

across the full product line. (See 

§ 1054.101 and § 1054.801.) 

We are making another slight change 

to the definition of handheld engines 

that may affect whether an engine is 

subject to handheld or nonhandheld 

standards. The handheld definition 

relies on a weight threshold for certain 

engines. As recently as 1999, we 

affirmed that the regulation should 

allow for the fact that switching to a 

heavier four-stroke engine to meet 

emission standards might 

inappropriately cause an engine to no 

longer qualify as a handheld engine (64 

FR 5252, February 3, 1999). The 

regulation accordingly specifies that the 

weight limit is 20 kilograms for oneperson augers and 14 kilograms for 

other types of equipment, based on the 

weight of the engine that was in place 

before applying emission control 

technologies. We believe it is 

impractical to base a weight limit on 

product specifications that have become 

difficult to establish. We are therefore 

increasing each of the specified weight 

limits by two kilograms, representing 

the approximate additional weight 

related to switching to a four-stroke 

engine, and applying the new weight 

limit to all engines and equipment (see 

§ 1054.801). 

Finally, we are revising the list of 

applications identified in the handheld 

definition as being subject to the 

handheld standards. We are specifically 

adding hand-supported jackhammers or 

rammer/compactor to the handheld 

definition as we have approved these 

types of applications in the past as 

meeting the attributes laid out in the 

definition. We are removing the ‘‘oneperson’’ term from the auger description 

in the handheld definition because 

some augers can be operated by two 

people, but still have other attributes 

that would lead to the equipment being 

considered handheld. We are also 

removing the specific mention of pumps 

and generators from the handheld 

definition if they are below the specified 

weight limit. With the change noted 

earlier that allows manufacturers to use 

engines below 80cc in either handheld 

or nonhandheld applications, we 

believe these applications no longer 

need to be cited for special treatment in 

the handheld definition. 

mstockstill on PROD1PC66 with RULES2

59078 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

The regulations in part 90 allow 

manufacturers to rely on altitude kits to 

comply with emission requirements at 

high altitude. We are continuing this 

approach but are clarifying that all 

nonhandheld engines must comply with 

Phase 3 standards without altitude kits 

at barometric pressures above 94.0 kPa, 

which corresponds to altitudes up to 

about 2,000 feet above sea level (see 

§ 1054.115). This will ensure that all 

areas east of the Rocky Mountains and 

most of the populated areas in Pacific 

Coast states will have compliant engines 

without depending on engine 

modifications. This becomes 

increasingly important as we anticipate 

manufacturers relying on technologies 

that are sensitive to controlling air-fuel 

ratio for reducing emissions. Engine 

manufacturers must identify in the 

owner’s manual the altitude ranges for 

proper engine performance and 

emission control that are expected with 

and without the altitude kit. The 

owner’s manual must also state that 

operating the engine with the wrong 

engine configuration at a given altitude 

may increase its emissions and decrease 

fuel efficiency and performance. See 

Section V.E.5 for further discussion 

related to the deployment of altitude 

kits where the manufacturers rely on 

them for operation at higher altitudes. 

We are adopting a slightly different 

approach for handheld engines with 

respect to altitude. Since we are not 

adopting more stringent exhaust 

emission standards, we believe it is 

appropriate to adopt provisions that are 

consistent with current practice at this 

time. We are therefore requiring 

handheld engines to comply with the 

current standards without altitude kits 

at barometric pressures above 96.0 kPa, 

which will allow for testing in most 

weather conditions at all altitudes up to 

about 1,100 feet above sea level. 

Spark-ignition engines used for 

marine auxiliary power (i.e., marine 

generator engines) are covered by the 

same regulations as land-based engines 

of the same size. However, the marine 

generator versions of Small SI engines 

are able to make use of ambient water 

for enhanced cooling of the engine and 

exhaust system. Exhaust systems for 

these engines are water-jacketed to 

maintain low surface temperatures to 

minimize the risk of fires on boats, 

where the generator is often installed in 

small compartments within the boat. 

Manufacturers of marine generator 

engines have recently developed 

advanced technology in an effort to 

improve fuel consumption and CO 

emission controls for marine generators. 

This advanced technology includes the 

use of electronic fuel injection and 

three-way catalysts. As a result, 

manufacturers are offering new products 

with more than a 99 percent reduction 

in CO and have expressed their intent 

to offer only these advanced-technology 

engines in the near future. They have 

stated that these low-CO engines are 

responsive to market demand. We are 

establishing a CO standard of 5.0 g/kWhr CO for marine generator engines to 

reflect the recent trend in marine 

generator engine designs (see 

§ 1054.105). We believe this standard is 

necessary to prevent backsliding in CO 

emissions that could occur if new 

manufacturers were to attempt to enter 

the market with less expensive, high-CO 

designs. See Section II for a discussion 

of air quality concerns related to CO 

emissions. 

At this time, we are continuing the 

current regulatory approach for 

wintertime engines (e.g., engines used 

exclusively to power equipment such as 

snowthrowers and ice augers). Under 

this final rule, the HC+NOX exhaust 

emission standards will be optional for 

wintertime engines. However, if a 

manufacturer chooses to certify its 

wintertime engines to such standards, 

those engines will be subject to all the 

requirements as if the optional 

standards were mandatory. We are 

adopting a definition of wintertime 

engines to clarify which engines qualify 

for these special provisions. 

All engines subject to standards must 

continue to control crankcase emissions. 

In the case of snowthrower engines, 

crankcase emissions may be vented to 

the ambient air as long as manufacturers 

take crankcase emissions into account 

in demonstrating compliance with 

exhaust emission standards. 

(2) Useful Life 

The Phase 2 standards for Small SI 

engines included the concept that 

manufacturers are responsible for 

meeting emission standards over a 

useful life period. The useful life 

defines the design target for ensuring 

the durability of emission controls 

under normal in-use operation for 

properly maintained engines. Given the 

very wide range of engine applications, 

from very low-cost consumer products 

to commercial models designed for 

long-term continuous operation, we 

determined that a single useful life 

value for all products, which is typical 

for other engine programs, was not 

appropriate for Small SI engines. We 

proposed at that time to determine the 

useful life for an engine family based on 

specific criteria, but commenters 

suggested that such a requirement was 

overly rigid and unnecessary. The final 

rule instead specified three alternative 

useful life values, giving manufacturers 

the responsibility to select the useful 

life that was most appropriate for their 

engines and the corresponding types of 

equipment. The preamble to the Phase 

2 final rule expressed a remaining 

concern that manufacturers might not 

select the most appropriate useful life 

value. This concern related to both 

ensuring effective in-use emission 

control and maintaining the integrity of 

emission-credit calculations. The 

preamble also stated our intent to 

periodically review the manufacturers’ 

decisions to determine whether 

modifications to these rules would be 

appropriate. 

The regulations in § 90.105 provide a 

benchmark for determining the 

appropriate useful life value for an 

engine family. The regulations direct 

manufacturers to select the useful life 

value that ‘‘most closely approximates 

the expected useful lives of the 

equipment into which the engines are 

anticipated to be installed.’’ To maintain 

a measure of accountability, we 

included a requirement that 

manufacturers document the basis for 

their selected useful life values. The 

suggested data included, among other 

things: (1) Surveys of the life spans of 

the equipment in which the subject 

engines are installed; (2) engineering 

evaluations of field-aged engines to 

ascertain when engine performance 

deteriorates to the point where utility 

and/or reliability is impacted to a degree 

sufficient to necessitate overhaul or 

replacement; and (3) failure reports from 

engine customers. These regulatory 

provisions identify the median time to 

retirement for in-use equipment as the 

marker for defining the useful life 

period. This allows manufacturers to 

consider that equipment models may 

fail before the engine has reached the 

point of failure and that engines may be 

installed in different types of equipment 

with varying usage patterns. Engines 

used in different types of equipment, or 

even engines used in the same 

equipment models used by different 

operators, may experience widely 

varying usage rates. The manufacturer is 

expected to make judgments that take 

this variability into account when 

estimating the median life of in-use 

engines and equipment. 

Several manufacturers have made a 

good faith effort to select appropriate 

useful life values for their engine 

families, either by selecting only the 

highest value, or by selecting higher 

values for families that appear more 

likely to be used in commercial 

applications. At the same time, we have 

observed several instances in which 

engine models are installed in 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59079 

commercial equipment and marketed as 

long-life products but are certified to the 

minimum allowable useful life period. 

After assessing several ideas, we 

chose to adopt an approach that 

preserves the fundamental elements of 

the current provisions related to useful 

life but clarifies and enhances its 

implementation (see § 1054.107). 

Manufacturers will continue to select 

the most appropriate useful life from the 

same nominal values to best match the 

expected in-use lifetime of the 

equipment into which the engines in the 

engine family will be installed. 

Manufacturers must continue to 

document the information supporting 

their selected useful life. We are 

adopting three provisions to address 

remaining concerns with the process of 

selecting useful life values. 

First, for manufacturers not selecting 

the highest available nominal value for 

useful life, we expect to routinely 

review the information to confirm that 

it complies with the regulation. Where 

our review indicates that the selected 

useful life may not be appropriate for an 

engine family, we may request further 

justification. If we determine from 

available information that a longer 

useful life is appropriate, the 

manufacturer must either provide 

additional justification or select a longer 

useful life for that engine family. We 

will encourage manufacturers to use the 

new provisions related to preliminary 

approval in § 1054.210 if there is any 

uncertainty related to the useful life 

selection. We would rather work 

together early to establish this in the 

certification process rather than 

reviewing a completed application for 

certification to evaluate whether the 

completed durability demonstration is 

sufficient. 

Second, we are modifying the 

regulations to allow nonhandheld 

engine manufacturers to select a useful 

life value that is longer than the three 

specified nominal values. 

Manufacturers may choose to do this for 

the marketing advantage of selling a 

long-life product or they may want to 

generate emission credits that 

correspond to an expected lifetime that 

is substantially longer than we would 

otherwise allow. We are allowing 

manufacturers to select longer useful 

life values in 100-hour increments, up 

to 3,000 hours for Class I engines and up 

to 5,000 hours for Class II engines. 

Durability testing for certification will 

need to correspond to the selected 

useful life period. We have considered 

the possibility that a manufacturer 

might overstate an engine family’s 

useful life to generate emission credits 

while knowing that engines may not 

operate that long. We believe the 

inherent testing burden and compliance 

liability is enough to avoid such a 

problem, but we are including the 

specified maximum values 

corresponding with the applicable 

useful life for comparable diesel engines 

or Large SI engines. We are not allowing 

for longer useful life values for 

handheld engines. 

Third, we are requiring that engines 

and equipment be labeled to identify the 

applicable useful life period. The 

current requirement allows 

manufacturers to identify the useful life 

with code letters on the engine’s 

emission control information label, with 

the numerical value of the useful life 

spelled out in the owner’s manual. We 

believe it is important for equipment 

manufacturers and consumers to be able 

to find an unambiguous designation 

showing the engine manufacturer’s 

expectations about the useful life of the 

engine. Comments on the proposed rule 

also indicated an interest in using 

descriptive terms to identify the useful 

life on the label. We believe any 

terminology will communicate less 

effectively than the numerical value of 

the useful life, but we will allow 

manufacturers to use specified 

descriptive terms in addition to the 

number of hours. 

We are also including a provision in 

the final rule stating that the useful life 

is defined as a five-year period if the 

engine has not yet exceeded the 

specified number of operating hours 

during that time. This is consistent with 

our other engine programs. This does 

not affect the certification process. If we 

test an in-use engine within the fiveyear useful life period and there is no 

clear indication that it has not yet 

exceeded the specified number of 

operating hours, it would need to meet 

applicable emission standards. 

Conversely, if an engine has not yet 

exceeded the number of operating hours 

but the engine is six years old, it is no 

longer required to meet emission 

standards. 

(3) Averaging, Banking, and Trading 

EPA has included averaging, banking, 

and trading (ABT) programs in most of 

the emission control programs for 

highway and nonroad engines. EPA’s 

existing Phase 2 regulations for Small SI 

engines include an exhaust ABT 

program (see 40 CFR 90.201 through 

90.211). We are adopting an ABT 

program for the Phase 3 HC+NOX

exhaust emission standards that is 

similar to the existing program (see part 

1054, subpart H). The new exhaust ABT 

program is intended to enhance the 

ability of engine manufacturers to meet 

more stringent emission standards. The 

exhaust ABT program is also structured 

to avoid delay of the transition to the 

new exhaust emission controls. As 

described in Section VI.D, we are 

establishing a separate evaporative ABT 

program for fuel tanks used in Small SI 

equipment. Credits may not be 

exchanged between the exhaust ABT 

program and the evaporative ABT 

program. 

The exhaust ABT program has three 

main components. Averaging means the 

exchange of emission credits between 

engine families within a given engine 

manufacturer’s product line for a 

specific model year. Engine 

manufacturers divide their product line 

into ‘‘engine families’’ that are 

comprised of engines expected to have 

similar emission characteristics 

throughout their useful life. Averaging 

allows a manufacturer to certify one or 

more engine families at levels above the 

applicable emission standard, but below 

a set upper limit. This level then 

becomes the applicable standard for all 

the engines in that engine family, for 

purposes of certification, in-use testing, 

and the like. However, the increased 

emissions must be offset by one or more 

engine families within that 

manufacturer’s product line that are 

certified below the same emission 

standard, such that the average standard 

from all the manufacturer’s engine 

families, weighted by engine power, 

regulatory useful life, and production 

volume, is at or below the level of the 

emission standard. Banking means the 

retention of emission credits by the 

engine manufacturer for use in 

averaging or trading for future model 

years. Trading means the exchange of 

emission credits between engine 

manufacturers which can then be used 

for averaging purposes, banked for 

future use, or traded to another engine 

manufacturer. 

Because we are not adopting any 

change in the general equation under 

which emission credits are calculated, 

EPA is allowing manufacturers to use 

Phase 2 credits generated under the part 

90 ABT program for engines that are 

certified in the Phase 3 program under 

part 1054, within the limits described 

below. Furthermore, even though we are 

not establishing new exhaust emission 

standards for handheld engines, the 

handheld engine regulations are 

migrating to part 1054. Therefore, 

handheld engines will be included in 

the new ABT program under part 1054 

with one change in the overall program 

as described below. 

Under an ABT program, averaging is 

allowed only between engine families in 

the same averaging set, as defined in the 

mstockstill on PROD1PC66 with RULES2

59080 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

regulations. For the exhaust ABT 

program, we are separating handheld 

engines and nonhandheld engines into 

two distinct averaging sets starting with 

the 2011 model year. Under the new 

program, credits may generally be used 

interchangeably between Class I and 

Class II engine families, with a limited 

restriction on Phase 3 credits during 

model years 2011 and 2012 as noted 

below. Likewise, credits can be used 

interchangeably between all three 

handheld engine classes (Classes III, IV, 

and V). Because the Phase 2 exhaust 

ABT program allowed exchange across 

all engine classes (i.e., allowing 

exchanges between handheld engines 

and nonhandheld engines), 

manufacturers using credits beginning 

with the 2011 model year will need to 

show that the credits were generated 

within the allowed category of engines. 

For many companies, especially those 

in the handheld market, this will 

potentially be straightforward since they 

are primarily in the handheld market. 

For companies that have a commingled 

pool of emission credits generated by 

both handheld engines and 

nonhandheld engines, this will take 

more careful accounting. Because 

manufacturers have been aware of this 

new requirement since the proposal, 

keeping records to distinguish handheld 

credits and nonhandheld credits will be 

relatively straightforward for 2006 and 

later model years. 

We are making two exceptions to the 

provision restricting credit exchanges 

between handheld engines and 

nonhandheld engines. Currently, some 

companies that are primarily 

nonhandheld engine manufacturers also 

sell a limited number of handheld 

engines. Under the Phase 2 program, 

these engine manufacturers can use 

credits from nonhandheld engines to 

offset the higher emissions of their 

handheld engines. Because we are not 

adopting new exhaust requirements for 

handheld engines, we are addressing 

this existing practice by specifying that 

an engine manufacturer may use 

emission credits from their 

nonhandheld engines for their handheld 

engines under certain conditions. 

Specifically, a manufacturer may use 

credits from their nonhandheld engines 

for their handheld engines only where 

the handheld engine family is certified 

in 2008 and later model years without 

any design changes from the 2007 

model year and the FEL of the handheld 

engine family does not increase above 

the level that applied in the 2007 model 

year, unless such an increase is based 

on emission data from production 

engines. Furthermore, we are limiting 

the number of handheld engines for 

which a manufacturer can use emission 

credits from their nonhandheld engines 

to 30,000 per year. We believe these 

provisions allow for engine 

manufacturers to continue producing 

these handheld engines for use in 

existing handheld models of lowvolume equipment applications while 

preventing new high-emitting handheld 

engine families from entering the market 

through the use of nonhandheld engine 

credits. (See § 1054.740.) 

A second exception to the provision 

restricting credit exchanges between 

handheld engines and nonhandheld 

engines arises because of our handling 

of engines below 80cc. Under the new 

Phase 3 program, all engines below 80cc 

are considered handheld engines for the 

purposes of the emission standards. 

However, a few of these engines are 

used in nonhandheld applications. 

Therefore, EPA will allow a 

manufacturer to generate nonhandheld 

ABT credits from engines below 80cc 

for those engines a manufacturer has 

determined are used in nonhandheld 

applications. (The credits will be 

generated against the applicable 

handheld engine standard.) These 

nonhandheld credits could be used 

within the Class I and Class II engine 

classes to demonstrate compliance with 

the Phase 3 exhaust standards (subject 

to applicable restrictions). The credits 

generated by engines below 80cc used 

in handheld applications could only be 

used for other handheld engines. (See 

§ 1054.701.) 

Under an ABT program, a 

manufacturer establishes a ‘‘family 

emission limit’’ (FEL) for each 

participating engine family. This FEL 

may be above or below the standard. 

The FEL becomes the enforceable 

emission limit for all the engines in that 

family for purposes of compliance 

testing. FELs that are established above 

the standard may not exceed an upper 

limit specified in the ABT regulations. 

For nonhandheld engines we are 

establishing FEL caps to prevent the sale 

of very high-emitting engines. Under the 

new FEL caps, manufacturers will need 

to establish FELs at or below the levels 

of the Phase 2 HC+NOX emission 

standards of 16.1 g/kW-hr for Class I 

engines and 12.1 g/kW-hr for Class II 

engines. (The Phase 3 FEL cap for Class 

I engines with a displacement between 

80 cc and 100 cc will be 40.0 g/kW-hr 

since these engines were Class I–B 

engines under the Phase 2 regulations 

and subject to this higher level.) For 

handheld engines, where we are not 

adopting new exhaust emission 

standards, we are maintaining the FEL 

caps as currently specified in the part 90 

ABT regulations. 

For nonhandheld engines we are 

adding two special provisions related to 

the transition from Phase 2 to Phase 3 

standards in § 1054.740. First, we are 

providing incentives for manufacturers 

to produce and sell engines certified at 

or below the Phase 3 standards before 

the standards are scheduled to be 

implemented. Second, we are 

establishing provisions to allow the use 

of Phase 2 credits for a limited time 

under specific conditions. The 

following discussions describe each of 

these provisions in more detail for Class 

I engines and Class II engines 

separately. 

For Class I engines, engine 

manufacturers can generate early Phase 

3 credits by producing engines with an 

FEL at or below 10.0 g/kW-hr prior to 

2012. These early Phase 3 credits will be 

calculated and categorized into two 

distinct types of credits, Transitional 

Phase 3 credits and Enduring Phase 3 

credits. For engines certified with an 

FEL at or below 10.0 g/kW-hr, the 

manufacturer will earn Transitional 

Phase 3 credits. The Transitional Phase 

3 credits will be calculated based on the 

difference between 10.0 g/kW-hr and 

15.0 g/kW-hr. (The 15.0 g/kW-hr level is 

the production-weighted average of 

Class I FEL values under the Phase 2 

program.) Manufacturers could use the 

Transitional Phase 3 credits from Class 

I engines in 2012 through 2014 model 

years. For engines certified with an FEL 

below 10.0 g/kW-hr, manufacturers will 

earn Enduring Phase 3 credits in 

addition to the Transitional Phase 3 

credits described above. The Enduring 

Phase 3 credits will be calculated based 

on the difference between the FEL for 

the engine family and 10.0 g/kW-hr (i.e., 

the applicable Phase 3 standard). The 

Enduring Phase 3 credits could be used 

once the Phase 3 standards are 

implemented without the model year 

restriction noted above for Transitional 

Phase 3 credits. 

Engine manufacturers may certify 

their Class I engines using Phase 2 

credits generated by Class I or Class II 

engines for the first two years of the 

Phase 3 standards (i.e., model years 

2012 and 2013) under certain 

conditions. The manufacturer must first 

use all of its available transitional Phase 

3 credits to demonstrate compliance 

with the Phase 3 standards, subject to 

the cross-class credit restriction noted 

below which applies prior to model year 

2013. If these Transitional Phase 3 

credits are sufficient to demonstrate 

compliance, the manufacturer may not 

use Phase 2 credits. If these Transitional 

Phase 3 credits are insufficient to 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59081 

demonstrate compliance, the 

manufacturer could use Phase 2 credits 

to a limited degree (under the 

conditions described below) to cover the 

remaining amount of credits needed to 

demonstrate compliance. If 

manufacturers still need credits to 

demonstrate compliance, they may then 

use their remaining Phase 3 credits (i.e., 

their Enduring Phase 3 credits or any 

other Phase 3 credits generated in 2012 

or 2013, subject to the cross-class credit 

restriction noted below which applies 

prior to model year 2013). 

The maximum number of Phase 2 

HC+NOX exhaust emission credits that 

manufacturers could use for their Class 

I engines will be calculated based on the 

characteristics of Class I engines 

produced during the 2007, 2008, and 

2009 model years. For each of those 

years, the manufacturer will calculate a 

Phase 2 credit allowance using the ABT 

credit equation and inserting 1.6 g/kWhr for the ‘‘Standard—FEL’’ term, and 

basing the rest of the values on the total 

production of Class I engines, the 

production-weighted power for all Class 

I engines, and production-weighted 

useful life value for all Class I engines 

produced in each of those years. 

Manufacturers will not include their 

wintertime engines in the calculations 

unless the engines are certified to meet 

the otherwise applicable HC+NOX

emission standard. The maximum 

number of Phase 2 HC+NOX exhaust 

emission credits a manufacturer could 

use for their Class I engines (calculated 

in kilograms) will be the average of the 

three values calculated for model years 

2007, 2008, and 2009. The calculation 

described above allows a manufacturer 

to use Phase 2 credits to cover a 

cumulative shortfall over the first two 

years for their Class I engines of 1.6 

g/kW-hr above the Phase 3 standard. 

The Phase 2 credit allowance for Class 

I engines could be used all in 2012, all 

in 2013, or partially in either or both 

model year’s ABT compliance 

calculations. Because ABT compliance 

calculations must be done annually, the 

manufacturer will know its 2013 

remaining allowance based on its 2012 

calculation. For example, if a 

manufacturer uses all of its Phase 2 

credit allowance in 2012, it will have no 

use of Phase 2 credits for 2013. 

Conversely, if a manufacturer doesn’t 

use any Phase 2 credits in 2012, it will 

have all of its Phase 2 credit allowance 

available for use in 2013. If a 

manufacturer uses less than its 

calculated total credits based on the 1.6 

g/kW-hr limit in 2012, the remainder 

will be available for use in 2013. This 

provision allows for limited use of 

Phase 2 emission credits to address the 

possibility of unanticipated challenges 

in reaching the Phase 3 emission levels 

in some cases or selling Phase 3 

compliant engines early nationwide, 

without creating a situation that will 

allow manufacturers to substantially 

delay the introduction of Phase 3 

emission controls. 

For Class II engines, engine 

manufacturers could generate early 

Phase 3 credits by producing engines 

with an FEL at or below 8.0 g/kW-hr 

prior to 2011. These early Phase 3 

credits will be calculated and 

categorized as Transitional Phase 3 

credits and Enduring Phase 3 credits. 

For engines certified with an FEL at or 

below 8.0 g/kW-hr, the manufacturer 

will earn Transitional Phase 3 credits. 

The Transitional Phase 3 credits will be 

calculated based on the difference 

between 8.0 g/kW-hr and 11.0 g/kW-hr. 

(The 11.0 g/kW-hr level is the 

production-weighted average of Class II 

FEL values under the Phase 2 program.) 

Manufacturers could use the 

Transitional Phase 3 credits from Class 

II engines in 2011 through 2013 model 

years. For engines certified with an FEL 

below 8.0 g/kW-hr, manufacturers will 

earn Enduring Phase 3 credits in 

addition to the Transitional Phase 3 

credits described above. The Enduring 

Phase 3 credits will be calculated based 

on the difference between the FEL for 

the engine family and 8.0 g/kW-hr (i.e., 

the applicable Phase 3 standard). The 

Enduring Phase 3 credits could be used 

once the Phase 3 standards are 

implemented without the model year 

restriction noted above for Transitional 

Phase 3 credits. 

Engine manufacturers may certify 

their Class II engines using Phase 2 

credits generated by Class I or Class II 

engines for the first three years of the 

Phase 3 standards (i.e., model years 

2011, 2012 and 2013) under certain 

conditions. The manufacturer must first 

use all of its transitional Phase 3 credits 

to demonstrate compliance with the 

Phase 3 standards, subject to the crossclass credit restriction noted below 

which applies prior to model year 2013. 

If these Transitional credits are 

sufficient to demonstrate compliance, 

the manufacturer may not use Phase 2 

credits. If these Transitional Phase 3 

credits are insufficient to demonstrate 

compliance, the manufacturer could use 

Phase 2 credits to a limited degree 

(under the conditions described below) 

to cover the remaining amount of credits 

needed to demonstrate compliance. If 

the manufacturer still needs credits to 

demonstrate compliance, they may then 

use their remaining Phase 3 credits (i.e., 

their Enduring Phase 3 credits or any 

other Phase 3 credits generated in 2011, 

2012, or 2013, subject to the cross-class 

credit restriction noted below which 

applies prior to model year 2013). 

The maximum number of Phase 2 

HC+NOX exhaust emission credits a 

manufacturer could use for their Class II 

engines will be calculated based on the 

characteristics of Class II engines 

produced during the 2007, 2008, and 

2009 model years. For each of those 

years, the manufacturer will calculate a 

Phase 2 credit allowance using the ABT 

credit equation and inserting 2.1 g/kWhr for the ‘‘Standard—FEL’’ term, and 

basing the rest of the values on the total 

production of Class II engines, the 

production-weighted power for all Class 

II engines, and production-weighted 

useful life value for all Class II engines 

produced in each of those years. 

Manufacturers will not include their 

wintertime engines in the calculations 

unless the engines are certified to meet 

the otherwise applicable HC+NOX

emission standard. The maximum 

number of Phase 2 HC+NOX exhaust 

emission credits a manufacturer could 

use for their Class II engines (calculated 

in kilograms) will be the average of the 

three values calculated for model years 

2007, 2008, and 2009. The calculation 

described above allows a manufacturer 

to use Phase 2 credits to cover a 

cumulative shortfall over the first three 

years for their Class II engines of 2.1 

g/kW-hr above the Phase 3 standard. 

The Phase 2 credit allowance for Class 

II engines could be used all in 2011, all 

in 2012, all in 2013, or partially in any 

or all three model year’s ABT 

compliance calculations. Because ABT 

compliance calculations must be done 

annually, the manufacturer will know 

its remaining allowance based on its 

previous calculations. For example, if a 

manufacturer uses all of its Phase 2 

credit allowance in 2011, it will have no 

Phase 2 credits for 2012 or 2013. 

However, if a manufacturer uses less 

than its calculated total credits based on 

the 2.1 g/kW-hr limit in 2011, it will 

have the remainder of its allowance 

available for use in 2012 and 2013. This 

provision allows for some use of Phase 

2 emission credits to address the 

possibility of unanticipated challenges 

in reaching the Phase 3 emission levels 

in some cases or selling Phase 3 engines 

nationwide, without creating a situation 

that will allow manufacturers to 

substantially delay the introduction of 

Phase 3 emission controls. 

To avoid the use of credits to delay 

the introduction of Phase 3 

technologies, we are also not allowing 

manufacturers to use Phase 3 credits 

from Class I engines to demonstrate 

compliance with Class II engines in the 

2011 and 2012 model years. Similarly, 

mstockstill on PROD1PC66 with RULES2

59082 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

we are not allowing manufacturers to 

use Phase 3 credits from Class II engines 

to demonstrate compliance with Class I 

engines in the 2012 model year. The 1.6 

kW-hr and 2.1 g/kW-hr allowances 

discussed above may not be exchanged 

across engine classes or traded among 

manufacturers. 

We are making one additional 

adjustment related to the exhaust ABT 

program for engines subject to the new 

emission standards. We are adopting a 

requirement that lowering an FEL after 

the start of production may occur only 

if the manufacturer has emission data 

from production engines justifying the 

lower FEL (see § 1054.225). This 

prevents manufacturers from making 

FEL changes late in the model year to 

generate more emission credits (or use 

fewer emission credits) when there is 

little or no opportunity to verify 

whether the revised FEL is appropriate 

for the engine family. This provision is 

common in EPA’s emission control 

programs for other engine categories. 

We are also requiring that any revised 

FEL can apply only for engines 

produced after the FEL change. This is 

necessary to prevent manufacturers 

from recalculating emission credits in a 

way that leaves no way of verifying that 

the engines produced prior to the FEL 

change met the applicable requirements. 

As described below in Section V.E.3, 

we are allowing equipment 

manufacturers to install a limited 

number of Class II engines, certified by 

engine manufacturers with a catalyst as 

Phase 3 engines, into equipment 

without the catalyst. (This is only 

allowed when the engine is shipped 

separately from the exhaust system 

under the provisions described in 

Section V.E.2.) Because engine 

manufacturers may be generating 

emission credits from these engines 

based on the use of a catalyst, EPA is 

concerned that engine manufacturers 

could be earning exhaust ABT credits 

for engines that are sold but never have 

the catalyst installed. Therefore, EPA 

believes it is appropriate to adjust such 

credits to account for the fact that 

equipment manufacturers may in many 

cases legally install a non-catalyzed 

muffler on an engine that is part of a 

family whose certification depends on 

the use of a catalyst. Therefore, EPA is 

adopting a 0.9 adjustment factor for 

calculating credits for engine families 

that are available under the delegated 

assembly provisions and are also 

participating in the TPEM program. In 

addition, EPA is including an option 

that will allow engine manufacturers to 

track the final configuration of the 

engines to determine the actual number 

of engines that were downgraded under 

the TPEM program. A manufacturer 

would need to track sales for all the 

equipment manufacturers purchasing 

the given engine family. The engine 

manufacturer could use the resulting 

number of engines that were not 

downgraded in its calculation of ABT 

credits for that specific engine family. 

Engine manufacturers may specifically 

direct equipment manufacturers not to 

participate in the TPEM program for 

certain engine models, which would 

allow for a more straightforward 

accounting of the number of engines 

that are downgraded under the TPEM 

program. 

For all emission credits generated by 

engines under the Phase 3 exhaust ABT 

program, we are allowing an indefinite 

credit life. We consider these emission 

credits to be part of the overall program 

for complying with Phase 3 standards. 

Given that we may consider further 

reductions beyond these standards in 

the future, we believe it will be 

important to assess the ABT credit 

situation that exists at the time any 

further standards are considered. 

Emission credit balances will be part of 

the analysis for determining the 

appropriate level and timing of new 

standards, consistent with the statutory 

requirement to establish standards that 

represent the greatest degree of emission 

reduction achievable, considering cost, 

safety, lead time, and other factors. If we 

were to allow the use of Phase 3 credits 

to meet future standards, we may need 

to adopt emission standards at more 

stringent levels or with an earlier start 

date than we would absent the 

continued (or limited) use of Phase 3 

credits, depending on the level of Phase 

3 credit banks. Alternatively, we could 

adopt future standards without allowing 

the use of Phase 3 credits. The final 

requirements in this rulemaking 

describe a middle path in which we 

allow the use of Phase 2 credits to meet 

the Phase 3 standards, with provisions 

that limit the extent and timing of using 

these credits. 

Finally, manufacturers may include as 

part of their federal credit calculation 

the sales of engines in California as long 

as they don’t separately account for 

those emission credits under the 

California regulations. We originally 

proposed to exclude engines sold in 

California which are subject to the 

California ABR standards. However, we 

consider California’s current HC+NOX

standards to be equivalent to those we 

are adopting in this rulemaking, so we 

would expect a widespread practice of 

producing and marketing 50-state 

products. Therefore, as long as a 

manufacturer is not generating credits 

under California’s averaging program for 

small engines, we would allow 

manufacturers to count those engines 

when calculating credits under EPA’s 

program. This is consistent with how 

EPA allows credits to be calculated in 

other nonroad sectors, such as 

recreational vehicles. 

D. Testing Provisions 

The test procedures provide an 

objective measurement for establishing 

whether engines comply with emission 

standards. The following sections 

describe a variety of changes to the 

current test procedures. Except as 

identified in the following sections, we 

are preserving the testing-related 

regulatory provisions that currently 

apply under 40 CFR part 90 for Phase 

2 engines. Note that there is no 

presumption that any previous 

approvals, guidance, or judgments 

related to alternatives, deviations, or 

interpretations of the testing 

requirements under the Phase 1 or 

Phase 2 program will continue to apply; 

any decisions on such issues will be 

handled going forward on a case-by-case 

basis. 

(1) Migrating Procedures to 40 CFR Part 

1065 

Manufacturers have been using the 

procedures in 40 CFR part 90 to test 

their engines for certification of Phase 1 

and Phase 2 engines. As part of a much 

broader effort, we have adopted 

comprehensive testing specifications in 

40 CFR part 1065 that are intended to 

serve as the basis for testing all types of 

engines. The procedures in part 1065 

include updated information reflecting 

the current state of available technology. 

We are applying the procedures in part 

1065 to nonhandheld engines starting 

with new certification testing in 2013 

and later model years as specified in 40 

CFR part 1054, subpart F. The 

procedures in part 1065 identify new 

types of analyzers and update a wide 

range of testing specifications, but leave 

intact the fundamental approach for 

measuring exhaust emissions. There is 

no need to shift to the part 1065 

procedures for nonhandheld engines 

before 2013. This allows manufacturers 

time to make any necessary adjustments 

or upgrades in their lab equipment and 

procedures. While any new certification 

testing for nonhandheld engines will be 

subject to the part 1065 procedures 

starting in model year 2013, 

manufacturers will be allowed to 

continue certifying nonhandheld 

engines using carryover data generated 

under the part 90 procedures. 

We are not setting new exhaust 

emission standards for handheld 

engines so there is no natural point in 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59083 

time for shifting to the part 1065 

procedures. We nevertheless believe 

handheld engines should also use the 

part 1065 procedures for measuring 

exhaust emissions. We are requiring 

manufacturers to start using the part 

1065 procedures in the 2013 model year 

as described above for nonhandheld 

engines. Manufacturers will be allowed 

to continue certifying handheld engines 

using carryover data generated under 

the part 90 procedures, but any new 

certification testing will be subject to 

the part 1065 procedures starting with 

the 2013 model year. 

We have taken several steps to 

address the concerns raised by engine 

manufacturers related to the specified 

test procedures in part 1065. First, we 

have confirmed that the calculations in 

part 1065 yield the same emission 

results for a given set of raw data from 

testing. The two calculation methods 

resulted in differences that were less 

than 1 percent for both handheld and 

nonhandheld engines. We have 

identified a variety of clarifications and 

adjustments that we need to make to the 

equations in § 1065.655 to ensure 

accurate calculations for engines 

operating with rich air-fuel mixtures. 

Second, we have modified the cyclevalidation criteria in § 1054.505 to more 

carefully reflect achievable torque 

control for small engines. The new 

criteria are based on a combination of 

specifications for continuous 

measurements and mean values, 

including specification of absolute 

thresholds where a percentage approach 

would not work for very small torque 

values. Third, we are adjusting the 

fueling instructions in part 1065 to 

allow for fuel-oil mixtures with twostroke engines. 

We also acknowledge that handheld 

engines that depend on special fixtures 

for proper testing should be tested 

under the provisions of § 1065.10(c) for 

special test procedures. This would 

require that manufacturers describe 

their test fixtures and make them 

available upon request. Further effort 

may be required to incorporate more 

specific requirements or specifications 

related to these test fixtures. We expect 

to cooperate with government agencies 

from California and from other countries 

in an effort to harmonize Small SI test 

procedures, for part 1065 procedures 

generally and for these special test 

procedures in particular. 

(2) Duty Cycle 

The regulations under part 90 

currently specify duty cycles for testing 

engines for exhaust emissions. The 

current requirements specify how to 

control speeds and loads and describe 

the situations in which the installed 

engine governor controls engine speed. 

We are extending these provisions to 

testing under the new standards with a 

few adjustments described below. For 

engines equipped with an engine speed 

governor, the current regulations at 40 

CFR 90.409(a)(3) state: 

For Class I, Class I–B, and Class II 

engines subject to Phase 2 standards 

that are equipped with an engine speed 

governor, the governor must be used to 

control engine speed during all test 

cycle modes except for Mode 1 or Mode 

6, and no external throttle control may 

be used that interferes with the function 

of the engine’s governor; a controller 

may be used to adjust the governor 

setting for the desired engine speed in 

Modes 2–5 or Modes 7–10; and during 

Mode 1 or Mode 6 fixed throttle 

operation may be used to determine the 

100 percent torque value. 

In addition, the current regulations at 

40 CFR 90.410(b) state: 

For Phase 2 Class I, I–B, and II engines 

equipped with an engine speed governor, 

during Mode 1 or Mode 6 hold both the 

specified speed and load within ± five 

percent of point, during Modes 2–3, or 

Modes 7–8 hold the specified load with ± 

five percent of point, during Modes 4–5 or 

Modes 9–10, hold the specified load within 

the larger range provided by ±0.27 Nm (±0.2 

lb-ft), or ± ten (10) percent of point, and 

during the idle mode hold the specified 

speed within ± ten percent of the 

manufacturer’s specified idle engine speed 

(see Table 1 in Appendix A of this subpart 

for a description of test Modes). 

Manufacturers have raised questions 

about the interpretation of these 

provisions. Our intent is that the current 

requirements specify that testing be 

conducted as follows: 

• Full-load testing occurs at wideopen throttle to maintain engines at 

rated speed, which is defined as the 

speed at which the engine’s maximum 

power occurs (as declared by the 

manufacturer). 

• Idle testing occurs at the 

manufacturer’s specified idle speed 

with a maximum load of five percent of 

maximum torque. The regulation allows 

adjustment to control speeds that are 

different than will be maintained by the 

installed governor. 

• The installed governor must be 

used to control engine speed for testing 

at all modes with torque values between 

idle and full-load modes. The regulation 

allows adjustments for nominal speed 

settings that are different than will be 

maintained by the installed governor 

without modification. 

We are adopting the Phase 3 

standards with adjustments to the 

regulatory requirements currently 

described in 40 CFR part 90 (see 

§ 1054.505). Since each of these 

adjustments may have some effect on 

measured emission levels, we believe it 

is appropriate to implement these 

changes concurrent with the Phase 3 

standards. To the extent the adjustments 

apply to handheld engines, we believe 

it is appropriate to apply the changes for 

new testing with 2013 and later model 

year engines for the reasons described 

above for adopting the test procedures 

in part 1065. 

First, for engines with installed 

governors we are requiring the engine 

speed during the idle mode to be 

controlled by the governor. We believe 

there is no testing limitation that will 

call for engine operation at idle to 

depart from the engine’s governed 

speed. Allowing manufacturers to 

arbitrarily declare an idle speed only 

allows manufacturers to select an idle 

speed that gives them an advantage in 

achieving lower measured emission 

results but not in a way that 

corresponds to in-use emission control. 

We are also aware that some production 

engines have a user-selectable control 

for selecting high-speed or low-speed 

idle (commonly identified as ‘‘rabbit/ 

turtle’’ settings). We believe this 

parameter adjustment may have a 

significant effect on emissions that 

should be captured in the certification 

test procedure. As a result, we are 

requiring that manufacturers conduct 

testing with user-selectable controls set 

to keep the engine operating at lowspeed idle if any production engines in 

the engine family have such an option. 

For engines with no installed governor, 

part 1065 specifies that the engine 

should operate at the idle speed 

declared by the manufacturer. 

Second, we are allowing an option in 

which manufacturers will test their 

nonhandheld engines using a rampedmodal version of the specified duty 

cycle. We expect this testing to be 

equivalent to the modal testing 

described above but it will have 

advantages for streamlining test efforts 

by allowing for a single result for the 

full cycle instead of relying on a 

calculation from separate modal results. 

Under the new requirement we will 

allow manufacturers the option to select 

this type of testing. Manufacturers must 

use the same test method for 

production-line testing that they use for 

certifying the engine family. 

Manufacturers may include results from 

both types of testing in their application 

for certification, in which case they 

could use either method for productionline testing. EPA’s confirmatory testing 

will involve the same type of testing 

mstockstill on PROD1PC66 with RULES2

59084 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

performed by the manufacturers for 

certification. 

Third, the part 90 regulations 

currently specify two duty cycles for 

nonhandheld engines: (1) Testing at 

rated speed; and (2) testing at 85 percent 

of rated speed. The regulations direct 

manufacturers simply to select the most 

appropriate cycle and declare the rated 

speed for their engines. We are making 

this more objective by stating that rated 

speed is 3,600 rpm and intermediate 

speed is 3,060 rpm, unless the 

manufacturer demonstrates that a 

different speed better represents the inuse operation for their engines. This is 

consistent with the most common in-use 

settings and most manufacturers’ 

current practice. 

In addition, we are adding regulatory 

provisions to clarify how nonhandheld 

engines are operated to follow the 

prescribed duty cycle. As described in 

part 90, we are requiring that the 

engines operate ungoverned at wideopen throttle for the full-power mode. 

This test mode is used to denormalize 

the rest of the duty cycle. This operation 

is intentionally not representative of inuse operation, but disabling the 

governor allows for more uniform 

testing that is not dependent on the 

various governing strategies that 

manufacturers might use. To avoid a 

situation where engines are designed to 

control emissions over the test cycle, 

with less effective controls under 

similar modes of operation that engines 

experience in use, we are adding a 

requirement for manufacturers to 

provide an explanation in the 

application for certification if air-fuel 

ratios are significantly different for 

governed and ungoverned operation at 

wide-open throttle, especially for fuelinjected engines. Manufacturers would 

need to explain why this emission 

control strategy is not a defeat device. If 

we test engines governed and 

ungoverned at wide open throttle, we 

would expect to see little or no 

difference in emission rates. If we 

would observe higher emission rates 

with governed engine operation, 

manufacturers would again need to 

justify why this discrepancy is not a 

defeat device. Engines with 

conventional carburetors offer a limited 

ability to manipulate air-fuel ratios at 

different operating points, so in these 

cases manufacturers would simply state 

that air-fuel ratios do not vary 

significantly at governed and 

ungoverned points of full-load 

operation. 

Testing at other modes occurs with 

the governor controlling engine speed. 

Before each test mode, manufacturers 

may adjust the governor to target the 

same nominal speed used for the fullpower mode, with a tolerance limiting 

the variation in engine speed at each 

mode. Alternatively, testing may be 

done by letting the installed governor 

control engine speed, in which case 

only the torque value will need to be 

controlled within an established range. 

Any EPA testing will be done only with 

installed governors controlling engine 

speed in the standard configuration, 

regardless of the method used by 

manufacturers for their own testing. 

Any such engine with test results that 

exceed applicable emission standards 

would be considered to fail, without 

regard to emission results that might be 

different with testing in which the 

governor is adjusted to target a given 

nominal speed. 

A different duty cycle applies to 

handheld engines, which are generally 

not equipped with governors to control 

engine speed. The current regulations 

allow manufacturers to name their 

operating speed for testing at each of the 

test modes. However, we are concerned 

that this approach allows manufacturers 

too much discretion for selecting a rated 

speed for high-load testing. We are 

revising this approach to specify that 

manufacturers must select a speed that 

best represents in-use operation for the 

engine family if the in-use applications 

involve operation centered on a given 

nominal speed (±350 rpm). Engine 

manufacturers generally also make their 

own equipment, so this can often be 

established for engines in an engine 

family. For engine families without such 

a predominant operating speed, we 

require that engine manufacturers test 

their engines within 350 rpm of the 

speed at which the engine produces 

maximum power. Some engine families 

may have a dominant engine speed, but 

also include a variety of applications 

that operate at different in-use speeds. 

We specify for these cases that engine 

manufacturers must test at both of the 

test speeds identified above, in which 

case EPA testing might also involve 

emission measurements using either (or 

both) test speeds. We are further 

requiring manufacturers to describe in 

their application for certification how 

they select the value for rated speed. 

(3) Test Fuel 

We are requiring Phase 3 exhaust 

emission testing with a standard test 

fuel consistent with the existing 

requirements under 40 CFR part 90 (see 

40 CFR part 1065, subpart H). The 

existing regulatory specifications allow 

for no oxygenates in the test fuel. 

Because California ARB specifies a test 

fuel which contains the oxygenate 

MTBE (but also allows for the use of 

EPA’s test fuel), we understand that 

some engine manufacturers will have 

emission data from engines that meet 

EPA’s Phase 3 standards based on 

testing to meet California’s Tier 3 Small 

Off-Road Engine requirements for 2007 

and later model years. In some cases the 

test data will be based on California’s 

oxygenated test fuel, although 

manufacturers have the option to certify 

using a test fuel such as that specified 

by EPA in 40 CFR part 90. To allow for 

a quicker transition to the new EPA 

standards, we will allow for use of this 

pre-existing exhaust emission test data 

(based on California’s oxygenated test 

fuel) for EPA certification purposes 

through the 2012 model year. 

Manufacturers could also use the 

California ARB test fuel for their PLT 

testing, if they based their certification 

on that fuel. The use of the California 

ARB data would be subject to the 

provisions for carryover data for 

demonstrating compliance with the 

standards in effect. (The carryover 

provisions for Phase 3 are specified in 

§ 1054.235.) While we will allow use of 

California ARB data for certification 

through the 2012 model year, we will 

use our test fuel without oxygenates for 

all confirmatory testing we perform for 

exhaust emissions. We are limiting the 

timeframe for such a provision because 

we ultimately want the exhaust 

emission test results to be performed 

using the EPA specified test fuel. 

In the proposal we noted our concerns 

about testing with oxygenated fuels 

since this could affect an engine’s airfuel ratio, which in turn could affect the 

engine’s combustion and emission 

characteristics. Because of the relatively 

recent dramatic increase in the use of 

ethanol (another oxygenate) in the broad 

motor gasoline pool, we have 

reexamined our position (as discussed 

below) and are adopting provisions that 

will allow manufacturers to use a 10 

percent ethanol blend for certification 

testing for exhaust emissions from 

nonhandheld engines, as an alternative 

to the standard test fuel. This option to 

use a 10 percent ethanol blend will 

begin with the implementation date of 

the Phase 3 exhaust standards. The use 

of the ethanol blend would apply to 

production-line testing as well if the 

manufacturer based their certification 

on the 10 percent ethanol blend. We are 

also committing to using a 10 percent 

ethanol blend for all confirmatory 

testing we perform for exhaust 

emissions under the provisions 

described below. 

Ethanol has been blended into in-use 

gasoline for many years, and until as 

recently as 2005, was used in less than 

one-third of the national gasoline pool. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59085 

However, ethanol use has been 

increasing in recent years and, under 

provisions of the Energy Independence 

and Security Act of 2007, ethanol will 

be required in significantly greater 

quantities. We project that potentially 

80 percent of the national gasoline pool 

will contain ethanol by 2010, making 

ethanol blends up to 10 percent the de 

facto in-use fuel. As ethanol blends 

become the primary in-use fuel, we 

believe it makes sense for manufacturers 

to optimize their engine designs with 

regard to emissions, performance, and 

durability on such a fuel. We also 

believe manufacturers need to know 

that any confirmatory testing we do on 

their engines will be performed on the 

same fuel the manufacturer used for 

certification since the fuel can impact 

the ability to demonstrate compliance 

with the emission standards. 

Limited data of nonhandheld engine 

emissions tested on 10 percent ethanol 

blends suggests the HC emissions will 

decrease and NOX emissions will 

increase compared to emissions from 

the same engine operated on current 

certification fuel without oxygenates. 

Depending on the relative HC and NOX

levels of the engines, these offsetting 

effects can result in small increases or 

decreases in total HC+NOX emission 

levels. Because the impact on HC+NOX

emissions can vary slightly from engine 

family to engine family, we do not want 

manufacturers varying their certification 

fuel from one family to another to gain 

advantage with regard to emissions 

certification. 

Therefore, if a manufacturer wishes to 

use a 10 percent ethanol blend for 

certification, they should use the 10 

percent ethanol blend for all their Phase 

3 nonhandheld engines for a given 

engine class by the third year of the 

Phase 3 standard (i.e., by the 2014 

model year for Class I engines and by 

the 2013 model year for Class II 

engines). During the transition period, 

we will perform any confirmatory 

testing on the 10 percent ethanol blend 

if that is the fuel used by the 

manufacturer for certification. At the 

end of the transition period, we will 

perform any confirmatory testing on the 

10 percent ethanol blend if that is the 

fuel used by the manufacturer for 

certification, but only if the 

manufacturer has certified all their 

nonhandheld engines in that engine 

class on the 10 percent ethanol blend. 

If the manufacturer has not certified all 

its engines in a given engine class on the 

10 percent ethanol blend, we may 

decide to test the engine on our current 

test fuel without oxygenates. (See 

§ 1054.145 and § 1054.501.) 

For handheld engines, where we do 

not have sufficient data on the impact 

of ethanol blends on emissions, we are 

adopting a slightly different approach. 

Manufacturers will have the option to 

use a 10 percent ethanol blend for 

certification beginning with the 2010 

model year. The option to use a 10 

percent ethanol blend would apply to 

PLT testing as well if the manufacturer 

based their certification on the 10 

percent ethanol blend. While we will 

allow use of a 10 percent ethanol blend 

for certification, we expect to use our 

test fuel without oxygenates for all 

confirmatory testing for exhaust 

emissions. Therefore, an engine 

manufacturer will want to consider the 

impacts of ethanol on emissions in 

evaluating the compliance margin for 

the standard, or in setting the FEL for 

the engine family if it is participating in 

the ABT program. We could decide at 

our own discretion to do exhaust 

emissions testing using a 10 percent 

ethanol blend if the manufacturer 

certified on that fuel. It should be noted 

that both EPA and the California ARB 

are currently running test programs to 

assess the emission impacts of a 10 

percent ethanol blend on a range of 

Small SI engines, including handheld 

engines. Based on the results of that test 

program, we may want to consider 

changes to the provisions allowing the 

use of a 10 percent ethanol blend for 

certification and PLT testing for 

handheld engines. If the results of the 

handheld engine testing show that 

emissions are comparable on both fuels, 

we would expect to revise the 

provisions for handheld engines and 

take a similar approach to that described 

above for nonhandheld engines. (See 

§ 1054.501.) 

The test fuel specifications for the 10 

percent ethanol blend are based on 

using the current gasoline test fuel and 

adding fuel-grade ethanol until the 

blended fuel contains 10 percent 

ethanol by volume. In addition, we 

recognize that in some cases using fuelgrade ethanol may be less practical than 

using other grades and so we will allow 

the use of other grades, provided they 

do not affect a manufacturer’s ability to 

demonstrate compliance with the 

emission standards. To understand this 

allowance, it is helpful to remember that 

one of the main purposes of certification 

is for the manufacturer to use test data 

to show that the engines produced will 

conform to the regulations. Implicit in 

this is the concept that if EPA were to 

test an engine in the family according to 

the specified procedures, its measured 

emissions would be below the 

standards. Allowing a manufacturer to 

deviate from the specified test 

procedures could potentially hinder our 

ability to determine whether the engines 

would meet the standards when tested 

according to the specified procedures. 

Nevertheless, it is possible to overcome 

this concern based on the expected 

impact of the deviation on measured 

emissions and on the manufacturer’s 

compliance margin (that is, the degree 

to which the measured certification 

emissions are below the standard). For 

example, we would conclude that a 

deviation that was expected to change 

measured emission rates by less than 0.1 

g/kW-hr would clearly not affect a 

manufacturer’s ‘‘ability to demonstrate 

compliance with the emission 

standards’’ if the certified emission level 

was 1.0 g/kW-hr below the standard (or 

below the Family Emission Limit). On 

the other hand, a deviation that was 

expected to change measured emission 

rates by 0.1 to 0.5 g/kW-hr would affect 

a manufacturer’s ‘‘ability to demonstrate 

compliance with the emission 

standards’’ if the compliance margin 

was only 0.5 g/kW-hr. Another way to 

show that a deviation will not affect a 

manufacturer’s ‘‘ability to demonstrate 

compliance with the emission 

standards’’ is to show through 

engineering analysis that a deviation 

will actually cause measured emissions 

to increase relative to the specified 

procedures. 

It should be noted that this is the first 

time EPA regulations specify the use of 

an ethanol test fuel for exhaust 

emissions testing for certification 

purposes. It is likely that EPA will 

consider similar test fuel changes in the 

future for other vehicle and engine 

categories including those addressed in 

this final rule. As part of those 

deliberations, it is possible that EPA 

could decide that the test fuel 

specifications for the ethanol blend 

should be different than those adopted 

in this rule. Should that occur, EPA 

would need to consider whether 

changes to the test fuel specifications 

adopted in this rule for the 10 percent 

ethanol blend are appropriate for Small 

SI engine testing. 

E. Certification and Compliance 

Provisions for Small SI Engines and 

Equipment 

(1) Deterioration Factors 

As part of the certification process, 

manufacturers generate deterioration 

factors to demonstrate that their engines 

meet emission standards over the full 

useful life. We are adopting some 

changes from the procedures currently 

included in part 90 (see § 1054.240 and 

§ 1054.245). Much of the basis for these 

mstockstill on PROD1PC66 with RULES2

59086 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

changes comes from the experience 

gained in testing many different engines 

in preparation for this final rule. First, 

we are discontinuing bench aging of 

emission components. Testing has 

shown that operating and testing the 

complete engine is necessary to get 

accurate deterioration factors. Second, 

we are allowing assigned deterioration 

factors for a limited number of smallvolume nonhandheld engine families. 

Manufacturers could use assigned 

deterioration factors for multiple smallvolume nonhandheld engine families as 

long as the total production for all the 

nonhandheld engine families for which 

the manufacturer is using assigned 

deterioration factors is estimated at the 

time of certification to be no more than 

10,000 units per year. Third, we are 

allowing assigned deterioration factors 

for all engines produced by smallvolume nonhandheld engine 

manufacturers. 

For the HC+NOX standard, we are 

specifying that manufacturers use a 

single deterioration factor for the sum of 

HC and NOX emissions. However, if 

manufacturers get approval to establish 

a deterioration factor on an engine that 

is tested with service accumulation 

representing less than the full useful life 

for any reason, we will require separate 

deterioration factors for HC and NOX

emissions. The advantage of a combined 

deterioration factor is that it can account 

for an improvement in emission levels 

for a given pollutant with aging. 

However, for engines that have service 

accumulation representing less than the 

full useful life, we believe it is not 

appropriate to extrapolate measured 

values indicating that emission levels 

for a particular pollutant will decrease. 

This is the same approach we adopted 

for recreational vehicles. 

EPA is not establishing the values for 

the assigned deterioration factors for 

small-volume nonhandheld engine 

manufacturers in this final rule. In an 

effort to develop deterioration factors 

that are appropriate for Small SI 

engines, we plan to evaluate 

certification data from Phase 3 engines 

certified early with EPA and from 

engines certified under California ARB’s 

Tier 3 standards (which began in 2007 

and 2008). Because we are not 

promulgating new exhaust standards for 

handheld engines, the assigned 

deterioration factor provisions adopted 

for Phase 2 handheld engines are being 

retained. 

Although we are not establishing new 

exhaust standards for handheld engines, 

handheld engine manufacturers noted 

that California ARB has approved 

certain durability cycles for 

accumulating hours on engines for the 

purpose of demonstrating the durability 

of emission controls. The durability 

cycles approved by California ARB vary 

from a 30-second cycle for chainsaws to 

a 20-minute cycle for blowers, with 85 

percent of the time operated at wide 

open throttle and 15 percent of the time 

operated at idle. Engine manufacturers 

can run the durability cycles repeatedly 

until they accumulate the hours of 

operation equivalent to the useful life 

for the engine family. Our current 

regulations state that ‘‘service 

accumulation is to be performed in a 

manner using good judgment to ensure 

that emissions are representative of 

production engines.’’ While we are not 

changing the regulatory language 

regarding service accumulation, the 

California ARB-approved durability 

cycles are appropriate and acceptable to 

EPA for accumulating hours on 

handheld engines for demonstrating the 

durability of emission controls. 

(2) Delegated Final Assembly 

The current practice of attaching 

exhaust systems to engines varies. Class 

I engines are typically designed and 

produced by the engine manufacturer 

with complete emission control 

systems. Equipment manufacturers 

generally buy these engines and install 

them in their equipment, adjusting 

equipment designs if necessary to 

accommodate the mufflers and the rest 

of the exhaust system from the engine 

manufacturer. 

Engine manufacturers generally 

produce Class II engines without 

exhaust systems, relying instead on 

installation instructions to ensure that 

equipment manufacturers get mufflers 

that fall within a specified range of 

backpressures that is appropriate for a 

given engine model. Equipment 

manufacturers are free to work with 

muffler manufacturers to design 

mufflers that fit into the space available 

for a given equipment model, paying 

attention to the need to stay within the 

design specifications from the engine 

manufacturers. A similar situation 

applies for air filters, where equipment 

manufacturers in some cases work with 

component manufacturers to use air 

filters that are tailored to the individual 

equipment model while staying within 

the design specifications defined by the 

engine manufacturer. 

The existing regulations require that 

certified engines be in their certified 

configuration when they are introduced 

into commerce. We therefore need 

special provisions to address the 

possibility that engines will need to be 

produced and shipped without exhaust 

systems or air intake systems that are 

part of the certified configuration. We 

have adopted such provisions for heavyduty highway engines and for other 

nonroad engines in 40 CFR 85.1713 and 

40 CFR 1068.260, respectively. These 

provisions generally require that engine 

manufacturers establish a contractual 

arrangement with equipment 

manufacturers and take additional steps 

to ensure that engines are in their 

certified configuration before reaching 

the ultimate purchaser. 

We are applying delegated-assembly 

provisions for nonhandheld engines that 

are similar to those adopted for heavyduty highway engines. In fact, we have 

modified the proposed requirements 

and the requirements that apply to 

heavy-duty highway engines (and to 

other nonroad engines) such that a 

single set of requirements in part 1068 

will simultaneously apply to all these 

engine categories. This combined 

approach incorporates substantial 

elements of the program we proposed 

for Small SI engines. 

This approach generally requires that 

engine manufacturers apply for 

certification in the normal way, 

identifying all the engine parts that 

make up the engine configurations 

covered by the certification. Equipment 

manufacturers will be able to work with 

muffler manufacturers to get mufflers 

with installed catalysts as specified in 

the engine manufacturer’s application 

for certification. If equipment 

manufacturers need a muffler or catalyst 

that is not covered by the engine 

manufacturer’s certification, the engine 

manufacturer will need to amend the 

application for certification. This may 

require new testing if the data from the 

original emission-data engine are not 

appropriate for showing that the new 

configuration will meet emission 

standards, as described in § 1054.225. 

(Alternatively, the equipment 

manufacturer may take on the 

responsibility for certifying the new 

configuration, as described in 

§ 1054.612.) Engine manufacturers will 

also identify in the application for 

certification their plans to sell engines 

without emission-related components. 

We are adopting several provisions to 

ensure that engines will eventually be in 

their certified configuration. For 

example, engine manufacturers will 

establish contracts with affected 

equipment manufacturers, include 

installation instructions to make clear 

how engine assembly should be 

completed, keep records of the number 

of engines produced under these 

provisions, and obtain annual affidavits 

from affected equipment manufacturers 

to confirm that they are installing the 

proper emission-related components on 

the engines and that they have ordered 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59087 

the number of components that 

corresponds to the number of engines 

involved. 

While the delegated-assembly 

provisions are designed for direct 

shipment of engines from engine 

manufacturers to equipment 

manufacturers, we are aware that 

distributors play an important role in 

providing engines to large numbers of 

equipment manufacturers. We are 

requiring that these provisions apply to 

distributors in one of two ways. First, 

engine manufacturers may have an 

especially close working relationship 

with primary distributors. In such a 

case, the engine manufacturer can 

establish a contractual arrangement 

allowing the distributor to act as the 

engine manufacturer’s agent for all 

matters related to compliance with the 

delegated-assembly provisions. This 

allows the distributor to make 

arrangements with equipment 

manufacturers to address design needs 

and perform oversight functions. We 

will hold the engine manufacturer 

directly responsible if the distributor 

fails to meet the regulatory obligations 

that will otherwise apply to the engine 

manufacturer. However, starting in 

2015, we are allowing this approach 

only with our specific approval for 

individual manufacturers and 

distributors. While this arrangement is 

necessary to facilitate making engines 

available under the Transition Program 

for Equipment Manufacturers, we are 

concerned that it will be difficult for 

EPA and for manufacturers to properly 

ensure that all engines are built up to a 

certified configuration when assembly 

responsibilities are so far removed from 

the engine manufacturer. This is 

underscored by a recent finding that an 

equipment manufacturer was 

intentionally not following an engine 

manufacturer’s instructions when 

installing Small SI engines such that the 

final installation involved an engine 

that was not in a certified configuration. 

In the years before 2015, we expect that 

EPA and manufacturers will learn a lot 

about delegated assembly, including the 

extent to which there are cases in which 

engines are improperly assembled, 

whether those problems represent 

intentional violations or mistakes as 

part of a good-faith effort to meet 

applicable requirements. We will be 

prepared to judge individual requests 

based on the experience gained under 

the initial years of the Phase 3 

standards. However, given the 

challenges associated with engine 

manufacturers allowing distributors to 

act as their agents with respect to 

delegated assembly, we expect 

manufacturers to ask us to allow this 

only in unusual circumstances when the 

standard approach would be very 

impractical. Also, depending on the 

broader experience with this provision 

before 2015, we may consider changing 

the regulation to allow this to continue 

without our specific approval, for Small 

SI engines or for all types of engines. If 

we find that there are substantial 

problems in implementing this 

provision, we may also consider 

removing the allowance to continue 

using distributors this way for delegated 

assembly past 2014. 

Second, other distributors may 

receive shipment of engines without 

exhaust systems, but they will add any 

aftertreatment components before 

sending the engines on to equipment 

manufacturers. Engine manufacturers 

will treat these distributors as 

equipment manufacturers for the 

purposes of delegated assembly. 

Equipment manufacturers buying 

engines from such a distributor will not 

have the option of separately obtaining 

mufflers from muffler manufacturers. 

However, we would expect distributors 

to cooperate with small equipment 

manufacturers to work out any 

necessary arrangements to specify and 

design their components and 

equipment. This second situation 

involves a more straightforward 

compliance scenario so this provision 

does not expire. In both of these 

scenarios, the engine manufacturer 

continues to be responsible for the inuse compliance of all their engines. 

Engine manufacturers will need to 

affix a label to the engine to clarify that 

it needs certain emission-related 

components before it is in its certified 

configuration. This labeling information 

is important for alerting assembly 

personnel to select mufflers with 

installed catalysts; the label will also 

give in-house inspectors or others with 

responsibility for quality control a tool 

for confirming that all engines have 

been properly assembled and installed. 

Given the large numbers of engine and 

equipment models and the 

interchangeability of mufflers with and 

without catalysts, we believe proper 

labeling will reduce the possibility that 

engines will be misbuilt. This labeling 

can be done with either of two 

approaches. First, a temporary label may 

be applied such that it could not be 

removed without a deliberate action on 

the part of the equipment manufacturer. 

We believe it is not difficult to create a 

label that will stay on the engine until 

it is deliberately removed. Second, 

manufacturers may add the words 

‘‘delegated assembly’’ to the engine’s 

permanent emission control information 

label (or ‘‘DEL ASSY’’ where limited 

space requires an abbreviation). 

In addition, engine manufacturers 

will need to perform or arrange for 

audits to verify that equipment 

manufacturers are properly assembling 

engines. Engine manufacturers may rely 

on third-party agents to perform 

auditing functions. Since the purpose of 

the audit is to verify that equipment 

manufacturers are properly assembling 

products, they may not perform audits 

on behalf of engine manufacturers. We 

are requiring that audits involve at a 

minimum reviewing the equipment 

manufacturer’s production records and 

procedures, inspecting the equipment 

manufacturer’s production operations, 

and inspecting the final assembled 

products. Inspection of final assembled 

products may occur at any point in the 

product distribution system. For 

example, products may be inspected at 

the equipment manufacturer’s assembly 

or storage facilities, at regional 

distribution centers, or at retail 

locations. The audit must also include 

confirmation that the number of 

aftertreatment devices shipped was 

sufficient for the number of engines 

involved. Engine manufacturers would 

keep records of the audit results and 

make these records available to us upon 

request. These auditing specifications 

represent a minimum level of oversight. 

In certain circumstances we may expect 

engine manufacturers to take additional 

steps to ensure that engines are 

assembled and installed in their 

certified configuration. For example, 

equipment manufacturers with very low 

order volumes, an unclear history of 

compliance, or other characteristics that 

will cause some concern may prompt us 

to require a more extensive audit to 

ensure effective oversight in confirming 

that engines are always built properly. 

Engine manufacturers must describe in 

the application for certification their 

plan for taking steps to ensure that all 

engines will be in their certified 

configuration when installed by the 

equipment manufacturer. EPA approval 

of a manufacturer’s plan for delegated 

assembly will be handled as part of the 

overall certification process. 

We are requiring that engine 

manufacturers annually audit twelve 

equipment manufacturers, or fewer if 

they are able to audit all participating 

equipment manufacturers on average 

once every four years. These audits will 

be divided over different equipment 

manufacturers based on the number of 

engines sold to each equipment 

manufacturer. We specify that these 

auditing rates are reduced to a 

maximum of four equipment 

manufacturers per year starting in 2015. 

mstockstill on PROD1PC66 with RULES2

59088 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

In 2019 and later, manufacturers would 

continue to perform a maximum of four 

audits annually, but we specify that 

audits may be divided evenly to cover 

all equipment manufacturers over a tenyear period. 

We are not adopting the proposed 

requirement for engine manufacturers to 

establish an alphanumeric designation 

to identify each unique catalyst design 

and instruct equipment manufacturers 

to stamp this code on the external 

surface of the exhaust system. However, 

manufacturers may choose to do this 

voluntarily as a means of more readily 

assessing whether engines have been 

properly assembled. 

We are requiring that all the same 

provisions apply for separate shipment 

related to air filters if they are part of an 

engine’s certified configuration, except 

for the auditing. However, this does not 

apply if manufacturers identify intake 

systems, including air filters, by simply 

instructing equipment manufacturers to 

maintain the pressure drop within a 

certain range. This is typical of the way 

many exhaust systems are handled 

today. We will require auditing related 

to air filters that are specifically 

identified in the application for 

certification only if engine 

manufacturers are already performing 

audits related to catalysts. We believe 

there is much less incentive or potential 

for problems with equipment 

manufacturers producing engines with 

noncompliant air filters so we believe a 

separate auditing requirement for air 

filters is unnecessary. 

The final regulation specifies that the 

exemption expires when the equipment 

manufacturer takes possession of the 

engine and the engine reaches the point 

of final equipment assembly. The point 

of final equipment assembly for 

purposes of delegated assembly for 

aftertreatment components is the point 

at which the equipment manufacturer 

attaches a muffler to the engine. Engines 

observed in production or inventory 

assembled with improper mufflers will 

be considered to have been built 

contrary to the engine manufacturer’s 

installation instructions. Catalysts are 

invariably designed as part of the 

muffler, so no reason exists for 

installing a different muffler once a 

given muffler has been installed using 

normal production procedures. If 

equipment manufacturers sell 

equipment without following these 

instructions, they will be considered in 

violation of the prohibited acts i.e., 

selling uncertified engines). If there is a 

problem with any given equipment 

manufacturer, we will disallow 

continued use of the delegated-assembly 

provisions for that equipment 

manufacturer until the engine 

manufacturer has taken sufficient steps 

to remedy the problem. 

We are aware that the new approach 

of allowing equipment manufacturers to 

make their own arrangements to order 

mufflers results in a situation in which 

the equipment manufacturer must 

spend time and money to fulfill their 

responsibilities under the regulations. 

This introduces a financial incentive to 

install mufflers with inferior catalysts, 

or to omit the catalyst altogether. To 

address this concern, we are requiring 

that engine manufacturers get written 

confirmation from each equipment 

manufacturer before an initial shipment 

of engines for a given engine model. 

This confirmation will document the 

equipment manufacturer’s 

understanding that they are using the 

appropriate aftertreatment components. 

The written confirmation will be due 

within 30 days after shipping the 

engines and will be required before 

shipping any additional engines from 

that engine family to that equipment 

manufacturer. 

The shipping confirmation included 

in the rule for heavy-duty highway 

engines is a very substantial provision 

to address the fact that vehicle 

manufacturers will gain a competitive 

advantage by producing noncompliant 

products, and that engines in commerce 

will be labeled as if they were fully 

compliant even though they are not yet 

in their certified configuration. This is 

especially problematic when a muffler 

with no catalyst can easily be installed 

and can perform without indicating a 

problem. To address this concern we are 

requiring that equipment manufacturers 

include in their annual affidavits an 

accounting for the number of 

aftertreatment components they have 

ordered relative to the number of 

engines shipped without the catalysts 

that the mufflers will otherwise require. 

Production-line testing normally 

involves building production engines 

using normal assembly procedures. For 

engines shipped without catalysts under 

the delegated-assembly provisions, it is 

not normally possible to do this at the 

engine manufacturer’s facility, where 

such testing will normally occur. To 

address this, we are specifying that 

engine manufacturers must arrange to 

get a randomly selected catalyst that 

will be used with the engine. The 

catalyst must come from any point in 

the normal distribution from the 

aftertreatment component manufacturer 

to the equipment manufacturer. The 

catalyst may come from the engine 

manufacturer’s own inventory as long as 

it is randomly procured. Engine 

manufacturers are required to keep 

records showing how they randomly 

selected catalysts. 

See Section 2.8 of the Summary and 

Analysis of Comments for further 

discussion of issues related to delegated 

assembly. 

(3) Transition Program for Equipment 

Manufacturers 

Given the level of the new Phase 3 

exhaust emission standards for Class II 

engines, we believe there may be 

situations where the use of a catalyzed 

muffler could require equipment 

manufacturers to modify their 

equipment. We are therefore 

establishing a set of provisions to 

provide equipment manufacturers with 

reasonable lead time for transitioning to 

the new standards. These provisions are 

similar to the program we adopted for 

nonroad diesel engines (69 FR 38958, 

June 29, 2004). 

Equipment manufacturers will not be 

obligated to use any of these provisions, 

but all equipment manufacturers that 

produce Class II equipment are eligible 

to do so. We are also requiring that all 

companies under the control of a 

common entity will be considered 

together for the purposes of applying 

these allowances. Manufacturers will be 

eligible for the allowances described 

below only if they have primary 

responsibility for designing and 

manufacturing equipment, and if their 

manufacturing procedures include 

installing engines in the equipment. 

(a) General Provisions 

Under the final rule, beginning in the 

2011 model year and lasting through the 

2014 model year, each equipment 

manufacturer may install Class II 

engines not certified to the Phase 3 

emission standards in a limited number 

of equipment applications produced for 

the U.S. market (see § 1054.625). We 

refer to these here as ‘‘flex engines.’’ 

These flex engines will need to meet the 

Phase 2 standards. The maximum 

number of ‘‘allowances’’ each 

manufacturer can use are based on 30 

percent of an average year’s production 

of Class II equipment. The number of 

allowances is calculated by determining 

the average annual U.S.-directed 

production of equipment using Class II 

engines produced from January 1, 2007 

through December 31, 2009. Thirty 

percent of this average annual 

production level is the total number of 

allowances an equipment manufacturer 

may use under this transition program 

over four years. Manufacturers can use 

these allowances for their Class II 

equipment over four model years from 

2011 through 2014, with the usage 

spread over these model years as 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59089 

determined by the equipment 

manufacturer. Equipment produced 

under these provisions can use engines 

that meet the Phase 2 emission 

standards instead of the Phase 3 

standards. If an equipment 

manufacturer newly enters the Class II 

equipment market during 2007, 2008 or 

2009, the manufacturer will calculate its 

average annual production level based 

only on the years during which it 

actually produced Class II equipment. 

Equipment manufacturers newly 

entering the Class II equipment market 

after 2009 will not receive any 

allowances under the transition program 

and will need to incorporate Phase 3 

compliant engines into the Class II 

equipment beginning in 2011. 

Equipment using engines built before 

the effective date of the Phase 3 

standards will not count toward an 

equipment manufacturer’s allowances. 

Equipment using engines that are 

exempted from the Phase 3 standards 

for any reason will also not count 

toward an equipment manufacturer’s 

allowances. For example, we are 

allowing small-volume engine 

manufacturers to continue producing 

Phase 2 engines for two model years 

after the Phase 3 standards apply. All 

engines subject to the Phase 3 standards, 

including those engines that are 

certified to FELs at higher levels than 

the standard, but for which an engine 

manufacturer uses exhaust ABT credits 

to demonstrate compliance, will count 

as Phase 3 complying engines and will 

not be included in an equipment 

manufacturer’s count of allowances. 

The choice of the allowances based on 

30 percent of one year’s production is 

based on our best estimate of the degree 

of reasonable lead time needed by the 

largest equipment manufacturers to 

modify their equipment designs as 

needed to accommodate engines and 

exhaust systems that have changed as a 

result of more stringent emission 

standards. We believe this level of 

allowances responds to the need for 

lead time to accommodate the workload 

related to redesigning equipment 

models to incorporate catalyzed 

mufflers while ensuring a significant 

level of emission reductions in the early 

years of the new program. 

As described in Section VI, 

technologies for controlling running 

losses may involve a significant degree 

of integration between engine and 

equipment designs. In particular, 

routing a vapor line from the fuel tank 

to the engine’s intake system depends 

on engine modifications that will allow 

for this connection. As a result, any 

equipment using flex engines will not 

need to meet running loss standards. 

(b) Coordination Between Engine and 

Equipment Manufacturers 

We are establishing two separate 

paths for complying with administrative 

requirements related to the new 

transition program, depending on how 

the engine manufacturer chooses to 

make flex engines available. Engine 

manufacturers choosing to use the 

delegated-assembly provisions 

described above will be enabling 

equipment manufacturers to make the 

decision whether to complete the engine 

assembly in the Phase 3 configuration or 

to use a non-catalyzed muffler such that 

the engine will meet Phase 2 standards 

and will therefore need to be counted as 

a flex engine. If engine manufacturers 

do not use the delegated-assembly 

provisions, equipment manufacturers 

will need to depend on engine 

manufacturers to produce and ship flex 

engines that are already in a 

configuration meeting Phase 2 standards 

and labeled accordingly. Each of these 

scenarios involves a different set of 

compliance provisions, which we 

describe below. Note that in no case 

may an equipment manufacturer remove 

a catalyzed muffler from an engine and 

replace it with a noncatalyzed muffler; 

this would be a violation of the 

prohibition against tampering. 

(i) Compliance Based on Engine 

Manufacturers 

Engine manufacturers will in many 

cases produce complete engines. This 

will be the case if the engine does not 

require a catalyst or if the engine 

manufacturer chooses to design their 

own exhaust systems and ship complete 

engine assemblies to equipment 

manufacturers. 

Under this scenario, we are requiring 

that equipment manufacturers request a 

certain number of flex engines from the 

engine manufacturer. The regulatory 

provisions specifically allow engine 

manufacturers to continue to build and 

sell Phase 2 engines needed to meet the 

market demand created by the transition 

program for equipment manufacturers, 

provided they receive the written 

assurance from the equipment 

manufacturer that such engines are 

being procured for this purpose. We are 

requiring that engine manufacturers 

keep copies of the written assurance 

from equipment manufacturers for at 

least five years after the final year in 

which allowances are available. 

Engine manufacturers are currently 

required to label their certified engines 

with a variety of information. We are 

requiring that engine manufacturers 

producing complete flex engines under 

this program identify on the engine 

label that they are flex engines. In 

addition, equipment manufacturers are 

required to apply an Equipment 

Flexibility Label to the engine or piece 

of equipment that identifies the 

equipment as using an engine produced 

under the Phase 3 transition program for 

equipment manufacturers. These 

labeling requirements allow EPA to 

easily identify flex engines and 

equipment, verify which equipment 

manufacturers are using these flex 

engines, and more easily monitor 

compliance with the transition 

provisions. Labeling of the equipment 

could also help U.S. Customs to quickly 

identify equipment being imported 

lawfully using the Transition Program 

for Equipment Manufacturers. 

While manufacturers will need to 

meet Phase 2 standards with their flex 

engines, they will not need to certify 

them for the current model year. We are 

instead applying the provisions of 40 

CFR 1068.265, which require 

manufacturers to keep records showing 

that they meet emission standards 

without requiring submission of an 

application for certification. 

(ii) Compliance Based on Equipment 

Manufacturers 

We are adopting a different set of 

compliance provisions for engine 

manufacturers that make arrangements 

to ship engines separately from exhaustsystem components. Under this 

scenario, as discussed above, the engine 

manufacturers must establish a 

relationship with the equipment 

manufacturers allowing the equipment 

manufacturer to install catalysts to 

complete engine assembly in 

compliance with Phase 3 standards. 

In this case, engine manufacturers 

will design and produce their Phase 3 

engines and label them accordingly. The 

normal path for these engines covered 

by the delegated-assembly provisions 

will involve shipment of the engine 

without an exhaust system to the 

equipment manufacturer. The 

equipment manufacturer will then 

follow the engine manufacturer’s 

instructions to add the exhaust system 

including the catalyst to bring the 

engine into a certified Phase 3 

configuration. Under the transition 

program, equipment manufacturers will 

choose for each of these engines to 

either follow the engine manufacturer’s 

instructions to install a catalyst to make 

it compliant with Phase 3 standards or 

install a non-catalyzed muffler to make 

it compliant with Phase 2 standards. 

Any such engines downgraded to Phase 

2 standards will count toward the 

equipment manufacturer’s total number 

mstockstill on PROD1PC66 with RULES2

59090 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

of allowances under the transition 

program. 

To make this work, engine 

manufacturers will need to take certain 

steps to ensure overall compliance. 

First, engine manufacturers will need to 

include emission data in the application 

for certification showing that the engine 

meets Phase 2 standards without any 

modification other than installing a noncatalyzed exhaust system. This may 

include a specified range of 

backpressures that equipment 

manufacturers must meet in procuring a 

non-catalyst muffler. If the Phase 3 

engine without a catalyst will otherwise 

still be covered by the emission data 

from engines produced in earlier model 

years under the Phase 2 standards, 

manufacturers could rely on carryover 

emission data to make this showing. 

Second, the installation instructions we 

specify under the delegated-assembly 

provisions will need to describe the 

steps equipment manufacturers must 

take to make either Phase 3 engines or 

Phase 2 flex engines. Third, for engine 

families that generate positive emission 

credits under the exhaust ABT program, 

engine manufacturers must generally 

decrease the number of ABT credits 

generated by the engine family by 10 

percent. We believe the 10 percent 

decrease should provide an emission 

adjustment commensurate with the 

potential use of the equipment 

manufacturer flexibility provisions. (As 

described earlier in Section V.C.3, EPA 

is including an option that will allow 

engine manufacturers to track the final 

configuration of the engines to 

determine the actual number of engines 

that were downgraded for the TPEM 

program.) 

Equipment manufacturers using 

allowances under these provisions must 

keep records that allow EPA or engine 

manufacturers to confirm that 

equipment manufacturers followed 

appropriate procedures and produced 

an appropriate number of engines 

without catalysts. In addition, we are 

requiring that equipment manufacturers 

place a label on the engine as close as 

possible to the engine manufacturer’s 

emission control information label to 

identify it as a flex engine. The location 

of this label is important since it 

effectively serves as an extension of the 

engine manufacturer’s label, clarifying 

that the engine meets Phase 2 standards, 

not the Phase 3 standards referenced on 

the original label. This avoids the 

problematic situation of changing or 

replacing labels, or requiring engine 

manufacturers to send different labels. 

Engine manufacturers might choose to 

produce Class II engines that are 

compliant with the Phase 3 standards 

before the 2011 model year and set up 

arrangements for separate shipment of 

catalyzed mufflers as described in 

Section V.E.2. We expect any engine 

manufacturers producing these early 

Phase 3 engines to continue production 

of comparable engine models that meet 

Phase 2 standards rather than forcing all 

equipment manufacturers to 

accommodate the new engine design 

early. We believe it will not be 

appropriate for equipment 

manufacturers to buy Phase 3 engines in 

2010 or earlier model years and 

downgrade them to meet Phase 2 

emission standards as described above. 

We are therefore allowing the 

downgrading of Phase 3 engines only for 

2011 and later model years. 

Because equipment manufacturers in 

many cases depend on engine 

manufacturers to supply certified 

engines in time to produce complying 

equipment, we are also adopting a 

hardship provision for all equipment 

manufacturers (see § 1068.255). An 

equipment manufacturer will be 

required to use all its allowances under 

the transition program described above 

before being eligible to use this 

hardship. 

(iii) Reporting and Recordkeeping 

Requirements 

Equipment manufacturers choosing to 

participate in the transition program 

will be required to keep records of the 

U.S-directed production volumes of 

Class II equipment in 2007 through 2009 

broken down by equipment model and 

calendar year. Equipment manufacturers 

will also need to keep records of the 

number of flex engines they use under 

this program. 

We are also establishing certain 

notification requirements for equipment 

manufacturers. Any manufacturer 

wishing to participate in the new 

transition provisions need to notify EPA 

before producing equipment with flex 

engines. They must submit information 

on production of Class II equipment 

over the three-year period from 2007 

through 2009, calculate the number of 

allowances available, and provide basic 

business information about the 

company. For example, we will want to 

know the names of related companies 

operating under the same parent 

company that are required to count 

engines together under this program. 

This early notification will not be a 

significant burden to the equipment 

manufacturer and will greatly enhance 

our ability to ensure compliance. 

Indeed, equipment manufacturers will 

need to have the information required in 

the notification to know how to use the 

allowances. 

We are establishing an ongoing 

reporting requirement for equipment 

manufacturers participating in the Phase 

3 transition program. Under the 

program, participating equipment 

manufacturers will be required to 

submit an annual report to EPA that 

shows its annual number of equipment 

produced with flex engines under the 

transition provisions in the previous 

year. Each report must include a 

cumulative count of the number of 

equipment produced with flex engines 

for all years. To ease the reporting 

burden on equipment manufacturers, 

EPA intends to work with the 

manufacturers to develop an electronic 

means for submitting information to 

EPA. 

(c) Additional Allowances for Small and 

Medium-Sized Companies 

We believe small-volume equipment 

manufacturers will need a greater degree 

of lead time than manufacturers that sell 

large volumes of equipment. The small 

companies are less likely to have access 

to prototype engines from engine 

manufacturers and generally have 

smaller engineering departments for 

making the necessary design changes. 

Allowances representing thirty percent 

of annual U.S.-directed production 

provide larger companies with 

substantial lead time to plan their 

product development for compliance 

but smaller companies may have a 

product mix that requires extensive 

work to redesign products in a short 

amount of time. We are therefore 

specifying that small-volume equipment 

manufacturers may use this same 

transition program with allowances 

totaling 200 percent of the average 

annual U.S.-directed production of 

equipment using Class II engines from 

2007 through 2009. For purposes of this 

program, a small-volume equipment 

manufacturer is defined as a 

manufacturer that produces fewer than 

5,000 pieces of nonhandheld equipment 

per year subject to EPA regulations in 

each of the three years from 2007 

through 2009 or meets the SBA 

definition of small business equipment 

manufacturer (i.e., generally fewer than 

500 employees for manufacturers of 

most types of equipment). These 

allowances are spread over the same 

four-year period between 2011 and 

2014. For example, a small-volume 

equipment manufacturer could 

potentially use Phase 2 engines on all 

their Class II equipment for two years or 

they might sell half their Class II 

equipment with Phase 2 engines for four 

years assuming production stayed 

constant over the four years. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59091 

Medium-sized equipment 

manufacturers, i.e., companies that 

produce too much equipment to be 

considered a small-volume equipment 

manufacturer but produce fewer than 

50,000 pieces of Class II equipment 

annually, may also face difficulties 

similar to that of small-volume 

equipment manufacturers. These 

companies may be like small-volume 

manufacturers if they have numerous 

product lines with varied approaches to 

installing engines and mufflers. Other 

companies may be more like bigger 

companies if they produce most of their 

equipment in a small number of highvolume models or have consistent 

designs related to engine and muffler 

installations. We are therefore creating 

special provisions that will enable us to 

increase the number of transition 

allowances that are available to these 

medium-sized companies that have 

annual U.S.-directed production of 

Class II equipment of between 5,000 and 

50,000 in each of the three years from 

2007 through 2009. To obtain 

allowances greater than 30 percent of 

average annual production, a mediumsized manufacturer will need to notify 

us before they produce equipment with 

flex engines by January 31, 2010 if they 

believe the standard allowances based 

on 30 percent of average annual 

production of Class II equipment do not 

provide adequate lead time starting in 

the 2011 model year. Additional 

allowances may be requested only if the 

equipment manufacturer can show they 

are on track to produce a number of 

equipment models representing at least 

half of their total U.S.-directed 

production volume of Class II 

equipment in the 2011 model year 

compliant with all exhaust and 

evaporative emission standards. As part 

of their request, the equipment 

manufacturer will need to describe why 

more allowances are needed to 

accommodate anticipated changes in 

engine designs resulting from engine 

manufacturers’ compliance with 

changing exhaust emission standards. 

The equipment manufacturer will also 

need to request a specific number of 

additional allowances needed with 

supporting information to show why 

that many allowances are needed. We 

may approve additional allowances up 

to 70 percent of the average annual U.S.- 

directed production of Class II 

equipment from 2007 through 2009. If a 

medium-sized company were granted 

the full amount of additional 

allowances, they will have allowances 

equivalent to 100 percent of the average 

annual production volume of Class II 

equipment. 

As noted above, the determination of 

whether a company is a small- or 

medium-sized manufacturer will be 

based primarily on production data over 

the 2007 through 2009 period submitted 

to EPA before 2011. After a company’s 

status as a small- or medium-sized 

company has been established based on 

the data, EPA is requiring that 

manufactures keep that status even if a 

company’s production volume grows 

during the next few years, such that the 

company will no longer qualify as a 

small- or medium-sized company. EPA 

believes equipment manufacturers need 

to know at the beginning of the 

transition program (i.e., 2011) how 

many allowances they will receive 

under the program. Changing a 

company’s size determination during 

the program, which could affect the 

number of allowances available, will 

make it difficult for companies to plan 

and could lead to situations where a 

company is in violation of the 

provisions based on the use of 

allowances that were previously 

allowed. Likewise, if a company is 

purchased by another company or 

merges with another company after the 

determination of small- or medium-size 

status is established in 2010, the 

combined company could, at its option, 

keep the preexisting status for the 

individual portions of the combined 

company. If the combined company 

chooses to keep the individual 

designations, the combined company 

must submit the annual reports on the 

use of allowances broken down for each 

of the previously separate companies. 

(d) Requirements for Importers and 

Imported Equipment 

Under this final rule, only companies 

that manufacture equipment can qualify 

for the relief provided under the Phase 

3 transition provisions. Equipment 

manufacturers producing equipment 

outside the United States that comply 

with the provisions discussed below can 

enjoy the same transition provisions as 

domestic manufacturers. Such 

equipment manufacturers that do not 

comply with the compliance-related 

provisions discussed below will not 

receive allowances. Importers that do 

not manufacture equipment will not 

receive any transition relief directly, but 

could import equipment with a flex 

engine if it is covered by an allowance 

or transition provision associated with a 

foreign equipment manufacturer. This 

will allow transition provisions to be 

used by equipment manufacturers 

producing equipment outside the 

United States in the same way as 

equipment manufacturers producing 

equipment domestically, at the option of 

the overseas manufacturer, while 

avoiding the potential for importers to 

inappropriately use allowances. These 

regulations apply equally to foreign 

equipment manufacturers and to 

domestic equipment manufacturers that 

build equipment outside the country 

that is eventually sold in the United 

States. 

All equipment manufacturers wishing 

to use the transition provisions for 

equipment produced outside the United 

States must comply with all the 

requirements discussed above. Along 

with the equipment manufacturer’s 

notification described earlier, an 

overseas equipment manufacturer will 

have to comply with various 

compliance related provisions (see 

§ 1054.626). These provisions are 

similar to those adopted for nonroad 

diesel engines. As part of the 

notification, such an equipment 

manufacturer will have to: 

• Agree to provide EPA with full, 

complete and immediate access to 

conduct inspections and audits; 

• Name an agent in the United States 

for service; 

• Agree that any enforcement action 

related to these provisions will be 

governed by the Clean Air Act; 

• Submit to the substantive and 

procedural laws of the United States; 

• Agree to additional jurisdictional 

provisions; 

• Agree that the equipment 

manufacturer will not seek to detain or 

to impose civil or criminal remedies 

against EPA inspectors or auditors for 

actions performed within the scope of 

EPA employment related to the 

provisions of this program; 

• Agree that the equipment 

manufacturer becomes subject to the full 

operation of the administrative and 

judicial enforcement powers and 

provisions of the United States without 

limitation based on sovereign immunity; 

and 

• Submit all reports or other 

documents in the English language, or 

include an English language translation. 

In addition to these provisions, we are 

requiring equipment manufacturers 

producing equipment for importation 

under the transition program to comply 

with a bond requirement for equipment 

imported into the United States. We 

believe a bond program is an important 

tool for ensuring that importing 

equipment manufacturers are subject to 

the same level of enforcement as 

equipment manufacturers producing 

equipment domestically. Specifically, 

we believe a bonding requirement for 

these equipment manufacturers is an 

important enforcement tool for ensuring 

that EPA has the ability to collect any 

mstockstill on PROD1PC66 with RULES2

59092 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

judgments assessed against an overseas 

equipment manufacturer for violations 

of these transition provisions. 

Under a bond program, the 

participating equipment manufacturer 

will have to maintain a bond in the 

proper amount that is payable to satisfy 

judgments that result from U.S. 

administrative or judicial enforcement 

actions for conduct in violation of the 

Clean Air Act. The equipment 

manufacturer will generally obtain a 

bond in the proper amount from a third 

party surety agent that has been listed 

with the Department of the Treasury. As 

discussed in Sections V.E.6, EPA is 

establishing other bond requirements as 

well. An equipment manufacturer that 

is required to post a bond under any of 

these provisions will be required to 

obtain only one bond of the amount 

specified for those sections. Equipment 

manufacturers may avoid the bond 

requirements based on the level of 

assets in the United States, as described 

in Section V.E.6. 

In addition to the equipment 

manufacturer requirements discussed 

above, EPA is also requiring importers 

of equipment with flex engines from a 

complying equipment manufacturer to 

comply with certain provisions. EPA 

believes these importer provisions are 

essential to EPA’s ability to monitor 

compliance with the transition 

provisions. Therefore, the regulations 

require each importer to notify EPA 

prior to their initial importation of 

equipment with flex engines. Importers 

will be required to submit their 

notification before importing equipment 

with flex engines from a complying 

equipment manufacturer. The 

importer’s notification will need to 

include the following information: 

• The name and address of importer 

(and any parent company); 

• The name and address of the 

manufacturers of the equipment and 

engines the importer expects to import; 

and 

• Number of units of equipment with 

flex engines the importer expects to 

import for each year broken down by 

equipment manufacturer. 

In addition, EPA is requiring that any 

importer electing to import to the 

United States equipment with flex 

engines from a complying equipment 

manufacturer must submit annual 

reports to EPA. The annual report will 

include the number of units of 

equipment with flex engines the 

importer actually imported to the 

United States in the previous calendar 

year; and identify the equipment 

manufacturers and engine 

manufacturers whose equipment and 

engines were imported. 

(e) Provisions for Rotation-Molded Fuel 

Tanks 

Equipment manufacturers may face 

challenges in transitioning to rotationmolded fuel tanks that meet the new 

permeation standards. These modified 

fuel tanks may require equipment 

manufacturers to adjust the designs of 

their equipment to ensure that the new 

fuel tanks can be incorporated without 

problems. We are therefore allowing 

equipment manufacturers to use 

noncompliant rotational-molded fuel 

tanks for two additional years on 

limited numbers of 2011 and 2012 

model year equipment using Class II 

engines. Equipment manufacturers may 

use noncompliant rotational-molded 

fuel tanks if the production volume of 

the fuel tank design used in Class II 

equipment models is collectively no 

more than 5,000 units in the 2011 model 

year. In the 2012 model year, equipment 

manufacturers may use noncompliant 

rotational-molded fuel tanks if the 

production volume of the fuel tank 

design used in Class II equipment 

models is collectively no more than 

5,000 units in the 2012 model year, but 

the total number of exempted rotationalmolded fuel tanks across the 

manufacturer’s Class II equipment is 

limited to 10,000 units. If production 

volumes are greater than 5,000 for a 

given fuel tank design (or greater than 

10,000 corporate-wide in 2012), all 

those tanks must comply with emission 

standards. Tank designs would be 

considered identical if they are 

produced under a single part number to 

conform to a single design or blueprint. 

In addition, tank designs would be 

considered identical if they differ only 

with respect to production variability, 

post-production changes (such as 

different fittings or grommets), supplier, 

color, or other extraneous design 

variables. We originally proposed to 

allow noncompliant rotation-molded 

fuel tanks for any equipment that was 

counted under the allowances described 

in this section which used flex engines 

meeting Phase 2 exhaust emission 

standards. However, the approach being 

finalized today could be applied to any 

equipment using Class II engines 

(subject to the constraints noted above), 

whether or not the equipment uses a 

flex engine. 

(4) Equipment Manufacturer 

Recertification 

It has generally been engine 

manufacturers that certify with EPA for 

exhaust emissions because the 

standards are engine-based. However, 

because the Phase 3 nonhandheld 

standards are expected to result in the 

use of catalysts, a number of equipment 

manufacturers, especially those that 

make low-volume models, believe it 

may be necessary to produce their own 

unique engine/muffler designs, but 

using the same catalyst substrate already 

used in a muffler that is part of an 

engine manufacturers certified 

configuration. In this situation, the 

engine will not be covered by the engine 

manufacturer’s certificate, as the engine/ 

muffler design is not within the 

specifications for the certified engine. 

The equipment manufacturer is 

therefore producing a new distinct 

engine which is not covered by a 

certificate and therefore needs to be 

certified with EPA. 

To allow the possibility of an 

equipment manufacturer certifying such 

an engine/muffler design with EPA, we 

are establishing a simplified engine 

certification process for nonhandheld 

equipment manufacturers (see 

§ 1054.612). Under the simplified 

certification process, the nonhandheld 

equipment manufacturer will need to 

demonstrate that it is using the same 

catalyst substrate as the approved 

engine manufacturer’s engine family, 

provide information on the differences 

between their engine/exhaust system 

and the engine/exhaust system certified 

by the engine manufacturer, and explain 

why the emissions deterioration data 

generated by the engine manufacturer 

will be representative for the equipment 

manufacturer’s configuration. The 

equipment manufacturer will need to 

perform low-hour emission testing on 

an engine equipped with their modified 

exhaust system and demonstrate that it 

meets the emission standards after 

applying the engine manufacturer’s 

deterioration factors for the certified 

engine family. We will not require 

production-line testing for these 

engines. The equipment manufacturer 

will be responsible to meet all the other 

requirements of an engine manufacturer 

under the regulations, including 

labeling, warranty, defect reporting, 

payment of certification fees, and other 

things. The useful life period selected 

for the original certification will also 

apply for the equipment manufacturer’s 

streamlined certification. This provision 

is primarily intended for easing the 

transition to new standards. Starting in 

the 2015 model year, we are therefore 

limiting these recertification provisions 

to small-volume emission families (sales 

below 5,000 units). 

(5) Special Provisions Related to 

Altitude 

For nonhandheld engines we are 

requiring compliance with our 

standards at all altitudes, consistent 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59093 

97Note that we are not changing exhaust 

standards for handheld engines and are therefore 

codifying altitude provisions in the new part 1054 

that are consistent with those that apply under part 

90. 

with other engine categories.97

However, since spark-ignition engines 

without electronic control of air/fuel 

ratio cannot compensate for changing 

air density, their emissions generally 

change with changing altitude. In 

recognition of this technological limit, 

we are adopting special testing and 

compliance provisions related to 

altitude. As described in Section V.C.1, 

we are requiring that nonhandheld 

engines meet emission standards 

without an altitude kit, but will allow, 

in certain cases, testing at barometric 

pressures below 94.0 kPa (which is 

roughly equivalent to an elevation of 

2,000 feet above sea level) using an 

altitude kit. (An altitude kit may be as 

simple as a single replacement part for 

the carburetor that allows a greater 

volumetric flow of air into the 

carburetor to make the engine operate as 

it would at low altitudes.) Such kits 

were allowed under part 90 and we are 

keeping the provisions that already 

apply in part 90 related to descriptions 

of these altitude kits in the application 

for certification. This includes a 

description of how engines comply with 

emission standards at varying 

atmospheric pressures, a description of 

the altitude kits, and the associated part 

numbers. 

During certification, manufacturers 

will have two choices regarding testing 

and compliance at barometric pressures 

below 94.0 kPa: (1) Test engines for 

demonstrating compliance with the 

standards without an altitude kit; or (2) 

test engines for demonstrating 

compliance with the standards using an 

altitude kit. Those manufacturers 

choosing Option 2 will be required to 

identify the altitude range for which it 

expects proper engine performance and 

emission control will occur with and 

without the altitude kit, state that 

engines will comply with applicable 

emission standards throughout the 

useful life with the altitude kit installed 

according to instructions, and include 

any supporting information. 

Manufacturers choosing Option 2 will 

also need to describe a plan for making 

information and parts available to 

consumers such that widespread use of 

altitude kits will reasonably be expected 

in high-altitude areas. For nonhandheld 

engines, this will involve all counties 

with elevations substantially above 

4,000 feet (see Appendix III to part 

1068). This includes all U.S. counties 

where 75 percent of the land mass and 

75 percent of the population are above 

4,000 feet (see 45 FR 5988, January 24, 

1980 and 45 FR 14079, March 4, 1980). 

Assuming we grant a certificate that 

includes a manufacturer’s reliance on an 

altitude kit during testing, any 

compliance testing at higher altitudes 

(more precisely, lower barometric 

pressures) would be conducted with the 

altitude kit installed on the engine 

according to the manufacturer’s 

instructions. Note that manufacturers 

would not be required to submit test 

data from high-altitude testing in their 

applications, provided they could 

demonstrate through engineering 

analysis the basis for knowing the 

altitude kits will allow the engines to 

meet the emission standards at high 

altitude. Any high-altitude testing of an 

engine family that does not use these 

high altitude provisions will be tested 

without an altitude kit installed. 

We considered requiring 

manufacturers relying on altitude kits to 

ensure that all engines sold in highaltitude areas were sold with altitude 

kits installed, but determined that such 

a requirement would have been 

burdensome to the manufacturers, 

impractical, and very disruptive to the 

market, and may not work in practice. 

Certificate holders will be the engine 

manufacturers, which generally have 

little or no control over the location at 

which the sale to the ultimate purchaser 

is made. In most cases, the engines will 

be sold to equipment manufacturers 

and/or through distributors or large 

retailers. However, even in cases when 

a manufacturer might have control over 

the location at which the sale to the 

ultimate purchaser is made, it is not 

clear that the manufacturer could ensure 

that every piece of equipment sold in a 

high-altitude area has an engine with an 

altitude kit installed. In light of these 

potential problems, we believe the 

approach being finalized will be 

effective and is the most appropriate 

approach. It is not tampering for a 

consumer not to install the altitude kit. 

We expect it will be common practice 

for consumers to install altitude kits 

because they are inexpensive, easy to 

install, and improve performance at 

higher altitudes. Manufacturers have 

also emphasized that retailers and 

consumers are well aware of the need to 

modify engines for proper operation in 

high-altitude areas. Toward that end, we 

are requiring manufacturers to make the 

information and parts sufficiently easy 

for the consumer to obtain so that the 

manufacturer ‘‘would reasonably expect 

that altitude kits would be widely used 

in the high-altitude counties.’’ This 

approach should result in effective 

control of emissions in high-altitude 

areas while still addressing the 

manufacturers’ concerns regarding 

control over distribution practices and 

point of sale. In fact, it is worth noting 

that we expect this overall approach to 

be more effective in achieving emission 

reductions than the current regulations 

under Phase 2. Nevertheless, should we 

determine that operation of engines in 

high-altitude areas without altitude kits 

installed is widespread, we would 

reconsider the need for additional 

requirements. 

(6) Special Provisions for Compliance 

Assurance 

EPA’s experiences in recent years 

have highlighted the need for more 

effective tools for preventing the 

introduction of noncompliant engines 

into U.S. commerce. These include 

noncompliant engines sold without 

engine labels or with counterfeit engine 

labels. We are adopting the special 

provisions in the following sections to 

help us address these problems. 

(a) Importation Form 

Importation of engines is regulated 

both by EPA and by U.S. Customs and 

Border Protection. Current Customs 

regulations specify that anyone 

importing a nonroad engine (or 

equipment containing a nonroad engine) 

must complete a declaration form before 

importation. EPA has created 

Declaration Form 3520–21 for this 

purpose. Customs requires this in many 

cases, but there are times when they 

allow engines to be imported without 

the proper form. It will be an important 

advantage for EPA’s own compliance 

efforts to be able to enforce this 

requirement. We are therefore 

modifying part 90 to mirror the existing 

Customs requirement (and the EPA 

requirement in § 1068.301) for importers 

to complete and retain the declaration 

form before importing engines (see 

§ 90.601). This will facilitate a more 

straightforward processing of cases in 

which noncompliant products are 

brought to a U.S. port for importation 

because currently no requirement exists 

for measuring emissions or otherwise 

proving that engines are noncompliant 

at the port facility. Since this is already 

a federal requirement, we are making 

this effective immediately with the final 

rule. 

(b) Assurance of Warranty Coverage 

Manufacturers of Small SI engines 

subject to the standards are required to 

provide an emission-related warranty so 

owners are able to have repairs done at 

no expense for emission-related defects 

during an initial warranty period. 

Established companies are able to do 

mstockstill on PROD1PC66 with RULES2

59094 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

this with a network of authorized repair 

facilities that can access replacement 

parts and properly correct any defects. 

In contrast, we are aware that some 

manufacturers are selling certified 

engines in the United States without 

any such network for processing 

warranty claims. As such, owners who 

find that their engines have an 

emission-related defect are unable to 

properly file a warranty claim or get 

repairs that should be covered by the 

warranty. In effect, this allows 

companies to certify their engines and 

agree to provide warranty coverage 

without ever paying for legitimate 

repairs that should be covered by the 

warranty. We are therefore requiring 

that all manufacturers demonstrate 

several things before we will approve 

certification for their engines (see 

§ 90.1103 and § 1054.120). The 

following provisions apply to 

manufacturers who certify engines, and 

include importers who certify engines. 

First, we are requiring manufacturers to 

provide and monitor a toll-free 

telephone number and an e-mail 

address for owners to receive 

information about how to make a 

warranty claim and how to make 

arrangements for authorized repairs. 

Second, we are requiring manufacturers 

to provide a source of replacement parts 

within the United States. For imported 

parts, this will require at least one 

distributor within the United States. 

Finally, we are requiring 

manufacturers to have a network of 

authorized repair facilities or to take one 

of multiple alternate approaches to 

ensure that owners will be able to get 

free repair work done under warranty. 

In the proposal we specified that 

warranty-related repairs may be limited 

to authorized repair facilities as long as 

owners did not have to travel more than 

100 miles for repairs (or further in 

remote areas of the country). For 

companies without a nationwide repair 

network, we proposed alternative 

methods for meeting warranty 

obligations, including free shipping, free 

service calls, or reimbursement of costs 

through local nonauthorized service 

centers. Manufacturers suggested a 

different metric for demonstrating a 

readiness to meet warranty obligations, 

focusing on maintaining authorized 

service centers in every metropolitan 

area with a population of 100,000 or 

greater (according to the 2000 census). 

We agree that the suggested approach 

would provide an effective 

demonstration of a valid warranty 

network and are including that in the 

regulation; however, we believe it is still 

appropriate to include the proposed 

provisions related to the 100-mile 

specification in the final rule. For 

example, there may be some companies 

with a regional market that have an 

effective network of repair facilities in 

that region, but not in other parts of the 

country. In this circumstance, it is 

appropriate to allow the manufacturer 

multiple paths for showing that it will 

be able to respond effectively to all 

warranty claims nationwide. We are 

therefore including the 100-mile 

approach as an additional alternative in 

the regulations, as well as including a 

variety of adjustments to address the 

concerns raised in the comments. 

We believe these requirements are 

both necessary and effective for 

ensuring proper warranty coverage for 

all owners. At the same time, we are 

adopting a flexible approach that allows 

companies to choose from a variety of 

alternatives for providing warranty 

service. We therefore believe these 

requirements are readily achievable for 

any company. We are therefore 

implementing these requirements 

starting with the 2010 model year. This 

should allow time for the administrative 

steps necessary to arrange for any of the 

allowable compliance options described 

above. 

(c) Bond Requirements Related to 

Enforcement and Compliance Assurance 

Certification initially involves a 

variety of requirements to demonstrate 

that engines and equipment are 

designed to meet applicable emission 

standards. After certification is 

complete, however, several important 

obligations apply to the certifying 

manufacturer or importer. For example, 

we require ongoing testing of 

production engines, as well as reporting 

of recurring defects. Manufacturers may 

also need to pay penalties if there is a 

violation and may need to perform a 

recall if their products are found to be 

noncompliant. For companies operating 

within the United States, we are 

generally able to take steps to 

communicate clearly and insist on 

compliance with applicable regulations. 

For example, in certain circumstances 

we may meet with specific company 

representatives, halt production, or 

seize assets. For companies without staff 

or assets in the United States, these 

alternatives are not available. 

Accordingly, we have limited ability to 

enforce our requirements or recover any 

appropriate penalties, which increases 

the risk of environmental problems as 

well as problems for owners. This 

creates the potential for a company to 

gain a competitive advantage if they do 

not have substantial assets or operations 

in the United States by avoiding some 

of the costs of complying with EPA 

regulations. 

To address this concern, we are 

adopting a requirement for 

manufacturers of certified engines and 

equipment (including importers) to post 

a bond to cover any potential 

compliance or enforcement actions 

under the Clean Air Act. Manufacturers 

and importers will be exempt from the 

bond requirement if they are able to 

sufficiently demonstrate an assurance 

that they will meet any compliance- or 

enforcement-related obligations. The 

bonding requirements apply for 

companies that do not have fixed assets 

in the United States meeting the 

smallest applicable thresholds from the 

following: 

• A threshold of $3 million applies 

for manufacturers that have been 

certificate holders in each of the 

preceding ten years without failing a 

test conducted by EPA officials or 

having been found by EPA to be 

noncompliant under applicable 

regulations. 

• A threshold of $6 million applies 

for secondary engine manufacturers or 

for equipment manufacturers that certify 

no engines with respect to exhaust 

emission standards. A secondary engine 

manufacturer is generally a certifying 

company that buys partially complete 

engines for final assembly from another 

engine manufacturer. 

• A threshold of $10 million applies 

for companies that do not qualify for the 

smaller specified bond thresholds. 

The value of the bond must be at least 

$500,000, though a higher bond value 

may apply based on multiplying the 

annual volume of shipments by a perengine rate. The per-engine bond 

amount is $25 for handheld engines and 

Class I engines. Class II engines cover a 

much wider range of applications, so we 

further differentiate the bond for those 

engines. The proposed per-engine bond 

amounts for Class II engines is $50 for 

engines between 225 and 740 cc, $100 

for engines between 740 and 1,000 cc, 

and $200 for engines above 1,000 cc. 

These values are generally scaled to be 

approximately 10 to 15 percent of the 

retail value. In the case of handheld 

engines, this is based on the retail value 

of equipment with installed engines, 

since these products are generally 

marketed that way. Class II engines are 

very often sold as loose engines to 

equipment manufacturers, so the 

corresponding per-engine bond values 

are based on the retail value of the 

engine alone. This approach is similar 

to the bond requirements that apply for 

nonroad diesel engines (see § 1039.626). 

The total bond amount will be based 

on the value of imported products over 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59095 

a one-year period. If a bond is used to 

satisfy a judgment, the company will 

then be required to increase the amount 

of the bond within 90 days of the date 

the bond is used to cover the amount 

that was used. Also, we will require the 

bond to remain in place for five years 

after the company no longer imports 

Small SI engines. 

These bonding requirements apply for 

2010 and later model year engines and 

are enforceable for all products 

introduced into U.S. commerce starting 

January 1, 2010. 

(d) Bond Requirements Related to 

Warranty 

Warranty is an additional potential 

compliance obligation. Engine 

manufacturers must service warranty 

claims for emission-related defects that 

occur during the prescribed warranty 

period. We have experience with 

companies that have faced compliancerelated problems where it was clear that 

they did not have the resources to make 

warranty repairs if that were necessary. 

Such companies benefit from 

certification without bearing the full 

range of associated obligations. We 

believe it is appropriate to add a 

requirement to post a bond to ensure 

that a company can meet their warranty 

obligations. The concern for being able 

to meet these obligations applies equally 

to domestic and foreign manufacturers. 

The biggest indicator of a 

manufacturer’s ability to make warranty 

repairs relates to the presence of repair 

facilities in the United States. We are 

therefore adopting a bond requirement 

starting with the 2010 model year for all 

manufacturers (including importers) 

that do not have a repair network in the 

United States that is available for 

processing warranty repairs (see 

§ 90.1007 and § 1054.120). Such a repair 

network will need to involve at least 

100 authorized repair facilities in the 

United States, or at least one such 

facility for each 5,000 engines sold in 

the United States, whichever is less. 

Companies not meeting these criteria 

will need to post a bond as described 

above for compliance assurance. We 

will allow companies that must post 

bond to arrange for warranty repairs to 

be done at independent facilities. Note 

that a single bond payment will be 

required for companies that must post 

bond for compliance-related obligations, 

as described above, in addition to the 

bond for warranty-related obligations. 

(e) Restrictions Related to Naming 

Model Years 

We are adopting the proposed 

provisions that restrict what model 

years can be assigned to imported 

products. Importers can only declare a 

model year up to one year before the 

calendar year of importation in cases 

where new emission standards start to 

apply. We are adopting this requirement 

for all engine categories subject to part 

1068. See the detailed discussion of this 

issue in Section VIII.C. 

(f) Import-Specific Information at 

Certification 

We are requiring additional 

information to improve our ability to 

oversee compliance related to imported 

engines (see § 90.107 and § 1054.205). In 

the application for certification, we are 

requiring the following additional 

information starting with the 2010 

model year: (1) The port or ports at 

which the manufacturer has imported 

engines over the previous 12 months, (2) 

the names and addresses of the agents 

the manufacturer has authorized to 

import the engines, and (3) the location 

of the test facilities in the United States 

where the manufacturer will test the 

engines if we select them for testing 

under a selective enforcement audit. See 

Section 1.3 of the Summary and 

Analysis of Comments for further 

discussion related to naming test 

facilities in the United States. The 

current regulations in part 90 do not 

include these specific requirements; 

however, we do specify already that we 

may select imported engines at a port of 

entry. In such a case, we will generally 

direct the manufacturer to do testing at 

a facility in the United States. The new 

provision allows the manufacturers to 

make these arrangements ahead of time 

rather than relying on EPA’s selection of 

a test lab. Also, the current regulations 

state in § 90.119 that EPA may conduct 

testing at any facility to determine 

whether engines meet emission 

standards. 

(g) Counterfeit Emission Labels 

We have observed that some 

importers attempt to import 

noncompliant products by creating an 

emission control information label that 

is an imitation of a valid label from 

another company. We are not requiring 

that certifying manufacturers take steps 

to prevent this, but we are including a 

provision that specifically allows 

manufacturers to add appropriate 

features to prevent counterfeit labels. 

This may include the engine’s serial 

number, a hologram, or some other 

unique identifying feature. This 

provision is effective immediately upon 

completion of the final rule since it is 

an allowance and not a requirement (see 

§ 90.114 and § 1054.135). 

(h) Partially Complete Engines 

As described in Section VIII, we are 

clarifying the engine manufacturers’ 

responsibilities for certification with 

respect to partially complete engines. 

While this is intended to establish a 

path for secondary engine 

manufacturers to get their engines from 

the original engine manufacturer, we are 

aware that this will also prevent 

manufacturers from selling partially 

complete engines as a strategy to 

circumvent certification requirements. If 

long blocks or engines without fuel 

systems are introduced into U.S. 

commerce, either the original 

manufacturer or the company 

completing engine assembly will need 

to hold a certificate for that engine. 

(7) Using Certified Small SI Engines in 

Marine Applications 

Manufacturers have described 

situations in which Small SI engines are 

used in marine applications. As 

described in Section III.E.5, we are 

allowing limited numbers of certified 

Small SI engines to be used as marine 

propulsion engines without certifying to 

the Marine SI emission standards in part 

1045 (see § 1045.610). 

(8) Alternate Fuels 

The emission standards apply to all 

spark-ignition engines regardless of the 

fuel they use. Almost all Small SI 

engines operate on gasoline, but these 

engines may also operate on other fuels, 

such as natural gas, liquefied petroleum 

gas, ethanol, or methanol. The test 

procedures in 40 CFR part 1065 describe 

adjustments needed for operating test 

engines with oxygenated fuels. 

In some special cases, a single engine 

is designed to alternately run on 

different fuels. For example, some 

engines can switch back and forth 

between natural gas and LPG. We are 

adding a clarification to the regulations 

to describe how manufacturers would 

submit certification data and divide 

such engines into engine families. 

Manufacturers would submit test data 

for each type of fuel. If a manufacturer 

certifies a dual-fuel engine family, but 

produces engines that run only on one 

fuel where that dedicated-fuel engine is 

identical to the certified dual-fuel 

engine with respect to that fuel, those 

engines could be included in the same 

family. This is also true for the second 

fuel. For example, if a manufacturer 

produces an engine that can run on both 

gasoline and LPG, and also produces 

that engine model in gasoline-only and 

LPG-only versions, without adjusting 

the calibration or other aspects of each 

respective configuration, those engines 

mstockstill on PROD1PC66 with RULES2

59096 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

may all be included in the same engine 

family. In effect, these engines are 

covered by the original certificate 

because they are made to conform to the 

description included in the original 

application for certification except that 

they do not have the full functionality 

of the dual-fuel engines. 

Once an engine is placed into service, 

someone might want to convert it to 

operate on a different fuel. This would 

take the engine out of its certified 

configuration, so we are requiring that 

someone performing such a fuel 

conversion go through a certification 

process. We will allow certification of 

the complete engine using normal 

certification procedures, or the 

aftermarket conversion kit could be 

certified using the provisions of 40 CFR 

part 85, subpart V. This contrasts with 

the existing provisions that allow for 

fuel conversions that can be 

demonstrated not to increase emission 

levels above the applicable standard. 

We are applying this requirement 

starting January 1, 2010. (See § 90.1003 

and § 1054.635.) 

(9) Other Provisions 

We are also making a variety of 

changes in the provisions that make up 

the certification and compliance 

program. Most of these changes serve 

primarily to align with the regulations 

we have started to apply to other types 

of engines. 

The new warranty provisions are 

based on the requirements that already 

apply under 40 CFR part 90. We are 

adding an administrative requirement to 

describe the provisions of the emissionrelated warranty in the owners manual. 

We expect that many manufacturers 

already do this but believe it is 

appropriate to require this as a routine 

practice. (See § 1054.120.) 

Testing new engines requires a period 

of engine operation to stabilize emission 

levels. The regulations specify two 

separate figures for break-in periods for 

purposes of certification testing. First, 

engines are generally operated long 

enough to stabilize emission levels. 

Second, we establish a limit on how 

much an engine may operate and still be 

considered a ‘‘low-hour’’ engine. The 

results of testing with the low-hour 

engine are compared with a deteriorated 

value after some degree of service 

accumulation to establish a 

deterioration factor. For Marine SI 

engines, we are requiring that the engine 

can be presumed to have stabilized 

emission levels after 12 hours of engine 

operation, with a provision allowing 

approval for more time if needed, and 

we generally require that low-hour test 

engines have no more than 30 hours of 

engine operation. However, given the 

shorter useful life for many Small SI 

engines, this will not make for a 

meaningful process for establishing 

deterioration factors. For example, 

emission levels in Small SI engines may 

not stabilize before deterioration begins 

to affect emission levels, which will 

prevent the engine from ever truly 

having stabilized emission levels. Also, 

the low-hour emission test should occur 

early enough for the deterioration factor 

to adequately represent the deterioration 

over the engine’s lifetime. 

We are requiring that Small SI engines 

with a useful life above 300 hours can 

be presumed stable after 12 hours with 

low-hour testing generally occurring 

after no more than 24 hours of engine 

operation. For Small SI engines with 

useful life below 300 hours, we are 

requiring a combination of provisions to 

address this concern. First, we are 

allowing manufacturers to establish a 

stabilization period that is less than 12 

hours without showing that emission 

levels have fully stabilized (see 

§ 1054.501). Second, we are specifying 

that low-hour testing must generally 

occur after no more than 15 hours of 

engine operation (see § 1054.801). This 

allows some substantial time for breakin, stabilization, and running multiple 

tests, without approaching a significant 

fraction of the useful life. Third, we are 

requiring that manufacturers 

consistently test low-hour productionline engines (and emission-data engines 

in the case of carryover deterioration 

factors for certification) using the same 

degree of service accumulation to avoid 

inaccurate application of deterioration 

factors (see § 1054.240 and § 1054.305). 

We are clarifying the maintenance 

that manufacturers may perform during 

service accumulation as part of the 

certification process. The general 

approach is to allow any amount of 

maintenance that is not emissionrelated, but to allow emission-related 

maintenance only if it is a routine 

practice with in-use engines. In most of 

our emission control programs we 

specify that 80 percent of in-use engines 

should undergo a particular 

maintenance step before manufacturers 

can do that maintenance during service 

accumulation for certification testing. 

We are aware that Small SI engines are 

predominantly operated by homeowners 

with widely varying practices in 

servicing their lawn and garden 

equipment. As such, achieving a rate of 

80 percent may be possible only for the 

most obvious maintenance steps. We are 

therefore adopting a more 

accommodating approach for Small SI 

engines. In particular, we are allowing 

manufacturers to perform a maintenance 

step during certification based on 

information showing that 60 to 80 

percent of in-use engines get the 

specified maintenance at the 

recommended interval. We will approve 

the use of such maintenance based on 

the relative effect on performance and 

emissions. For example, we may allow 

scheduled fuel-injector replacement if 

survey data show this is done at the 

recommended interval for 65 percent of 

engines and performance degradation is 

shown to be roughly proportional to the 

degradation in emission control for 

engines that do not have their fuel 

injectors replaced. 

One maintenance step of particular 

interest is replacement of air filters. In 

larger spark-ignition engines, we do not 

treat replacement of air filters as critical 

emission-related maintenance, largely 

because those engines have feedback 

controls to compensate for changes in 

varying pressure drop across the air 

filter. However, for Small SI engines 

varying air flow through the air filter 

has a direct effect on the engine’s airfuel ratio, which in turn directly affects 

the engine’s emission rates for each of 

the regulated pollutants. Service 

accumulation generally takes place in 

laboratory conditions with far less 

debris, dust, or other ambient particles 

that will cause filter loading, so filter 

changes should be unnecessary to 

address this conventional concern. We 

are concerned that the greater effect is 

from fuel and oil that may deposit on 

the back side of the filter, especially 

from crankcase ventilation into the 

intake. This effect will go undetected if 

there are no measurements with filters 

that have experienced significant engine 

operation. We believe it would be 

appropriate for this rulemaking to allow 

manufacturers to clean or change air 

filters as long as manufacturers perform 

emission measurements before and after 

these maintenance steps. It would be 

best to perform testing with each air 

filter change; however, we would find it 

acceptable if manufacturers tested 

engines before and after every other air 

filter change. This approach allows for 

continued air filter changes, consistent 

with our testing to establish the 

feasibility of the Phase 3 emission 

standards, but properly identifies the 

effect on emissions. We are taking a 

similar approach for maintenance with 

spark plugs, except that tests must occur 

before and after each step to clean or 

replace the spark plugs. We will be 

interested in a future rulemaking to set 

emission standards based on less 

optimistic assumptions regarding the 

degree of air filter and spark plug 

maintenance with in-use equipment. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59097 

See Section 2.4 of the Summary and 

Analysis of Comments for a more 

detailed discussion related to 

maintenance. 

We are defining criteria for 

establishing engine families that are 

very similar to what is currently 

specified in 40 CFR part 90. We are 

requiring that engines with 

turbochargers be in a different family 

than naturally aspirated engines since 

that will be likely to substantially 

change the engine’s emission 

characteristics. Very few if any Small SI 

engines are turbocharged today so this 

change will not be disruptive for any 

manufacturer. We are also specifying 

that engines must have the same 

number and arrangement of cylinders 

and approximately the same total 

displacement. This will help us avoid 

the situation where manufacturers argue 

that engines with substantially different 

engine blocks should be in the same 

engine family. We will implement this 

provision consistent with the approach 

adopted by California ARB in which 

they limit engine families to include no 

more than 15 percent variation in total 

engine displacement. Similarly, the 

current regulations in part 90 do not 

provide a clear way of distinguishing 

engine families by cylinder dimensions 

(bore and stroke) so we are also 

changing part 90 to limit the variation 

in displacement within an engine family 

to 15 percent. (See § 1054.230 and 

§ 90.116.) 

The test procedures for Small SI 

engines are designed for engines 

operating in constant-speed 

applications. This covers the large 

majority of affected equipment; 

however, we are aware that engines 

installed in some types of equipment, 

such as small utility vehicles or go carts, 

are not governed to operate only at a 

single rated speed. These engines will 

be certified based on their emission 

control over the constant-speed duty 

cycle even though they do not 

experience constant-speed operation in 

use. We are not prepared to establish a 

new duty cycle for these engines but we 

are requiring engine manufacturers to 

explain how their emission control 

strategy is not a defeat device in the 

application for certification. For 

example, if engines will routinely 

experience in-use operation that differs 

from the specified duty cycle for 

certification, the manufacturer should 

describe how the fuel-metering system 

responds to varying speeds and loads 

not represented by the duty cycle. We 

are also requiring that engine 

distributors and equipment 

manufacturers that replace installed 

governors must get a new certificate of 

conformity for those engines to avoid a 

tampering violation. 

F. Small-Business Provisions 

(1) Small Business Advocacy Review 

Panel 

On August 17, 2006, we convened a 

Small Business Advocacy Review Panel 

(SBAR Panel or the Panel) under section 

609(b) of the Regulatory Flexibility Act 

(RFA), as amended by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996 (SBREFA). The 

purpose of the Panel was to collect the 

advice and recommendations of 

representatives of small entities that 

could be affected by this rule and to 

prepare a report containing the Panel’s 

recommendations for small entity 

flexibilities based on those comments, 

as well as on the Panel’s findings and 

recommendations regarding the 

elements of the Initial Regulatory 

Flexibility Analysis (IRFA) under 

section 603 of the RFA. Those elements 

of an IRFA are: 

• A description of, and where 

feasible, an estimate of the number of 

small entities to which the rule will 

apply; 

• A description of projected 

reporting, recordkeeping, and other 

compliance requirements of the rule, 

including an estimate of the classes of 

small entities that will be subject to the 

requirements and the type of 

professional skills necessary for 

preparation of the report or record; 

• An identification, to the extent 

practicable, of all relevant Federal rules 

that may duplicate, overlap, or conflict 

with the rule; and 

• A description of any significant 

alternative to the rule that accomplishes 

the stated objectives of applicable 

statutes and that minimizes any 

significant economic impact of the rule 

on small entities. 

The report of the Panel has been 

placed in the rulemaking record for this 

final rule. 

In addition to EPA’s Director of the 

Office of Regulatory Management and 

Information who acted as chairperson, 

the Panel consisted of the Director of 

EPA’s Assessment and Standards 

Division of the Office of Transportation 

and Air Quality, the Administrator of 

the Office of Management and Budget’s 

Office of Information and Regulatory 

Affairs, and the Chief Counsel for 

Advocacy of the Small Business 

Administration. 

Using definitions provided by the 

Small Business Administration (SBA), 

companies that manufacture internalcombustion engines and that employ 

fewer than 1,000 people are considered 

small businesses for the SBAR Panel. 

Companies that manufacture equipment 

and that employ fewer than 500 people, 

or fewer than 750 people for 

manufacturers of construction 

equipment, or fewer than 1,000 people 

for manufacturers of generators, are 

considered small businesses for the 

SBAR Panel. Based on this information, 

we asked 25 companies that met the 

SBA small business thresholds to serve 

as small entity representatives for the 

duration of the Panel process. Of these 

25 companies, 14 of them represented a 

cross-section of Small SI engine 

manufacturers, equipment 

manufacturers, and fuel system 

component manufacturers. (The rest of 

the companies were involved in the 

Marine SI market.) 

With input from small entity 

representatives, the Panel drafted a 

report providing findings and 

recommendations to us on how to 

reduce the potential burden on small 

businesses that may occur as a result of 

the proposed rule. The Panel report is 

included in the rulemaking record for 

this final rule. In light of the Panel 

report, and where appropriate, we 

proposed a number of provisions for 

small business engine manufacturers 

and small business equipment 

manufacturers. We are adopting all the 

flexibility options as proposed. The 

following section describes the 

flexibility options being adopted in this 

final rule. 

(2) Burden Reduction Approaches for 

Small-Volume Nonhandheld Engine 

Manufacturers 

We are incorporating several 

provisions for small business 

nonhandheld engine manufacturers. 

The purpose of these provisions is to 

reduce the burden on companies for 

which fixed costs cannot be distributed 

over a large number of engines. 

Under EPA’s current Phase 2 

regulations, EPA provided a number of 

provisions for small-volume engine 

manufacturers. For the Phase 2 

regulations, the criteria for determining 

if a company was a ‘‘small-volume 

engine manufacturer’’ was based on 

whether the company projected at 

certification to have production of no 

more than 10,000 nonhandheld engines 

per year (excluding engines sold in 

California that are subject to the 

California ARB standards). Based on 

past experience, EPA believes that 

determining the applicability of the 

provisions based on number of 

employees, as compared to volume of 

products, can be more problematic 

given the nature of the workforce in 

terms of full-time, part-time, contract, 

overseas versus domestic, and parent 

mstockstill on PROD1PC66 with RULES2

59098 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

companies. EPA believes it can avoid 

these potential complications and still 

provide relief to nearly all small 

businesses by continuing to use the 

annual sales criteria for determining 

which entities qualify as a small volume 

engine manufacturer under the Phase 3 

program. For these reasons, EPA is 

retaining the current production-based 

criteria for determining who is a smallvolume engine manufacturer and, as a 

result, eligible for the Phase 3 

flexibilities described below (see 

§ 1054.801). 

Based on confidential sales data 

provided to EPA by engine 

manufacturers, the 10,000 unit cut-off 

for engine manufacturers will include 

all the small business engine 

manufacturers currently identified using 

SBA’s employee-based definition. To 

ensure all small businesses have access 

to the flexibilities described below, EPA 

is also allowing engine manufacturers 

exceeding the production cut-off level 

noted above but having fewer than 1,000 

employees to request treatment as a 

small-volume engine manufacturer (see 

§ 1054.635). In such a case, the 

manufacturer will need to provide 

information to EPA demonstrating that 

the manufacturer has fewer employees 

than the 1,000 cut-off level to be 

approved as a small-volume engine 

manufacturer. 

If a small-volume engine 

manufacturer grows over time and 

exceeds the production volume limit of 

10,000 nonhandheld engines per year, 

the engine manufacturer will no longer 

be eligible for the small-volume 

flexibilities. However, because some of 

the flexibilities described below provide 

manufacturers with the ability to avoid 

certain testing such as durability testing 

or production line testing, it may be 

difficult for a manufacturer to fully 

comply with all the testing requirements 

immediately upon losing its smallvolume status. In such cases, the engine 

manufacturer can contact EPA and 

request additional time, subject to EPA 

approval, before they would be required 

to meet the testing requirements that 

generally apply to engine 

manufacturers. 

(a) Assigned Deterioration Factors 

We are allowing small-volume engine 

manufacturers to rely on an assigned 

deterioration factor to demonstrate 

compliance with the standards for the 

purposes of certification rather than 

doing service accumulation and 

additional testing to measure 

deteriorated emission levels at the end 

of the regulatory useful life (see 

§ 1054.240). EPA is not establishing 

actual levels for the assigned 

deterioration factors with this final rule. 

EPA intends to analyze emissions 

deterioration information that becomes 

available over the next few years to 

determine what deterioration factors 

will be appropriate for nonhandheld 

engines. This is likely to include 

deterioration data for engines certified 

to comply with California ARB’s Tier 3 

standards and engines certified early to 

EPA’s Phase 3 standards. Prior to the 

implementation date for the Phase 3 

standards, EPA will provide guidance to 

engine manufacturers specifying the 

levels of the assigned deterioration 

factors for small-volume engine 

manufacturers. 

(b) Exemption From Production-Line 

Testing 

We are exempting small-volume 

engine manufacturers from the 

production-line testing requirements 

(see § 1054.301). Therefore, smallvolume engine manufacturers will not 

be required to perform production-line 

testing on any of their engine families. 

(c) Additional Lead Time 

We are allowing small-volume engine 

manufacturers to delay implementation 

of the Phase 3 exhaust emission 

standards for two years (see § 1054.145). 

Small-volume engine manufacturers 

will be required to comply with the 

Phase 3 exhaust emission standards 

beginning in model year 2014 for Class 

I engines and model year 2013 for Class 

II engines. Under this approach, 

manufacturers will be able to apply this 

delay to all their nonhandheld engines 

or to just a portion of their production. 

For those engine families that are 

certified to meet the Phase 3 standards 

prior to these delayed dates by selecting 

an FEL at or below the Phase 3 

standards, small volume engine 

manufacturers can generate early Phase 

3 credits (as discussed in Section V.C.3) 

through the 2013 model year for Class 

I engines and through the 2012 model 

years for Class II engines. This option 

provides more lead time for smallvolume engine manufacturers to 

redesign their products. They will also 

be able to learn from some of the 

hurdles overcome by larger 

manufacturers. 

(d) Broad Engine Families 

We are also allowing small-volume 

engine manufacturers to use a broader 

definition of engine family for 

certification purposes. Under the 

existing engine family criteria specified 

in the regulations, manufacturers group 

their various engine lines into engine 

families that have similar design 

characteristics including the 

combustion cycle, cooling system, 

cylinder configuration, number of 

cylinders, engine class, valve location, 

fuel type, aftertreatment design, and 

useful life category. We are allowing 

small-volume engine manufacturers to 

group all their Small SI engines into a 

single engine family for certification by 

engine class and useful life category, 

subject to good engineering judgment 

(see § 1054.230). 

(e) Hardship Provisions 

We are also establishing two types of 

hardship provisions for nonhandheld 

engine manufacturers consistent with 

the Panel recommendations. As has 

been our experience with similar 

provisions already adopted, we 

anticipate that hardship mechanisms 

will be used sparingly. First, under the 

unusual circumstances hardship 

provision, any manufacturer subject to 

the new standards may apply for 

hardship relief if circumstances outside 

their control cause the failure to comply 

and if failure to sell the subject engines 

or equipment or fuel system component 

would have a major impact on the 

company’s solvency (see § 1068.245). 

An example of an unusual circumstance 

outside a manufacturer’s control may be 

an ‘‘Act of God,’’ a fire at the 

manufacturing plant, or the unforeseen 

shutdown of a supplier with no 

alternative available. The terms and 

time frame of the relief will depend on 

the specific circumstances of the 

company and the situation involved. As 

part of its application for hardship, a 

company will be required to provide a 

compliance plan detailing when and 

how it will achieve compliance with the 

standards. This hardship provision will 

be available to all manufacturers of 

engines, equipment, boats, and fuel 

system components subject to the new 

standards, regardless of business size. 

Second, an economic hardship 

provision allows small businesses 

subject to the new standards to petition 

EPA for limited additional lead time to 

comply with the standards (see 

§ 1068.250). A small business must 

make the case that it has taken all 

possible business, technical, and 

economic steps to comply, but the 

burden of compliance costs would have 

a significant impact on the company’s 

solvency. Hardship relief could include 

requirements for interim emission 

reductions and/or the purchase and use 

of emission credits. The length of the 

hardship relief decided during review of 

the hardship application will be up to 

one year, with the potential to extend 

the relief as needed. We anticipate that 

one to two years will normally be 

sufficient. As part of its application for 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59099 

hardship, a company will be required to 

provide a compliance plan detailing 

when and how it will achieve 

compliance with the standards. This 

hardship provision will be available 

only to qualifying small businesses. 

(3) Burden Reduction Approaches for 

Small-Volume Nonhandheld Equipment 

Manufacturers 

We are establishing three provisions 

for small-volume nonhandheld 

equipment manufacturers. The purpose 

of these provisions is to reduce the 

burden on companies for which fixed 

costs cannot be distributed over large 

sales volumes. That is useful for smallvolume equipment manufacturers that 

may need more lead time to redesign 

their equipment to accommodate the 

new Phase 3 engine designs. 

Under EPA’s current Phase 2 

regulations, EPA provided a number of 

lead time provisions for small-volume 

equipment manufacturers. For the Phase 

2 regulations, the criteria for 

determining if a company was a ‘‘smallvolume equipment manufacturer’’ was 

based on whether the company 

produced fewer than 5,000 

nonhandheld pieces of equipment per 

year (excluding equipment sold in 

California that are subject to the 

California ARB standards). For the same 

reasons noted above for engine 

manufacturers, EPA is retaining the 

current production-based criteria for 

determining who is a small-volume 

equipment manufacturer and, as a 

result, eligible for the Phase 3 

flexibilities described below (see 

§ 1054.801). The determination of which 

companies qualify as small-volume 

equipment manufacturers for the 

purposes of the flexibilities described 

below will be based on the average 

annual U.S.-directed production of 

nonhandheld equipment over three 

years from 2007 through 2009. 

Based on estimated sales data for 

equipment manufacturers, EPA believes 

the 5,000 unit cut-off for equipment 

manufacturers will include almost all 

the small business equipment 

manufacturers using SBA’s employeebased definition. However, to ensure all 

small businesses have access to the 

flexibilities described below, EPA is 

also allowing equipment manufacturers 

which exceed the production cut-off 

level noted above, but comply with 

SBA’s employee-based definition (e.g., 

500 employees for equipment 

manufacturers, 750 employees for 

construction equipment manufacturers, 

and 1,000 employees for generator 

manufacturers), to request treatment as 

a small-volume equipment 

manufacturer (see § 1054.635). In such a 

case, the manufacturer must provide 

information to EPA demonstrating that 

the manufacturer has fewer employees 

than the applicable employee cut-off 

level to be approved as a small-volume 

equipment manufacturer. 

(a) Additional Lead Time 

As described in Section V.E.3., EPA is 

implementing a transition program for 

all equipment manufacturers that 

produce Class II equipment. Under that 

program, equipment manufacturers can 

install Phase 2 engines in limited 

numbers of Class II equipment over the 

first four years the Phase 3 standards 

apply (i.e., 2011 through 2014). The 

number of equipment that can use Phase 

2 engines is based on 30 percent of an 

average annual production level of Class 

II equipment. However, for smallvolume equipment manufacturers, EPA 

is allowing a higher level of allowances. 

Small-volume equipment manufacturers 

can install Phase 2 engines at a level of 

200 percent of an average annual 

production level of Class II equipment. 

Small-volume equipment manufacturers 

can use these allowances over the same 

four year period of the transition 

program noted above (see § 1054.625). 

Therefore, a small-volume equipment 

manufacturer could potentially use 

Phase 2 engines on all their Class II 

equipment for two years, consistent 

with the SBAR Panel’s 

recommendation, or they might, for 

example, sell half their Class II 

equipment with Phase 2 engines for four 

years assuming sales stay constant over 

time. 

(b) Simplified Certification Procedure 

We are establishing a simplified 

engine certification procedure for all 

equipment manufacturers, including 

small-volume equipment manufacturers 

(see § 1054.612). See Section V.E.4 for 

further discussion of this provision. 

(c) Hardship Provisions 

Because nonhandheld equipment 

manufacturers in many cases depend on 

engine manufacturers to supply certified 

engines in time to produce complying 

equipment, we are also establishing a 

hardship provision for all nonhandheld 

equipment manufacturers, regardless of 

size. The provision will allow an 

equipment manufacturer to request 

more time if they are unable to obtain 

a certified engine and they are not at 

fault and will face serious economic 

hardship without an extension (see 

§ 1068.255). 

G. Technological Feasibility 

(1) Level of Standards 

We are promulgating new, more 

stringent exhaust HC+NOX standards for 

Class I and II Small SI engines. We are 

also establishing a new CO standard for 

Small SI engines used in marine 

generator applications. 

For the 2008 model year 

manufacturers have certified nearly 500 

Class I and II engine families to the 

Phase 2 standards using a variety of 

engine designs and emission control 

technology. All Class I engines were 

produced using carbureted air-fuel 

induction systems. A small number of 

engines used catalyst-based emission 

control technology. Similarly, Class II 

engines were predominantly carbureted. 

A limited number of these engines used 

catalyst technology, electronic engine 

controls and fuel injection, or were 

water-cooled. In both classes, several 

engine families were certified at levels 

that will comply with the new Phase 3 

standards. Also, several families were 

very close to the new emission 

standards. This suggests that, even 

accounting for the relative increase in 

stringency associated with the Phase 3 

requirements, some families either will 

not need to do anything or will require 

only modest reductions in their 

emission performance to meet the new 

standards. However, many engine 

families clearly will have to do more to 

improve their emission controls. 

Based on our own testing of advanced 

technology for these engines, our 

engineering assessments, and statements 

from the affected industry, we believe 

the new requirements will require many 

engine manufacturers to adopt exhaust 

aftertreatment technology using catalystbased systems. Other likely changes 

include improved engine designs and 

fuel delivery systems. Finally, adding 

electronic controls or fuel injection 

systems may obviate the need for 

catalytic aftertreatment for some engine 

families, with the most likely candidates 

being multi-cylinder engine designs. 

(2) Implementation Dates 

We are establishing HC+NOX exhaust 

emission standards of 10.0 g/kW-hr for 

Class I engines starting in the 2012 

model year and 8.0 g/kW-hr for Class II 

engines starting in the 2011 model year. 

For both classes of nonhandheld 

engines, we are maintaining the existing 

CO standard of 610 g/kW-hr. We expect 

manufacturers to meet these standards 

by improving engine combustion and 

adding catalysts on most engines. 

For spark-ignition engines used in 

marine generators, we are promulgating 

a more stringent Phase 3 CO emission 

mstockstill on PROD1PC66 with RULES2

59100 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

standard of 5.0 g/kW-hr. This will apply 

equally to all sizes of engines subject to 

the Class I and II Small SI engine 

standards, with implementation dates as 

described above relative to Class I and 

Class II engines. 

(3) Technological Approaches 

Our feasibility assessment began by 

evaluating the emissions performance of 

current technology for Small SI engines 

and equipment. These initial efforts 

focused on developing a baseline for 

emissions and general engine 

performance so we could assess the 

potential for new emission standards for 

engines and equipment in this category. 

This process involved laboratory and 

field evaluations of the current engines 

and equipment. We reviewed 

engineering information and data on 

existing engine designs and their 

emissions performance. Patents of 

existing catalyst/muffler designs for 

Class I engines were also reviewed. We 

engaged engine manufacturers and 

suppliers of emission control-related 

engine components in discussions 

regarding recent and expected advances 

in emissions performance beyond that 

required to comply with the current 

Phase 2 standards. Finally, we 

purchased catalyst/muffler units that 

were already in mass production by an 

engine manufacturer for use on 

European walk-behind lawn mowers 

and conducted engineering and 

chemical analyses on the design and 

materials of those units. 

We used the information and 

experience gathered in the above effort, 

along with the previous catalyst design 

experience of our engineering staff, to 

design and build prototype catalystbased emission control systems that 

were capable of effectively and safely 

achieving the new Phase 3 requirement 

based on dynamometer and field testing. 

We also used the information and the 

results of our engine testing to assess the 

potential need for improvements to 

engine and fuel system designs, and the 

selective use of electronic engine 

controls and fuel injection on some 

engine types. A great deal of this effort 

was conducted in association with our 

more exhaustive study regarding the 

efficacy and safety of implementing 

advanced exhaust emission controls on 

Small SI engines, as well as new 

evaporative requirements for these 

engines. In other testing, we evaluated 

advanced emission controls on a multicylinder Class II engine with electronic 

fuel injection. The results of that study 

are also discussed in Section VII. 

In our test program to assess the 

feasibility of achieving the Phase 3 

HC+NOX standard, we evaluated 15 

Class I engines of varying displacements 

and valve-train designs. Each of these 

engines was equipped with a catalystbased control system and all achieved 

the applicable standard at the end of 

their regulatory useful lives. Our work 

also suggests that manufacturers of Class 

I engines may need to improve the 

durability of their basic engine designs, 

ignition systems, or fuel metering 

systems for some engines to comply 

with the emission regulations. 

We tested five single-cylinder, 

overhead-valve Class II engines with 

prototype catalyst/muffler control 

systems. Three of the engines were 

carbureted and two were equipped with 

electronic engine and fuel controls. This 

latter technology improves the 

management of air-fuel mixtures and 

ignition spark timing. Each of the 

engines achieved the requisite emission 

limit for HC+NOX (i.e., 8.0 g/kW-hr). 

Based on this work and information 

from one manufacturer of emission 

controls, we believe either a catalystbased system or electronic engine 

controls appear sufficient to meet the 

standard. Recent certification data also 

suggests a number of Class II engines 

may be able to comply with the new 

standard with engine modifications 

only. Finally, similar to Class I engines, 

we found that manufacturers of Class II 

engines may also need to improve the 

durability of their ignition systems or 

fuel metering systems for some engines 

to comply with the emission 

regulations. 

Multi-cylinder Class II engines are 

very similar to their single-cylinder 

counterparts regarding engine design 

and combustion characteristics. There 

are no multi-cylinder Class I engines. 

Based on these attributes and our testing 

of two twin-cylinder engines, we 

conclude that the Phase 3 HC+NOX

standard is technically feasible. 

Nonetheless, we also found that 

multi-cylinder engines may present a 

unique concern with the application of 

catalytic control technology under 

atypical operating conditions. More 

specifically, the concern relates to the 

potential consequences of combustion 

misfire or a complete lack of 

combustion in one of the two or more 

cylinders when a single catalyst/muffler 

design is used. A single muffler is 

typically used in Class II applications. 

In a single-catalyst system, the 

unburned fuel and air mixture from the 

malfunctioning cylinder could combine 

with hot exhaust gases from the other, 

properly operating cylinder. This 

condition can create high temperatures 

within the muffler system as the 

unburned fuel and air charge from the 

misfiring cylinder combusts within the 

exhaust system. This could potentially 

destroy the catalyst. 

One solution is simply to have a 

separate catalyst/muffler for each 

cylinder. Another solution is to employ 

electronic engine controls to monitor 

ignition and put the engine into ‘‘limpmode’’ until necessary repairs are made. 

For engines using carburetors, this 

would effectively require the addition of 

electronic controls. For engines 

employing electronic fuel injection that 

may need to add a small catalyst, it will 

require that the electronic controls 

incorporate ignition misfire detection if 

they do not already utilize the inherent 

capabilities within the engine 

management system. 

As described earlier, we also expect 

some engine families to use electronic 

fuel injection to meet the Phase 3 

standard without employing catalytic 

aftertreatment. Engine families that 

already use these fuel metering systems 

and are reasonably close to complying 

with the new requirement are likely to 

need only additional calibration 

changes to the engine management 

system for compliance. In addition, we 

expect that some engine families that 

currently use carbureted fuel systems 

will convert directly to electronic fuel 

injection. Manufacturers may adopt this 

strategy to couple achieving the 

standard without a catalyst and 

realizing other advantages of using fuel 

injection such as easier starting, more 

stable and reliable engine operation, and 

reduced fuel consumption. 

Our evaluation of electronic fuel 

injection systems that could be used to 

attain the new standard found that a 

rather simple, low-cost system should 

be sufficient. We demonstrated this 

proof of concept as part of the engine 

test program we conducted in 

anticipation of the proposed rule. In that 

program, we fitted two single-cylinder 

Class II engines with an electronic 

control unit and fuel system 

components developed for motorscooters and small-displacement 

motorcycles for Asian markets. The 

sensors for the system were minimized 

to include a throttle position sensor, air 

charge temperature sensor, oil 

temperature sensor, manifold absolute 

pressure sensor, and a crankshaft 

position sensor. This is in contrast to 

the fuel injection systems currently used 

in some equipment with two-cylinder 

Class II engine applications that employ 

more sophisticated and expensive 

automotive-based components. 

Finally, there are a number of Class II 

engines that use gaseous fuels (i.e., 

liquefied petroleum gas or natural gas). 

Based on our engineering evaluation of 

current and likely emission control 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59101 

technology for these engines, we 

conclude that there are no special 

concerns relative to achieving the Phase 

3 HC+NOX standard. 

Turning to the Phase 3 CO standard 

for Class I and II Small SI engines used 

in marine generator applications, these 

engines have several rather unique 

design considerations that are relevant 

to achieving the new standard. Marine 

generator engines are designed to 

operate for very long periods. 

Manufacturers generally design the 

engines to operate at lower loads to 

accommodate continuous operation. 

Manufacturers also design them to take 

advantage of the cooling available from 

the water in the lake or river where the 

boat is operating (seawater). By routing 

seawater through the engine block, or 

using a heat exchanger that transfers 

heat from the engine coolant to the 

seawater, manufacturers are able to 

maintain engine temperatures as well as 

or better than automotive engines. 

Stable temperatures in the engine block 

make a very significant difference in 

engine operation, enabling much less 

distortion of the cylinders and a much 

more consistent combustion event. 

These operating characteristics make it 

possible to introduce advanced 

technology for controlling emissions. 

Manufacturers also use this cooling 

water in a jacketing system around the 

exhaust in order to minimize surface 

temperatures and reduce the risk of fires 

on boats. 

The vast majority of gasoline marine 

generators are produced by two engine 

manufacturers. Recently, these two 

manufacturers have converted their 

marine generator product lines to new 

designs which can reduce CO emissions 

by more than 99 percent. These 

manufacturers stated that this action is 

to reduce the risk of CO poisoning in 

response to demands from boat builders. 

These low-CO emission designs use 

closed-loop electronic fuel injection and 

catalytic control. Both of these 

manufacturers have certified low-CO 

engines capable of complying with the 

new standards. These manufacturers 

also use electronic controls to monitor 

catalyst function. 

(4) Consideration of Regulatory 

Alternatives 

In developing the final emission 

standards, we considered what was 

achievable with catalyst technology. 

Our technology assessment work 

indicated that the new emission 

standards are feasible in the context of 

provisions for establishing emission 

standards prescribed in section 213 of 

the Clean Air Act. We also considered 

what could be achieved with larger, 

more efficient catalysts and improved 

fuel induction systems. In particular, 

Chapter 4 of the Final RIA presents data 

on Class I engines with more active 

catalysts and on Class II engines with 

closed-loop control fuel injection 

systems in addition to a catalyst. In both 

cases larger emission reductions were 

achieved. 

Based on this work we considered 

HC+NOX standards involving a 50 

percent reduction for Class I engines 

and a 65–70 percent reduction for Class 

II engines. Chapter 11 of the Final RIA 

evaluates these alternatives, including 

an assessment of the overall technology 

and costs of meeting more stringent 

standards. For Class I engines a 50 

percent reduction standard would 

require base engine changes not 

necessarily involved with the standards 

we are finalizing and the use of a more 

active catalyst. For Class II engines this 

would likely require the widespread use 

of closed-loop fuel injection systems 

rather than carburetors and some other 

engine upgrades in addition to the use 

of three-way catalysts. 

We believe it is not appropriate at this 

time to adopt more stringent exhaust 

emission standards for Small SI engines. 

Our key concern is lead time. More 

stringent standards will require three to 

five years of lead time beyond the 2011 

model year start date we are allowing 

for the program contained in this final 

rule. We believe it will be more effective 

to implement the new Phase 3 standards 

to achieve near-term emission 

reductions needed to reduce ozone 

precursor emissions and to minimize 

growth in the Small SI exhaust 

emissions inventory in the post 2010 

time frame. More efficient catalysts, 

engine improvements, and closed-loop 

electronic fuel injection could be the 

basis for more stringent Phase 4 

emission standards at some point in the 

future. 

(5) Our Conclusions 

We believe the Phase 3 exhaust 

emission standards for nonhandheld 

Small SI engines will achieve significant 

emission reductions. Manufacturers will 

likely meet the new standards with a 

variety of strategies including catalysts 

packaged in mufflers, engine 

modifications, and fuel-injection 

systems. Test data from readily available 

technologies have demonstrated the 

feasibility of achieving the new 

emission levels. 

As discussed in Section VII, we 

believe the new standards will have no 

negative effects on energy, noise, or 

safety and may lead to some positive 

effects. 

VI. Evaporative Emissions 

A. Overview 

In this final rule, we are also 

establishing standards for controlling 

evaporative emissions from fuel systems 

in marine vessels and equipment 

powered by Small SI engines. These 

new standards include requirements for 

controlling permeation and diurnal 

emissions from marine vessels and 

permeation and running loss emissions 

from Small SI equipment. 

Evaporative emissions refer to 

hydrocarbons released into the 

atmosphere when gasoline or other 

volatile fuels escape from a fuel system. 

The primary source of evaporative 

emissions from nonroad gasoline 

engines and equipment is known as 

permeation, which occurs when fuel 

penetrates the material used in the fuel 

system and reaches the ambient air. 

This is especially common through 

rubber and plastic fuel-system 

components such as fuel lines and fuel 

tanks. Diurnal emissions are another 

important source of evaporative 

emissions. Diurnal emissions occur as 

the fuel heats up due to increases in 

ambient temperature. As the fuel heats, 

liquid fuel evaporates into the vapor 

space inside the tank. In a sealed tank, 

these vapors will increase the pressure 

inside the tank; however, most tanks are 

vented to prevent this pressure buildup. 

The evaporating fuel therefore drives 

vapors out of the tank into the 

atmosphere. Running loss emissions are 

similar to diurnal emissions except that 

vapors escape the fuel tank as a result 

of heating from the engine or some other 

source of heat during operation rather 

than from normal daily temperature 

changes. 

Other sources of evaporative 

emissions include diffusion and 

refueling. Diffusion emissions occur 

when vapor escapes the fuel tank 

through an opening as a result of 

random molecular motion, independent 

of changing temperature. Although we 

are not adopting a specific standard for 

diffusion emissions, we expect that 

these emissions will be controlled 

through the running loss and diurnal 

emission controls. Refueling losses are 

vapors that are displaced from the fuel 

tank to the atmosphere when someone 

fills a fuel tank. Refueling spitback is 

the spattering of liquid fuel droplets 

coming out of the filler neck during a 

refueling event. Spillage is fuel that is 

spilled while refueling. We are 

continuing to work with manufacturers 

to develop industry standards for 

refueling emission control, and we are 

adopting a requirement that 

manufacturers use fuel system designs 

mstockstill on PROD1PC66 with RULES2

59102 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

98An exception to component certification is the 

design standard for controlling running loss 

emissions. 

that will help facilitate a reduction in 

fuel spillage. 

B. Fuel Systems Covered by This Rule 

The new evaporative emission 

standards will apply to fuel systems for 

both Small SI engines and Marine SI 

engines. The marine standards apply to 

fuel systems related to both propulsion 

and auxiliary engines. In some cases, 

specific standards are required only for 

certain types of equipment, as described 

below. These standards will apply only 

to new products. 

We are incorporating the regulations 

related to evaporative emission 

standards in 40 CFR part 1060, as 

described in Section VI.C. Also, as 

described in Section VIII, we are 

allowing component manufacturers and 

some equipment manufacturers to 

certify products under the provisions of 

part 1060 with respect to recreational 

vehicles and Large SI engine. We have 

also adopted requirements for 

controlling evaporative emissions from 

marine compression-ignition engines 

that operate on volatile liquid fuels 

(such as methanol or ethanol). Now that 

we are adopting final requirements in 

part 1060, we are including a reference 

to part 1060 for these marine 

compression-ignition engines. 

The following definitions are 

important in establishing which 

components are covered by the new 

standards: ‘‘evaporative,’’ ‘‘fuel system,’’ 

‘‘fuel line,’’ ‘‘portable nonroad fuel 

tank,’’ and ‘‘installed marine fuel tank.’’ 

See the full text of these definitions in 

the final regulations at § 1060.801. 

Note in particular that the new 

standards will apply to fuel lines, 

including hose or tubing that contains 

liquid fuel. This includes fuel supply 

lines but not vapor lines or vent lines 

that are not normally exposed to liquid 

fuel. We consider fuel return lines for 

handheld engines to be vapor lines, not 

fuel lines. Data in Chapter 5 of the Final 

RIA suggest that permeation rates 

through vapor lines and vent lines are 

already lower than the new standard; 

this is due to the low vapor 

concentration in the vapor line. In 

contrast, permeation rates for materials 

that are consistently exposed to 

saturated fuel vapor are generally 

considered to be about the same as that 

for liquid fuel. The new standards also 

do not apply to primer bulbs exposed to 

liquid fuel only for priming, but would 

apply to primer bulbs that are directly 

in the fuel supply line. This standard 

will apply to marine filler necks that are 

filled or partially filled with liquid fuel 

after a refueling event where the 

operator fills the tank as full as possible. 

In the case where the fuel system is 

designed to prevent liquid fuel from 

standing in the fill neck, the fill neck 

will be considered a vapor line and not 

subject to the new fuel line permeation 

standard. 

A special note applies to fuel systems 

for auxiliary marine engines. These 

engines must meet exhaust emission 

standards that apply to land-based 

engines. For evaporative emissions, 

however, it is important that the fuel 

systems for propulsion and auxiliary 

engines be subject to the same standards 

because these engines typically draw 

fuel from a common fuel tank and share 

other fuel-system components. We are 

therefore applying the Marine SI 

evaporative emission standards and 

certification requirements to the fuel 

systems for both auxiliary and 

propulsion marine engines on marine 

vessels. We apply a similar approach for 

nonroad engines installed in motor 

vehicles (such as generators used to 

power motor homes). These engines 

must meet exhaust emission standards 

for nonroad engines, but the evaporative 

requirements apply under the motorvehicle program. 

Our evaporative emission standards 

for automotive applications are based on 

a comprehensive measurement from the 

whole vehicle. However, the 

evaporative standards in this final rule 

are generally based on individual fuelsystem components. For instance, we 

are promulgating permeation standards 

for fuel lines and fuel tanks rather than 

for the equipment as a whole.98 We have 

taken this approach for several reasons. 

First, most production of Small SI 

equipment and Marine SI vessels is not 

vertically integrated. In other words, the 

fuel line manufacturer, the engine 

manufacturer, the fuel tank 

manufacturer, and the equipment 

manufacturer are typically separate 

companies. In addition, there are several 

hundred equipment manufacturers and 

boat builders, many of which are small 

businesses. Testing the systems as a 

whole will place the entire certification 

burden on the equipment manufacturers 

and boat builders. Specifying emission 

standards and testing for individual 

components allows for measurements 

that are narrowly focused on the source 

of emissions and on the technology 

changes for controlling emissions. This 

correspondingly allows for component 

manufacturers to certify that their 

products meet applicable standards. We 

believe it is most appropriate for 

component manufacturers to certify 

their products since they are best 

positioned to apply emission control 

technologies and demonstrate 

compliance. Equipment manufacturers 

and boat builders will then be able to 

purchase certified fuel-system 

components rather than doing all their 

own testing on individual components 

or whole systems to demonstrate 

compliance with every requirement. In 

contrast, controlling running loss 

emissions cannot be done on a 

component basis so we are requiring 

engine or equipment manufacturers to 

certify that they meet the running loss 

standard. We will otherwise expect 

most equipment manufacturers to 

simply identify a range of certified 

components and install the components 

as directed by the component 

manufacturer to demonstrate 

compliance with the final emission 

standards. 

Second, a great deal of diversity exists 

in fuel-system designs (hose lengths, 

tank sizes/shapes, number of 

connections, etc.). In most cases, the 

specific equipment types are lowvolume production runs so sales will 

not be large enough to cover the expense 

of SHED-type testing. Third, there are 

similarities in fuel lines and tanks that 

allow for component data to be used 

broadly across products in spite of 

extensive variety in the geometry and 

design of fuel systems. Fourth, many 

equipment types, primarily boats, will 

not fit in standard-size SHEDs and will 

require the development of very large, 

very expensive test facilities if the entire 

vessel were tested. 

Finally, by adopting separate 

standards for fuel line permeation, fuel 

tank permeation, diurnal emissions, and 

running loss emissions, we are able to 

include simplified certification 

requirements without affecting the level 

of the standards. Specifying a 

comprehensive test with a single 

standard for all types of evaporative 

emissions will make it difficult or 

impossible to rely on design-based 

certification. Requiring emission tests to 

cover the wide range of equipment 

models would greatly increase the cost 

of compliance with little or no increase 

in the effectiveness of the certification 

program. We believe the approach being 

adopted will allow substantial 

opportunities for market forces to 

appropriately divide compliance 

responsibilities among affected 

manufacturers and accordingly result in 

an effective compliance program at the 

lowest possible cost to society. 

The new emission standards generally 

apply to the particular engines and their 

associated fuel systems. However, for 

ease of reference, we may refer to 

evaporative standards as being related to 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59103 

99 ‘‘Small SI equipment’’ includes all nonroad 

equipment powered by Small SI engines. ‘‘Marine 

SI vessels’’ includes all vessels powered by engines 

that run on volatile liquid fuels. In almost all cases 

these engines are powered by gasoline. Note also 

that volatile liquid fuels include methanol or 

ethanol, which could be used in a compressionignition engine. While we are aware of no such 

equipment or vessels today, they will be covered by 

the final regulations. In this preamble, we 

nevertheless refer to all the vessels that fall within 

the scope of the final regulations as Marine SI 

vessels. Throughout this section, we generally refer 

to Small SI equipment and Marine SI vessels as 

‘‘equipment,’’ consistent with the regulatory text. 

Small SI equipment or Marine SI 

vessels, meaning the relevant 

evaporative standards for engines and 

fuel systems used in such equipment or 

vessels.99 See Section VI.F for a more 

detailed description of certification 

responsibilities for all the new 

evaporative standards. 

C. Final Evaporative Emission 

Standards 

We are establishing permeation 

standards for Small SI equipment and 

Marine SI vessels, covering permeation 

from fuel tanks and fuel lines. We are 

also adopting diurnal emission 

standards for Marine SI vessels. In 

addition, we are promulgating a running 

loss standard for nonhandheld Small SI 

equipment (except wintertime engines), 

with a variety of specified options for 

manufacturers to demonstrate 

compliance. 

All the new evaporative emission 

standards apply to new equipment over 

a useful life period in years that matches 

the useful life of the corresponding 

engine (generally five or ten years). 

Manufacturers have expressed concern 

that they will not have time to gain five 

years of in-use experience on lowpermeation fuel tanks by the effective 

dates of the tank permeation standards. 

Unlike barrier fuel line, which is well 

established technology, some fuel tanks 

may use barrier technologies that have 

not been used extensively in other 

applications. An example of this 

technology will be barrier surface 

treatments that must be properly 

matched to the fuel tank material. 

Therefore, we are finalizing a shorter 

useful life of two years for Marine SI 

and Small SI fuel tanks through the 

2013 model year to allow manufacturers 

to gain experience in use (see 

§§ 1045.145 and 1054.145). 

Handheld manufacturers have also 

expressed concerns about the durability 

of fuel lines used on cold-weather 

products. As noted below, we are 

adopting a separate fuel line 

requirement for cold-weather products. 

The manufacturers’ concerns are similar 

to those noted in Section VI.C.2 below 

regarding fuel cap gasket/O-ring 

materials and how they may degrade in 

the field such that they have excessively 

high permeation rates but without 

leaking liquid fuel. Therefore, we are 

adopting a shorter useful life of two 

years for fuel lines used on cold-weather 

products through the 2013 model year 

to allow manufacturers to gain 

experience in use (see § 1054.145). 

Manufacturers have noted that they plan 

to gather in-use data on the permeation 

levels of cold-weather equipment. While 

we believe manufacturers will be able to 

design and produce cold-weather 

products that comply with fuel line 

permeation requirements for five years, 

we will review any industry-generated 

data on in-use fuel lines. Should the 

data demonstrate concerns with regard 

to in-use durability, we would consider 

options for addressing those concerns. 

The new requirements for evaporative 

emissions are described in 40 CFR part 

1060, with some category-specific 

provisions in 40 CFR parts 1045 and 

1054, which are referred to as the 

exhaust standard-setting parts for each 

category of engine. The regulations in 40 

CFR parts 1045 and 1054 highlight the 

standards that apply and provide any 

specific directions in applying the 

general provisions in part 1060. The 

standards, test procedures, and 

certification provisions are almost 

completely uniform across our programs 

so this combined set of evaporativerelated provisions makes it much easier 

for companies to certify their products 

if they are not subject to the exhaust 

emission standards. 

The rest of this section summarizes 

the new standards, additional 

requirements, and implementation 

dates. Unless otherwise stated, 

implementation dates specified below 

refer to the model year. Section VI.D 

describes how manufacturers may use 

emission credits to meet fuel tank 

permeation standards. Section VI.E 

describes the test procedures 

corresponding to each standard. Section 

VI.F describes how component and 

equipment manufacturers certify their 

products and how their responsibilities 

overlap in some cases. Section VI.F also 

describes the simplified process of 

design-based certification for meeting 

many of the new standards. 

(1) Fuel Line Permeation Standards and 

Dates 

Except as noted below, the new fuel 

line permeation standard is 15 g/m2/day 

at 23 °C using a test fuel containing 10 

percent ethanol and applies to fuel lines 

intended for use in new Small SI 

equipment and Marine SI vessels (see 

§ 1060.102 and § 1060.515). The form of 

the standard refers to grams of 

permeation over a 24-hour period 

divided by the inside surface area of the 

fuel line. This is consistent with the 

standard we adopted for fuel lines in 

recreational vehicles. 

The move toward low-permeation fuel 

lines in recreational vehicles—and 

further development work in this area 

since the first proposed rule for marine 

evaporative emissions—demonstrates 

that low-permeation fuel lines are 

available on the market today for Small 

SI equipment and Marine SI vessels. In 

addition, many manufacturers are 

already using low-permeation 

technologies in response to permeation 

standards in California. We are therefore 

requiring that this standard apply 

beginning January 1, 2009 for Marine SI 

vessels and for nonhandheld Small SI 

equipment. Manufacturers have 

expressed concern that these early dates 

may cause them to have to transition to 

using new hose designs before they can 

use up their existing inventory. Under 

the provisions of § 1060.601(g), 

manufacturers would be able to use up 

existing inventory under normal 

business practices, even beyond the 

standard date. However, manufacturers 

would not be permitted to circumvent 

the standards by stockpiling 

noncompliant hose prior to the 

implementation of the standards. 

For handheld equipment, we are 

promulgating a fuel line permeation 

implementation date of 2012, except 

that small-volume emission families as 

defined in § 1054.801 will have until 

2013. Although low-permeation fuel 

line technology is available, handheld 

equipment is not currently subject to 

fuel line permeation requirements in 

California and does not typically use 

low-permeation fuel lines today. In 

addition, much of the fuel line used on 

handheld equipment is not straight-run 

fuel line for which low-permeation 

replacements are readily available; thus, 

more lead time is required. 

Fuel line manufacturers have the 

primary responsibility to certify to the 

new emission standard. Equipment 

manufacturers may make arrangements 

to take on the certification responsibility 

if they find that to be to their advantage. 

If equipment manufacturers notify the 

fuel line manufacturer in writing that 

they commit to certifying the fuel line, 

then the fuel line manufacturer may 

ship uncertified and unlabeled fuel line 

to the equipment manufacturer. 

By specifying standards for fuelsystem components rather than the 

entire fuel system, we are separately 

addressing appropriate requirements for 

fuel line fittings that are exposed to 

liquid fuel but are not part of the fuel 

line. We are requiring that these fuel 

mstockstill on PROD1PC66 with RULES2

59104 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

line fittings meet the broad 

specifications described in 

§ 1060.101(f), which generally require 

that fittings and connections be 

designed to prevent leaks. As described 

in Section VI.E.1, we are allowing the 

fuel line assembly to be tested as a 

single unit. This includes connecting 

pieces, primer bulbs, and other fuel line 

components as a single item (see 

§ 1060.102). For example, manufacturers 

may certify fuel lines for portable 

marine fuel tanks as assemblies of fuel 

line, primer bulbs, and self-sealing end 

connections. Finally, we are requiring 

that detachable fuel lines be self-sealing 

when they are removed from the fuel 

tank or the engine because this will 

otherwise result in high evaporative 

emissions (see § 1060.101). To the 

extent that equipment manufacturers 

and boat builders certify their products, 

they will need to describe how they 

meet the equipment-based requirements 

in § 1060.101(f) in their application for 

certification (see § 1060.202). If boat 

builders rely on certified components 

instead of certifying, they will need to 

keep records describing how they meet 

the equipment-based requirements 

contained in § 1060.101(f) (see 

§ 1060.210). 

Handheld equipment manufacturers 

have raised concerns that fuel lines 

constructed of available low-permeation 

materials may not perform well in some 

handheld applications under extreme 

cold weather conditions such as below 

¥30 °C. These products often use 

injected molded fuel lines with complex 

shapes and designs needed to address 

the unique equipment packaging issues 

and the high vibration and random 

movement of the fuel lines within the 

overall equipment when in use. 

Industry has expressed concern and the 

data in Chapter 5 of the Final RIA 

suggest that durability issues may occur 

from using certain low-permeation 

materials in these applications when the 

weather is extremely cold and that these 

could lead to unexpected fuel line leaks. 

Cold-weather equipment is limited to 

the following types of handheld 

equipment: chainsaws, cut-off saws, 

clearing saws, brush cutters with 

engines at or above 40cc, commercial 

earth and wood drills, and ice augers. 

This includes earth augers if they are 

also marketed as ice augers. 

As discussed in the Final RIA, rubbers 

with high acrylonitrile (ACN) content 

are used in some handheld applications. 

These materials have about half the 

permeation of lower ACN-content 

rubbers also used in handheld 

applications. To capture the capability 

of these materials to reduce permeation 

emissions without creating other issues 

for cold-weather products, we are 

adopting a set of declining fuel line 

permeation standards for fuel lines used 

in cold-weather equipment that would 

phase-in from 2012 to 2016. The 

standard starts at 290 g/m2/day in 2012 

and declines to 275 g/m2/day in 2013, 

260 g/m2/day in 2014, and 245 g/m2/day 

in 2015. The standard for 2016 and later 

model years is 225 g/m2/day. The 

standards would apply to all coldweather products, including smallvolume families. Manufacturers would 

be allowed to demonstrate compliance 

with the 2012 through 2015 standards 

with a fuel line averaging program that 

is limited to cold-weather fuel lines. 

There would not be any banking or 

trading of these credits. Manufacturers 

comply with the averaging standard by 

naming a Family Emission Limit for 

each family of fuel lines; this Family 

Emission Limit serves as the emission 

standard for the family. Manufacturers 

may not name a Family Emission Limit 

higher than 400 g/m2/day during this 

period. Beginning in the 2016 model 

year, all fuel lines on cold-weather 

equipment must meet the 225 g/m2/day 

standard without averaging. 

Outboard engine manufacturers have 

expressed concern that it will be 

difficult for them to meet final 2009 date 

for the sections of fuel lines that are 

mounted on their engines under the 

engine cowl. While some sections of 

straight-run fuel line are used with 

outboard engines, many of the smaller 

sections between engine mounted fuelsystem components and connectors are 

preformed or injection-molded parts. 

Outboard engine manufacturers stated 

that they will need additional time to 

redesign and perform testing on lowpermeation under-cowl fuel lines. To 

address this issue, we are finalizing a 

phase-in of under-cowl fuel line 

permeation standards. For each engine 

model, we are adopting a phase-in, by 

hose length, of 30 percent in 2010, 60 

percent in 2011, 90 percent in 2012– 

2014 and 100 percent in 2015 and later. 

This will allow manufacturers to 

transition to the use of low-permeation 

fuel lines in an orderly fashion. 

Manufacturers also commented that 

additional lead time is necessary to 

develop low permeation primer bulbs 

such as those in fuel line assemblies for 

portable marine fuel tanks. To address 

this development time, we are finalizing 

an implementation date of 2011 for 

primer bulbs. 

(2) Fuel Tank Permeation Standards and 

Dates 

Except as noted below, we are 

requiring a fuel tank permeation 

standard of 1.5 g/m2/day for tanks 

intended for use in new Small SI 

equipment and Marine SI vessels based 

on the permeation rate of gasoline 

containing 10 percent ethanol at a test 

temperature of 28 °C (see § 1060.103 and 

§ 1060.520). The emission standard is 

based on the inside surface area of the 

fuel tank and is consistent with that 

adopted for fuel tanks in recreational 

vehicles. 

Many Small SI equipment 

manufacturers are currently using lowpermeation fuel tanks for products 

certified in California. The California 

tank permeation test procedures use a 

nominal test temperature of 40 °C with 

California certification gasoline while 

we are requiring testing at 28 °C with 

gasoline containing 10 percent ethanol. 

We are allowing manufacturers the 

alternative of testing their fuel tanks at 

40 °C with the EPA test fuel. Because 

permeation increases as a function of 

temperature, we are establishing an 

alternative standard of 2.5 g/m2/day for 

fuel tanks tested at 40 °C. 

We consider three distinct classes of 

marine fuel tanks: (1) Portable marine 

fuel tanks (generally used with small 

outboard engines); (2) personal 

watercraft (PWC) fuel tanks; and (3) 

other installed marine fuel tanks 

(generally used with SD/I engines and 

larger outboard engines). The fuel tank 

permeation standards start in 2011 for 

all Small SI equipment using Class II 

engines and for personal watercraft and 

portable marine fuel tanks. For Small SI 

equipment using Class I engines and for 

other installed marine fuel tanks 

(including engine-mounted tanks), we 

are applying the same standard starting 

in 2012. Most of the marine fuel tanks 

with the later standards are produced in 

low volumes using rotation-molded 

cross-link polyethylene or fiberglass 

construction, both of which generally 

present a greater design challenge. We 

believe the additional lead time is 

necessary for these fuel tanks to allow 

for a smooth transition to lowpermeation designs. For Small SI 

equipment, these dates also align with 

the schedule for introducing the Phase 

3 exhaust emission standards. 

For handheld equipment, we are 

adopting a phased-in implementation of 

the fuel tank permeation standards. 

Manufacturers will be required to meet 

the new fuel tank permeation standards 

in 2009 for products that they already 

certify in California (see § 90.129). The 

remaining equipment, except for 

structurally integrated nylon fuel tanks 

and small-volume families, will be 

subject to the new tank permeation 

standards in 2010 (see § 1054.110). 

Structurally integrated nylon fuel tanks 

will be subject to the new standards in 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59105 

2011 and small-volume families will 

have to meet the new tank permeation 

standards beginning in 2013. 

Manufacturers will need to start using 

EPA-specified procedures starting in 

2010, except that equipment certified 

using carryover data will be allowed to 

use data collected using procedures 

specified for compliance in California 

for model years 2010 and 2011 (see 

§ 1054.145). 

Fuel tank manufacturers have the 

primary responsibility to certify to the 

new emission standard. Equipment 

manufacturers may make arrangements 

to take on the certification responsibility 

if they find that to be to their advantage. 

If equipment manufacturers notify the 

fuel tank manufacturer in writing that 

they commit to certifying the fuel tank, 

then the fuel tank manufacturer may 

ship uncertified and unlabeled fuel 

tanks to the equipment manufacturer. 

Equipment manufacturers must certify 

that their fuel tanks meet the new 

emission standards if they comply using 

emission credits (whether the fuel tank 

manufacturer certifies or not), as 

described in Section VI.F. We are 

requiring that manufacturers of portable 

marine fuel tanks certify that their 

products meet the new permeation 

standard. This is necessary because 

portable fuel tanks are not sold to boat 

builders for installation in a vessel. 

Therefore, there is no other 

manufacturer who could be treated as 

the manufacturer responsible for 

meeting emission standards that apply 

to portable marine fuel tanks. 

For the purpose of the new fuel tank 

permeation standards, a fuel cap 

directly mounted on the fuel tank is 

considered to be part of the fuel tank. 

The fuel cap would then be included in 

the tank permeation standard and test. 

The cap may optionally be tested 

separately from the tank and the results 

combined to determine the total tank 

permeation rate (see § 1060.521). Cap 

manufacturers could also test their caps 

and certify them separately to the 1.5 

g/m2/day permeation standard. 

Alternatively, manufacturers may use a 

default cap permeation rate as described 

in Section IV.F.8. 

As discussed above, manufacturers 

have expressed concerns with the longterm durability of known lowpermeation elastomers in cold-weather 

applications. At the same time, 

manufacturers have commented that 

existing fuel cap gasket/O-ring materials 

may degrade in the field within a oneyear period (depending on the weather 

and the fuel characteristics) such that 

they have excessively high permeation 

rates, but without leaking liquid fuel. To 

address this issue, we are allowing 

manufacturers to treat fuel cap seals on 

cold-weather equipment as an annual 

maintenance item. In the case of an inuse evaluation with cold-weather 

equipment where the manufacturer 

specified this scheduled maintenance at 

certification, any elastomeric fuel cap 

seal more than one year old would be 

replaced prior to preconditioning the 

tank for permeation testing. At the same 

time, it is not certain that lowpermeation materials will deteriorate 

when used for fuel cap seals in coldweather equipment. We intend to 

perform testing on fuel cap seals to 

determine the appropriateness of 

allowing manufacturers to specify 

scheduled maintenance to address these 

concerns. In the event that durable 

materials are identified, we may remove 

the provision allowing for this 

scheduled maintenance for purposes of 

compliance with fuel tank permeation 

standards. 

(3) Diurnal Emission Standards and 

Dates 

We are promulgating diurnal emission 

standards for gasoline fuel tanks 

intended for use in new Marine SI 

vessels (see § 1045.107). We consider 

three distinct classes of marine fuel 

tanks: (1) Portable marine fuel tanks 

(used with small outboards); (2) 

personal watercraft (PWC) fuel tanks; 

and (3) other installed fuel tanks 

(including engine-mounted fuel tanks). 

We believe the new requirements will 

achieve at least a 50 percent reduction 

in diurnal emissions from PWC and 

other installed marine fuel tanks and 

nearly a 100 percent reduction from 

portable marine fuel tanks. 

For portable fuel tanks, we are 

adopting a design requirement that the 

tank remain sealed up to a pressure of 

5.0 psi, starting on January 1, 2010 (see 

§ 1060.105). We are also requiring that 

portable fuel tanks continue to be selfsealing when disconnected from an 

engine. We are requiring manufacturers 

of portable marine fuel tanks to certify 

that they meet the new diurnal emission 

standards. As described above for 

permeation standards, this certification 

responsibility may not be delegated to 

boat builders. 

For installed fuel tanks, we are 

adopting a general diurnal emission 

standard of 0.40 g/gal/day based on a 

25.6–32.2 °C temperature profile. The 

applicable test procedures are described 

in Section VI.E.3. Manufacturers have 

expressed concerns that some very large 

boats stay in the water throughout the 

boating season and therefore will see a 

much smaller daily swing in fuel 

temperatures, which corresponds with a 

smaller degree of diurnal emissions. We 

are addressing this concern with an 

alternative standard and test procedure 

that will apply only for nontrailerable 

boats. Using available measurements 

related to fuel temperatures and 

emission models to relate temperatures 

to projected diurnal emission levels, we 

are adopting an alternative standard of 

0.16 g/gal/day based on a 27.6–30.2 °C 

temperature profile for fuel tanks 

installed in nontrailerable boats. For the 

purposes of this rule, we are defining a 

nontrailerable boat as one that is 26.0 

feet or more in length, or more than 8.5 

feet in width. The length specification is 

consistent with the U.S. Fish and 

Wildlife Service definition for 

‘‘nontrailerable recreational vessels’’ in 

50 CFR 86.12. The width specification 

is consistent with the width limitation 

specified in 49 CFR 658.15 by the 

Federal Motor Carrier Safety 

Administration for vehicles operating 

on the National Network. 

Manufacturers will likely control 

diurnal emissions from installed marine 

fuel tanks either by sealing the fuel 

system up to 1.0 psi or by using a 

carbon canister in the vent line. As 

discussed below, we believe PWC 

manufacturers will likely seal the fuel 

tank with a pressure-relief valve while 

manufacturers of other boats with 

installed fuel tanks are more likely to 

use carbon canisters. However, either 

technology will be acceptable for either 

kind of installed marine fuel tank as 

long as every system meets the 

numerical standard applicable to the 

specific tank. 

Personal watercraft currently use 

sealed fuel systems for preventing fuel 

from exiting, or water from entering, the 

fuel tank during typical operation. 

These vessels use pressure-relief valves 

for preventing excessive positive 

pressure in the fuel system; the pressure 

to trigger the valve may range from 0.5 

to 4.0 psi. Such fuel systems also use a 

low-pressure vacuum-relief valve to 

allow the engine to draw fuel from the 

tank during operation without creating 

negative pressures in the tank. For 

personal watercraft, we are 

implementing the diurnal emission 

standards beginning with the 2010 

model year. 

Other vessels with installed fuel tanks 

typically are designed with open vent 

systems. In their comments, boat 

builders expressed general support of 

the feasibility of using carbon canisters 

on boats. In addition, the marine 

industry has expressed an interest in 

developing consensus standards for the 

installation of carbon canisters in boats. 

However, they commented that the 

development of these installation 

standards will take time and that a 

mstockstill on PROD1PC66 with RULES2

59106 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

100 In this context, the date of production means 

the date on which the fuel tank is installed in the 

vessel. In the case of boats using outboard engines, 

it is the date that the fuel tank is installed on the 

vessel. 

101American Boat and Yacht Council, ‘‘Standards 

and Technical Information Reports for Small Craft; 

H–24 Gasoline Fuel Systems,’’ July, 2007. 

phase-in would be needed for an orderly 

transition to installing diurnal emission 

controls in their boat models. Therefore, 

we are giving additional lead time 

beyond what we specified in the 

proposal. For fuel tanks installed on a 

marine engine (such as under-cowl fuel 

tanks on outboard engines), the diurnal 

emission standard will apply beginning 

on July 31, 2011. For other installed fuel 

tanks we are adopting a phase-in that 

begins July 31, 2011. In the period from 

July 31, 2011 through July 31, 2012, 50 

percent of the boats produced by each 

company must meet the diurnal 

standard described above. Beginning 

August 1, 2012, all marine fuel tanks 

and boats must meet the diurnal 

emission standard.100

In addition, the industry expressed 

concern that there are many small boat 

builders that may need additional time 

to become familiar with installation of 

carbon canisters in their boats. To 

address this, we will allow small boat 

builders to make a limited number of 

boats without diurnal emission controls 

from July 31, 2011 until July 31, 2013. 

These allowances would be an 

alternative to the 50 percent phase-in 

concept described above. See Section 

VI.G.2.f for further information about 

the allowances for small boat builders. 

If a manufacturer uses a canisterbased system to comply with the 

standard, we are also requiring that 

manufacturers design their systems not 

to allow liquid gasoline to reach the 

canister during refueling or from fuel 

sloshing or volume expansion (see 

§ 1060.105). Exposing carbon to liquid 

gasoline will significantly degrade its 

ability to capture and release 

hydrocarbon vapors. Currently, industry 

consensus standards in ABYC H–24 to 

some extent address spillage during 

refueling and due to fuel expansion.101

However, under these guidelines, the 

refueling ‘‘blow back’’ test is only for a 

partial fill and does not necessarily 

prevent fuel from spilling out the vent 

line (where a canister would likely be 

installed) during refueling. In addition, 

although ABYC recommends that a fuel 

system be designed to contain 5 percent 

fuel expansion, the actual requirement 

can be met by the manufacturer by 

simply lowering the fuel tank capacity 

rating without designing the fuel system 

to prevent overfilling. A system that 

meets the current ABYC requirements in 

this manner would not adequately 

demonstrate that liquid fuel will not 

reach the carbon canister. However, 

ABYC commented that it intends to 

revisit its standards to include proper 

canister installation instructions and an 

improved fuel spillage performance test. 

One example of an approach to protect 

the canister from exposure to liquid 

gasoline is a design in which the 

canister is mounted higher than the fuel 

level and a small orifice or a float valve 

is installed in the vent line to stop the 

flow of liquid gasoline to the canister. 

Fuel tank manufacturers have the 

primary responsibility to certify to the 

new diurnal emission standard. 

Equipment manufacturers, canister 

manufacturers, or system integrators 

may alternatively make arrangements to 

take on the certification responsibility. 

If another party notifies the fuel tank 

manufacturer in writing that it commits 

to certifying the product, then the fuel 

tank manufacturer may ship uncertified 

and unlabeled fuel tanks. We are 

requiring that manufacturers of portable 

marine fuel tanks certify that their 

products meet the new permeation 

standard. This is necessary because 

portable fuel tanks are not sold to boat 

builders for installation in a vessel. 

Therefore, there is no other 

manufacturer who could be treated as 

the manufacturer responsible for 

meeting emission standards that apply 

to portable marine fuel tanks. 

We are requiring that manufacturers 

meet certain specifications with their 

fuel tank caps, including requirements 

to tether the cap to the equipment and 

to design the cap to provide visual, 

audible, or other physical feedback 

when the vapor seal is established. 

Any increase in fuel temperature 

resulting from engine operation will 

cause a potential for fuel tank vapor 

emissions that are generated in a 

manner similar to fuel tank diurnal 

emissions. We are therefore not 

allowing manufacturers to disable their 

approaches for controlling diurnal 

emissions during engine operation (see 

§ 1060.105). This will ensure that any 

running loss emissions that would 

otherwise occur will be controlled to a 

comparable degree as diurnal emissions. 

Although we are not finalizing 

diurnal emission standards for Small SI 

equipment, we are allowing 

manufacturers the option of using the 

SHED-based procedures and standards 

adopted by California ARB for 

nonhandheld Small SI equipment. We 

proposed to adopt this provision only 

on an interim basis to allow for a 

transition to EPA’s standards; however, 

as recommended by commenters, we are 

adopting this as a permanent provision. 

Under this approach, the evaporative 

emission test would be for the whole 

equipment rather than the individual 

components. The SHED-based approach 

might allow manufacturers to use fuel 

tanks or fuel lines with emission levels 

above the component standards, but we 

believe the overall emission control 

(including control of diurnal emissions) 

from SHED-certified systems will be at 

least as great as we would achieve from 

requiring manufacturers to comply with 

the separate permeation standards. We 

are therefore incorporating the 

California ARB SHED procedure by 

reference and allow for certification 

using those procedures. 

(4) Diffusion Standards and Dates 

Diffusion emissions occur when vapor 

escapes the fuel tank through an 

opening as a result of random molecular 

motion, independent of changing 

temperature. Diffusion emissions can be 

easily controlled by venting fuel tanks 

in a way that forces fuel vapors to go 

through a long, narrow path to escape. 

We did not propose diffusion 

standards for handheld equipment or for 

marine vessels. Handheld equipment 

use fuel caps that are either sealed or 

have tortuous venting pathways to 

prevent fuel from spilling during 

operation. We believe these fuel cap 

designs limit diffusion emissions 

sufficiently so that we do not need to 

establish a separate diffusion standard. 

For marine vessels, we believe the 

diurnal emission standard will lead 

manufacturers to adopt technologies 

that automatically limit diffusion losses, 

so they will also control diffusion 

emissions without a separate standard. 

We are not finalizing the proposed 

diffusion standards for nonhandheld 

Small SI equipment. As described 

below, one of the design options 

specified in the proposal for controlling 

running loss emissions was an open 

vent system with limits on fuel 

temperature increases during operation. 

That approach would be effective for 

limiting running losses, but diffusion 

emissions could occur through the open 

vent. However, we believe all the 

remaining design options for controlling 

running loss emissions will effectively 

control diffusion emissions because 

there will be no direct path for vapor to 

escape through diffusion. A separate 

diffusion standard would therefore be 

redundant. 

(5) Running Loss Emission Standards 

and Dates 

We are establishing standards to 

control running loss emissions from 

nonhandheld Small SI equipment 

beginning in the same year as the Phase 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59107 

3 exhaust emission standards—2012 for 

Class I engines and 2011 for Class II 

engines (see § 1060.104). Equipment 

manufacturers will need to certify that 

their equipment models meet the new 

running loss requirements since 

component certification is not practical. 

We have measured fuel temperatures 

and found that some types of equipment 

experience significant fuel heating 

during engine operation. This was 

especially true for fuel tanks mounted 

on or near the engine. This occurs in 

many types of Small SI equipment. 

It is very difficult to define a 

measurement procedure to consistently 

and accurately quantify running losses. 

Also, a performance standard with such 

a procedure introduces a challenging 

testing requirement for hundreds of 

small-volume equipment manufacturers. 

Moreover, we believe there are several 

different design approaches that will 

reliably and effectively control running 

losses. We are therefore not controlling 

running losses using the conventional 

approach of establishing a procedure to 

measure running losses and adopting a 

corresponding emission standard. 

Manufacturers can choose from one of 

the following approaches to 

demonstrate control of running loss 

emissions: 

• Vent running loss fuel vapors from 

the fuel tank to the engine’s intake 

manifold in a way that burns the fuel 

vapors in the engine instead of venting 

them to the atmosphere. The use of an 

actively purged carbon canister would 

qualify under this approach. 

• Use a sealed fuel tank. A fuel 

bladder could be used to minimize fuel 

vapor volume in a sealed fuel tank 

without increasing tank pressure. 

• Use a system with an approved 

executive order from the California Air 

Resources Board. This might involve a 

design in which a fuel cap is fitted with 

a small carbon canister and mounted on 

a tank that is not exposed to excessive 

engine heat. 

In the NPRM, we proposed another 

running loss design option whereby 

manufacturers could demonstrate, 

through testing, that the fuel 

temperature in the tank does not 

increase by more than 8 °C during 

normal operation. Manufacturers 

commented that the temperature testing 

associated with this design option was 

too complex, the temperature limit was 

too low, and the associated diffusion 

requirements were infeasible. In later 

conversations, industry stated that these 

objections were significant enough that 

they were confident they would never 

use the temperature design option; we 

are therefore removing this approach 

from the final rule. 

We believe any of the above 

approaches will ensure that 

manufacturers will be substantially 

controlling running losses, either by 

preventing the vapors from escaping the 

fuel tank or by directing the flow of 

running loss vapors to prevent them 

from escaping to the atmosphere. While 

none of these approaches are expected 

to require extensive design changes or 

lead time, any manufacturer choosing 

the option to vent running loss fuel 

vapors into the engine’s intake manifold 

will need to make this change in 

coordination with the overall engine 

design. As a result, we believe it is 

appropriate to align the timing of the 

running loss standards with the 

introduction of the Phase 3 standards. 

We are not applying the running loss 

requirements to handheld Small SI 

engines. We believe running loss 

emission standards should not apply to 

handheld engines at this time because 

the likely approach for controlling 

running losses could affect the 

manufacturers’ ability to meet the 

current exhaust emission standards. As 

described above, we are not changing 

the exhaust emission standards for 

handheld engines in this rulemaking. In 

addition, there are some technical 

challenges that will require further 

investigation. For example, the compact 

nature of the equipment makes it harder 

to isolate the fuel tank from the engine 

and the multi-positional nature of the 

operation may prevent a reliable means 

of venting fuel vapors into the intake 

manifold while the engine is running. 

We are also not applying the running 

loss requirements to Marine SI engines. 

Installed marine fuel tanks are generally 

not mounted near the engine or other 

heat sources so running losses should be 

very low. A possible exception to this is 

for personal watercraft or other small 

boats where the fuel tank may be closer 

to the engine. However, under the new 

standard for controlling diurnal 

emissions, we expect that PWC 

manufacturers will design their fuel 

tanks to stay pressurized up to 1 psi. 

This will also help to control running 

loss emissions. For other applications, 

the use of a carbon canister for 

controlling diurnal emissions will also 

limit the potential for running loss 

vapors to escape to the atmosphere. 

(6) Requirements Related to Refueling 

Refueling spitback and spillage 

emissions represent a substantial 

additional amount of fuel evaporation 

that contributes to overall emissions 

from equipment with gasoline-fueled 

engines. We are not adopting 

measurement procedures with 

corresponding emission standards to 

address these emission sources. 

However, we believe equipment 

manufacturers can take significant steps 

to address these refueling issues by 

designing their equipment based on 

sound practices. For example, designing 

a marine filler neck with a horizontal 

segment near the fuel inlet will almost 

inevitably lead to high levels of spillage 

since fuel flow will often reach the 

nozzle, leading to substantial fuel flow 

out of the fuel system. Maintaining a 

vertically angled orientation of the filler 

neck will allow the fuel to flow back 

into the filler neck and into the tank 

after the nozzle shuts off. Designing fuel 

systems for automatic shutoff would 

also prevent this. 

For Small SI equipment, designing 

fuel inlets that are readily accessible 

and large enough to see the rising fuel 

level (either through the tank wall or the 

fuel inlet) will substantially reduce 

accidental spillage during refueling. We 

are therefore requiring that equipment 

manufacturers design and build their 

equipment such that operators could 

reasonably be expected to fill the fuel 

tank without spitback or spillage during 

the refueling event (see § 1060.101). 

This new requirement mirrors the 

following requirement recently adopted 

with respect to portable fuel containers 

(72 FR 8428, February 26, 2007): 

You are required to design your portable 

fuel containers to minimize spillage during 

refueling to the extent practical. This requires 

that you use good engineering judgment to 

avoid designs that will make it difficult to 

refuel typical vehicle and equipment designs 

without spillage. (40 CFR 59.611(c)(3)) 

While the final requirement is not as 

objective and quantifiable as the other 

standards and requirements we are 

adopting, we believe this is important, 

both to set a requirement for 

manufacturers in designing their 

products and to give EPA the ability to 

require manufacturers to select designs 

that are consistent with good 

engineering practice regarding effective 

refueling strategies. To the extent that 

equipment manufacturers and boat 

builders certify their products to 

emission standards, they will need to 

describe how they meet this refuelingrelated requirement in their application 

for certification (see § 1060.202). If boat 

builders rely on certified components 

instead of applying for certification, 

they will need to keep records 

describing how they meet this refuelingrelated requirement (see § 1060.210); 

Section VI.F describes how such 

companies can meet certification 

requirements without applying for a 

certificate. 

Spitback and spillage are a particular 

concern for gasoline-fueled boats. 

mstockstill on PROD1PC66 with RULES2

59108 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

Marine operators have reported that 

relatively large quantities of gasoline are 

released into the marina environment 

during refueling events. The American 

Boat and Yacht Council (ABYC) has a 

procedure in place to define a standard 

practice to address refueling. However, 

this procedure calls for testing by 

refueling up to a 75 percent fill level at 

a nominal flow rate of 5 gallons per 

minute. This procedure is not consistent 

with prevailing practices and is clearly 

not effective in preventing spills. We 

believe the most effective means of 

addressing this problem is for ABYC to 

revise their test procedure to reflect 

current practices and adopt a standard 

that would establish appropriate designs 

for preventing refueling emissions. 

ABYC and several boat builders 

announced after the proposal that they 

have initiated a process to work toward 

this outcome. The estimated time frame 

is to have the information and product 

testing in place to be able to implement 

these industry standards by 2012. 

A variety of technological solutions 

are available to address spitback and 

spillage from marine vessels. The 

simplest will be a system similar to that 

used on cars. A small-diameter tube 

could run along the filler neck from the 

top of the tank to a point near the top 

of the filler neck. Once liquid fuel 

reaches the opening of the filler neck 

and the extra tube, the fuel goes faster 

up the small-diameter tube and triggers 

automatic shutoff before the fuel climbs 

up the filler neck. This design depends 

on operators using the equipment 

properly and may not be fully effective, 

for example, with long filler necks and 

low refueling rates. An alternative 

design involves a snug fit between the 

nozzle’s spout and the filler neck, which 

allows for a tube to run from a point 

inside the tank (at any predetermined 

level) directly to the shutoff venturi on 

the spout. The pressure change from the 

liquid fuel in the tank reaching the 

tube’s opening triggers automatic 

shutoff of the nozzle. This system 

prevents overflowing fuel without 

depending on the user. These are two of 

several possible configurations to 

address fuel spillage from marine 

vessels. 

It is very likely that any effective 

design for preventing refueling losses 

would depend on a standardized nozzle 

geometry for interfacing with the filler 

neck. Although they have indicated that 

they are working to address refueling 

spillage, ABYC does not have the 

capability to regulate nozzle geometries. 

Therefore, as described in the proposal, 

we will require marina operators to 

transition to standardized nozzles. We 

are specifying that marine nozzles must 

have (1) a nominal spout diameter of 

0.824 inches, (2) nominal placement of 

an aspirator hole 0.67 inches from the 

terminal end of the spout, (3) a straight 

segment for at least 2.5 inches at the end 

of the spout, and (4) a spring (if used) 

that terminates at least 3.0 inches from 

the end of the spout. These 

specifications are consistent with the 

products currently used for refueling 

motor vehicles. We therefore expect no 

incompatibilities for vessels that may 

get fuel at a marina or at a roadside 

refueling station. These nozzles will 

also cost no more than other nozzles 

that would have been available without 

this regulation. Rather than specifying a 

date certain by which marinas would 

need to convert their nozzles, we 

believe it is appropriate simply to 

specify that marinas start using 

compliant nozzles for any new 

construction or new replacement 

nozzles. We expect this to result in 

widespread use of standardized nozzles 

by 2012, when ABYC expects to have 

their refueling procedures and 

specifications in place. To the extent 

that boat builders start implementing 

refueling controls, we would expect 

market forces to accelerate the turnover 

to standardized nozzles. Depending on 

the designs selected for preventing 

refueling losses from vessels, we may 

need to also consider a maximum flow 

rate for marine refueling events. We 

understand that such a limit would 

need to be higher than 10 gallons per 

minute (the current requirement for 

motor vehicles), but a higher limit may 

be necessary to ensure that refueling 

controls work properly. We will 

continue to work with manufacturers to 

be aware of the need for any further 

standardization in fuel supply to enable 

their designs for controlling emissions. 

(7) Summary Table of Final Evaporative 

Emission Standards 

Table VI–1 summarizes the new 

standards and implementation dates 

discussed above for evaporative 

emissions from Small SI equipment and 

Marine SI vessels. Where a standard 

does not apply to a given class of 

equipment, ‘‘NA’’ is used in the table to 

indicate ‘‘not applicable.’’ 

TABLE VI–1—FINAL EVAPORATIVE EMISSION STANDARDS AND IMPLEMENTATION DATES

Standard/category Fuel line permeation Tank permeation Diurnal Running loss 

Standard level ................... 15 g/m2/day ....................... 1.5 g/m2/day ...................... 0.40 g/gal/day ................... Design standard. 

Handheld ........................... Model year 2012 a b ........... Model year 2009–2013 c ... NA ..................................... NA. 

Class I ............................... January 1, 2009 ................ Model year 2012 ............... NA ..................................... Model year 2012. 

Class II .............................. January 1, 2009 ................ Model year 2011 ............... NA ..................................... Model year 2011. 

Portable tanks ................... January 1, 2009 d .............. January 1, 2011 ................ January 1, 2010 e .............. NA. 

Personal watercraft ........... January 1, 2009 ................ Model year 2011 ............... Model year 2010 ............... NA. 

Other vessels with installed 

tanks.

January 1, 2009 d .............. Model year 2012 ............... July 31, 2011 f g ................. NA. 

a 2013 for small-volume families not used in cold-weather equipment. 

bA separate set of declining fuel line permeation standards applies for cold-weather equipment from 2012 through 2016. 

c 2009 for families certified in California, 2013 for small-volume families, 2011 for structurally integrated nylon fuel tanks, and 2010 for remaining families. d January 1, 2011 for primer bulbs. Phase-in for under-cowl fuel lines on outboard engines, by length: 30% in 2010, 60% in 2011, 90% in 

2012–2014, 100% in 2015. e Design standard. 

fFuel tanks installed in nontrailerable boats (≥ 26 ft. in length or > 8.5 ft. in width) may meet a standard of 0.16 g/gal/day over an alternative 

test cycle. gSee § 1045.625 for allowances to delay implementation of the diurnal standard for a limited number of vessels over the first two years. 

D. Emission Credit Programs 

A common feature of emission control 

programs for motor vehicles and 

nonroad engines and equipment is an 

emission credit program that allows 

manufacturers to generate emission 

credits based on certified emission 

levels for engine families that are more 

stringent than the standard. See Section 

VII.C.5 of the preamble to the proposed 

rule for background information and 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59109 

general provisions related to emission 

credit programs. 

We believe it is appropriate to 

consider compliance based on emission 

credits relative to fuel tank permeation 

standards. As described above, the 

emission standards apply to the fuel 

tanks directly, such that we generally 

expect component manufacturers to 

certify their products. However, we 

believe it is best to avoid placing the 

responsibility for demonstrating a 

proper emission credit balance on 

component manufacturers for three 

main reasons. First, it is in many cases 

not clear whether these components 

will be produced for one type of 

application or another. Component 

manufacturers might therefore be selling 

similar products into different 

applications that are subject to different 

standards—or no standards at all. 

Component manufacturers may or may 

not know in which application their 

products will be used. Second, there 

will be situations in which equipment 

manufacturers and boat builders take on 

the responsibility for certifying 

components. This may be the result of 

an arrangement with the component 

manufacturer, or equipment 

manufacturers and boat builders might 

build their own fuel tanks. We believe 

it will be much more difficult to manage 

an emission credit program in which 

manufacturers at different places in the 

manufacturing chain will be keeping 

credit balances. There will also be a 

significant risk of double-counting of 

emission credits. Third, most 

component manufacturers will be in a 

position to use credits or generate 

credits, but not both. Equipment 

manufacturers and boat builders are 

more likely to be in a position where 

they can keep an internal balance of 

generating and using credits to meet 

applicable requirements. Our 

experience with other programs leads us 

to believe that an emission credit 

program that depends on trading is not 

likely to be successful. 

We are therefore promulgating 

emission credit provisions in which 

equipment manufacturers and boat 

builders keep a balance of credits for 

their product line. Equipment 

manufacturers and boat builders 

choosing to comply based on emission 

credits will need to certify all their 

products that either generate or use 

emission credits. Fuel tank 

manufacturers will be able to produce 

their fuel tanks with emission levels 

above or below applicable emission 

standards but will not be able to 

generate emission credits and will not 

need to maintain an accounting to 

demonstrate a balance of emission 

credits. Small SI engine manufacturers 

that provide a complete fuel system may 

also participate in the fuel tank credit 

program. 

(1) Averaging, Banking, and Trading for 

Small SI Equipment and Marine SI 

Vessels 

We are establishing averaging, 

banking, and trading (ABT) provisions 

for fuel tank permeation from Small SI 

equipment and Marine SI vessels (see 

subpart H in parts 1045 and 1054). 

We are aware of certain control 

technologies that will allow 

manufacturers to produce fuel tanks that 

reduce emissions more effectively than 

we are requiring. These technologies 

may not be feasible or practical in all 

applications, but we are allowing 

equipment manufacturers using such 

low-emission technologies to generate 

emission credits. In other cases, an 

equipment manufacturer may want, or 

need, to use emission credits that will 

allow for fuel tanks with permeation 

rates above the applicable standards. 

Equipment manufacturers can quantify 

positive or negative emission credits by 

using the Family Emission Limit (FEL) 

to define the applicable emission level, 

then factoring in internal surface area, 

sales volumes, and useful life to 

calculate a credit total. This FEL would 

be established by the tank certifier 

(generally the fuel tank manufacturer) 

and would be based on permeation 

testing done either by the component 

manufacturer or the equipment or vessel 

manufacturer. Through averaging, these 

emission credits could be used by the 

same equipment or vessel manufacturer 

to offset other fuel tanks in the same 

model year that do not have control 

technologies that control emissions to 

the level of the standard. Through 

banking, such an equipment 

manufacturer could use the emission 

credits in later model years to offset 

high-emitting fuel tanks. The emission 

credits could also be traded to another 

equipment manufacturer to offset that 

company’s high-emitting fuel tanks. 

We believe an ABT program is 

potentially very advantageous for fuel 

tanks because of the wide variety of tank 

designs. The geometry, materials, 

production volumes, and market 

dynamics for some fuel tanks are well 

suited to applying emission controls, 

but other fuel tanks pose a bigger 

challenge. The new emission credit 

program allows us to set a single 

standard that applies broadly without 

dictating that all fuel tanks be converted 

to low-permeation technology at the 

same time. 

Emission credits earned under the 

evaporative emission ABT program will 

have an indefinite credit life with no 

discounting. We consider these 

emission credits to be part of the overall 

program for complying with the new 

standards. Given that we may consider 

further reductions beyond these 

standards in the future, we believe it 

will be important to assess the 

evaporative ABT credit situation that 

exists at the time any further standards 

are considered. We will set such future 

emission standards based on the 

statutory direction that emission 

standards must represent the greatest 

degree of emission reduction 

achievable, considering cost, safety, lead 

time, and other factors. Emission credit 

balances will be part of the analysis for 

determining the appropriate level and 

timing of new standards. If we were to 

allow the use of credits generated under 

the standards adopted in this rule for 

complying with more stringent future 

standards, we may need to adopt 

emission standards at more stringent 

levels or with an earlier start date than 

we would absent the continued use of 

existing emission credits, depending on 

the level of emission credit banks. 

Alternatively, we could adopt future 

standards without allowing the use of 

existing emission credits, or we could 

place limits on the amount of credits a 

manufacturer could use. 

We are not allowing manufacturers to 

generate emission credits by using metal 

fuel tanks. These tanks will have 

permeation rates well below the 

standard, but there is extensive use of 

metal tanks today, so it would be 

difficult to allow these emission credits 

without undercutting the stringency of 

the standard and the expected emission 

reductions from the standard. 

Within an ABT program, 

manufacturers are allowed to use credits 

only within a defined averaging set. For 

the evaporative emission ABT program, 

we are not allowing the exchange of 

emission credits between Small SI 

equipment and Marine SI vessels. The 

new standards are intended to be 

technology-forcing for each of these 

equipment categories. We are concerned 

that cross-trading may allow marginal 

credits in one area to hamper 

technological advances in another area. 

For Small SI equipment, we will not 

allow credit exchanges between 

handheld and nonhandheld equipment. 

For handheld equipment, we will allow 

credit exchanges between Class III, Class 

IV and Class V equipment. For 

nonhandheld equipment, we will allow 

credit exchanges between Class I and 

Class II equipment. For Marine SI 

vessels, we will allow credit exchanges 

between all types of vessels, except 

those using portable marine fuel tanks 

mstockstill on PROD1PC66 with RULES2

59110 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

which, as noted below, are not included 

in the ABT program. 

We are requiring portable marine fuel 

tanks to meet emission standards 

without an emission credit program. 

Emission control technologies and 

marketing related to portable marine 

fuel tanks are quite different than for 

installed tanks. Most, if not all, portable 

fuel tanks are made using high-density 

polyethylene in a blow-molding 

process. The control technologies for 

these tanks are relatively 

straightforward and readily available so 

we do not anticipate that these 

companies will need emission credits to 

meet the new standards. In addition, 

because these fuel tanks are not 

installed in vessels that are subject to 

emission standards, the fuel tank 

manufacturer will need to take on the 

responsibility for certification. As a 

result, we will treat these portable fuel 

tank manufacturers as both the 

component manufacturer and the 

equipment manufacturer with respect to 

their portable fuel tanks. 

In the early years of the ABT program 

we are not establishing an FEL cap. This 

will give manufacturers additional time 

to use uncontrolled fuel tanks, primarily 

in small-volume applications, until they 

can convert their full product lines to 

having fuel tanks with permeation 

control. We are setting an FEL cap of 5.0 

g/m2/day (8.3 g/m2/day if tested at 40 

°C) starting a few years after 

implementing the tank permeation 

standards. For Class II equipment and 

personal watercraft, the FEL cap will 

begin in 2014. For Class I equipment 

and other installed marine fuel tanks, 

the FEL cap will begin in 2015. For 

handheld equipment, the FEL cap will 

begin in 2015. (See § 1045.107 and 

§ 1054.110.) For Small SI equipment 

qualifying as small-volume emission 

families, we are setting an FEL cap of 

8.0 g/m2/day (13.3 g/m2/day if tested at 

40 °C.) This is generally limited to 

equipment models where the 

manufacturer produces no more than 

5,000 units with a given fuel tank 

design. The purpose of the FEL cap will 

be to prevent the long-term production 

of fuel tanks with no permeation control 

while still providing the regulatory 

flexibility associated with emission 

credit programs. 

Evaporative emission credits under 

the tank permeation standards will be 

calculated using the following equation: 

credits [grams] = (Standard¥ FEL) × 

useful life [years] × 365 days/year × 

inside surface area [m2]. Both the 

standard and the FEL are in units of 

g/m2/day based on testing at 28°C. 

As discussed earlier, we are 

establishing an alternative standard for 

tank permeation testing performed at 

40°C of 2.5 g/m2/day. Because 

permeation is higher at this temperature 

than the primary test temperature, 

emissions credits and debits calculated 

at this test temperature will be expected 

to be higher as well. When determining 

credits for a tank certified to the 

alternative standard, manufacturers will 

use the alternative standard in the credit 

equation. Plus, we are requiring that 

credits and debits that are calculated be 

adjusted using a multiplicative factor of 

0.60 to account for the effect of 

temperature. 

We are also allowing handheld 

equipment manufacturers to earn credits 

for equipment using fuel tanks certified 

earlier than required. As noted in 

Section VI.D.3 below, manufacturers of 

nonhandheld equipment and Marine SI 

vessels can also be rewarded for 

introducing products that comply with 

evaporative standards earlier than 

required. 

(2) Other Evaporative Sources 

We are not promulgating an emission 

credit program for other evaporative 

sources. We believe technologies are 

readily available to meet the applicable 

standards for fuel line permeation and 

diurnal emissions (see Section VI.H.). 

The exception to this is for fuel lines on 

cold-weather equipment and undercowl fuel lines on outboard engines, as 

discussed above in Section VI.C.1, 

where we are adopting temporary 

averaging provisions (see § 1045.112 

and § 1054.145). In addition, the diurnal 

emission standards for portable marine 

fuel tanks and PWC fuel tanks are 

largely based on existing technology so 

any meaningful emission credit program 

with the new standards would result in 

windfall credits. The running loss 

standard is not based on emission 

measurements, and refueling-related 

requirements are based on design 

specifications only, so it is not 

appropriate or even possible to calculate 

emission credits. 

(3) Early-Allowance Programs 

In some cases manufacturers may be 

able to meet the new emission standards 

earlier than we are requiring. We are 

adopting provisions for equipment 

manufacturers using low-emission 

evaporative systems early to generate 

allowances before the standards apply. 

These early allowances could be used 

for a limited time after the 

implementation date of the standards to 

sell equipment or fuel tanks that have 

emissions above the standards. We are 

establishing two types of allowances. 

The first is for Small SI nonhandheld 

equipment as a whole where for every 

year a piece of equipment is certified 

early, another piece of equipment could 

delay complying with the new 

standards by an equal time period 

beyond the implementation date. The 

second is similar but is just for the fuel 

tank rather than the whole equipment 

(nonhandheld Small SI or Marine SI). 

Equipment or fuel tanks certified for 

purposes of generating early allowances 

would need to be certified with EPA 

and will be subject to all applicable 

requirements. Manufacturers will be 

required to report to EPA the number of 

early allowances generated under these 

programs and how the allowances are 

used. These allowances are similar to 

the emission credit program elements 

described above but they are based on 

counting compliant products rather than 

calculating emission credits. 

Establishing appropriate credit 

calculations would be difficult because 

the early compliance is in some cases 

based on products meeting different 

standards using different procedures. 

(a) Nonhandheld Small SI Equipment 

Many Small SI equipment 

manufacturers are currently certifying 

products to evaporative emission 

standards in California. The purpose of 

the early-allowance program is to 

provide an incentive for manufacturers 

to begin selling low-emission products 

nationwide. We are providing 

allowances to manufacturers for 

equipment meeting the California 

evaporative emission standards that are 

sold in the United States outside of 

California and are therefore not subject 

to California’s emission standards. 

Manufacturers will need to have 

California certificates for these 

equipment types. (See § 1054.145.) 

Allowances could be earned in any 

year before 2012 for Class I equipment 

and before 2011 for Class II equipment. 

The allowances may be used through 

the 2014 model year for Class I 

equipment and through the 2013 model 

year for Class II equipment. Allowances 

cannot be traded between Class I and 

Class II equipment. To keep this 

program simple, we are not adjusting 

the allowances based on the anticipated 

emission rates from the equipment. 

Therefore, we believe it is necessary to 

at least distinguish between Class I and 

Class II equipment. 

(b) Fuel Tanks 

We are also providing an earlyallowance program for nonhandheld 

Small SI equipment for fuel tanks (see 

§ 1054.145). This program is similar to 

the program described above for 

equipment allowances, except that it 

will be for fuel tanks only. We will 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59111 

102Society of Automotive Engineers Surface 

Vehicle Standard, ‘‘Fuel and Oil Hoses,’’ SAE J30, 

June 1998 (Docket EPA–HQ–OAR–2004–0008– 

0176). 

103SAE Recommended Practice J1527, ‘‘Marine 

Fuel Hoses,’’ 1993, (Docket EPA–HQ–OAR–2004– 

0008–0195–0177). 

104ASTM Fuel C is a mix of equal parts toluene 

and isooctane. We refer to gasoline blended with 

ethanol as E10. 

105ASTM International, ‘‘Standard Specification 

for Denatured Fuel Ethanol for Blending with 

Gasoline for Use as Automotive Spark-Ignition 

Engine Fuel,’’ ASTM D4806–07, 2007. 

106SAE Recommended Practice J1737, ‘‘Test 

Procedure to Determine the Hydrocarbon Losses 

from Fuel Tubes, Hoses, Fittings, and Fuel Line 

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

HQ–OAR–2004–0008–0178). 

accept California-certified 

configurations. Allowances could be 

earned prior to 2011 for Class II 

equipment and prior to 2012 for Class 

I equipment; allowances could be used 

through 2013 for Class II equipment and 

through 2014 for Class I equipment. 

Allowances will not be exchangeable 

between Class I and Class II equipment. 

The early-allowance program for 

marine fuel tanks is similar except that 

there are no California standards for 

these tanks (see § 1045.145). 

Manufacturers certifying early to the 

new fuel tank permeation standards will 

be able to earn allowances that they 

could use to offset high-emitting fuel 

tanks after the new standards go into 

place. The early-allowance program 

would apply to all marine fuel tanks, 

including portable fuel tanks, personal 

watercraft, and other installed fuel 

tanks. For portable fuel tanks, the tank 

manufacturer would earn the 

allowances, whereas the vessel 

manufacturer would earn the 

allowances for personal watercraft and 

other installed fuel tanks. We are not 

allowing the cross-trading of allowances 

between portable fuel tanks, personal 

watercraft, and other installed fuel 

tanks. Each of these categories includes 

significantly different tank sizes and 

installed tanks have different 

implementation dates and are expected 

to use different permeation control 

technology. For portable fuel tanks and 

personal watercraft, allowances could 

be earned prior to 2011 and may be used 

through the 2013 model year. For other 

installed tanks, allowances could be 

earned prior to 2012 and used through 

the 2014 model year. 

E. Testing Requirements 

Compliance with the evaporative 

emission standards is determined by 

following specific testing procedures. 

This section describes the new test 

procedures for measuring fuel line 

permeation, fuel tank permeation, and 

diurnal emissions. As discussed in 

Section VI.F.8, we are adopting designbased certification as an alternative to 

testing for certain standards. 

(1) Fuel Line Permeation Testing 

Procedures 

We are requiring that fuel line 

permeation be measured at a 

temperature of 23 ± 2 °C using a weightloss method similar to that specified in 

SAE J30 and J1527 recommended 

practices (see § 1060.515).102 103 We are 

making two modifications to the SAE 

recommended practice. The first 

modification is for the test fuel to 

contain ethanol; the second 

modification is to require 

preconditioning of the fuel line through 

a fuel soak. These modifications are 

described below and are consistent with 

our current requirements for 

recreational vehicles. 

(a) Test Fuel 

The recommended practice in SAE 

J30 and J1527 is to use ASTM Fuel C 

(defined in ASTM D471–98) as a test 

fuel. We are requiring the use of a test 

fuel containing 10 percent ethanol. We 

believe the test fuel must contain 

ethanol because it is commonly blended 

into in-use gasoline and because ethanol 

substantially increases permeation rates 

for many materials. 

Specifically, we are requiring the use 

of a test fuel consisting of an ASTM 

Fuel C blended with ethanol such that 

the blended fuel contains 10 percent 

ethanol by volume (CE10).104

Manufacturers have expressed support 

for this test fuel because it is more 

consistent than testing with gasoline 

and because it is widely used today by 

industry for permeation testing. In 

addition, most of the data used to 

develop the new fuel line permeation 

standards were collected on this test 

fuel. This fuel is allowed today as one 

of two test fuels for measuring 

permeation from fuel lines under the 

recreational vehicle standards. 

California ARB also specifies Fuel CE10 

as the test for fuel line permeation 

measurements with small offroad 

engines. 

One exception is for fuel lines on 

cold-weather handheld products. In this 

case, the standard is based on a test fuel 

of IE10, which is EPA certification 

gasoline blended with 10 percent 

ethanol by volume. 

We are finalizing specifications for 

fuel ethanol blended into test gasoline 

based on standard industry practice. 

Specifically, we are incorporating by 

reference ASTM D4806–07, which 

specifies, among other things, 

acceptable denaturants and maximum 

water content.105

(b) Preconditioning Soak 

The second difference from weightloss procedures in SAE practices is in 

fuel line preconditioning. We believe 

the fuel line should be preconditioned 

with an initial fuel fill followed by a 

long enough soak to ensure that the 

permeation rate has stabilized. 

Manufacturers may choose one of two 

alternative specifications for the soak 

period—either four weeks at 43 ± 5 °C 

or eight weeks at 23 ± 5 °C. Either of 

these approaches should adequately 

stabilize permeation rates for most 

materials. However, manufacturers may 

need a longer soak period to stabilize 

the permeation rate for certain fuel line 

designs, consistent with good 

engineering judgment. For instance, a 

thick-walled fuel line may take longer to 

reach a stable permeation rate than a 

thinner-walled fuel line. After this fuel 

soak, the fuel reservoir and fuel line 

must be drained and immediately 

refilled with fresh test fuel prior to the 

weight-loss test. 

(c) Alternative Approaches 

California’s regulations, in CCR 

2754(a)(1)(C), reference SAE J1737 as 

the method for measuring permeation 

from fuel lines. These recommended 

procedures use a recirculation 

technique whereby nitrogen flows over 

the test sample to carry the permeating 

vapors to adsorption canisters. 

Permeation is determined based on the 

weight change of the canisters. This 

method was intended to provide a 

greater level of sensitivity than the 

weight loss method specified in SAE J30 

and J1527 so that lower rates of 

permeation could be measured. As an 

alternative, we will accept permeation 

data collected using the methodology in 

SAE J1737 under § 1060.505(c).106 If this 

alternative is used, the same test fuel, 

test temperature, and preconditioning 

period must be used as for the primary 

(weight-loss) test method. 

We are allowing permeation 

measurements using alternative 

equipment and procedures that provide 

equivalent results (see § 1060.505). To 

use these alternative methods, 

manufacturers will first need to get our 

approval. An example of an alternative 

approach would be enclosure-type 

testing such as in 40 CFR part 86. In the 

case of enclosure-type testing, the 

manufacturer would need to 

demonstrate that it is correctly 

accounting for the ethanol content in 

mstockstill on PROD1PC66 with RULES2

59112 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

107 Draft SAE Information Report J1769, ‘‘Test 

Protocol for Evaluation of Long Term Permeation 

Barrier Durability on Non-Metallic Fuel Tanks,’’ 

(Docket EPA–HQ–OAR–2004–0008–0195). 

the fuel. Note that the test fuel, test 

temperatures, and preconditioning soak 

described above will still apply. 

Because permeation increases with 

temperature we will accept data 

collected at higher temperatures (greater 

than 23 °C) for a demonstration of 

compliance. 

For portable marine fuel tanks, the 

fuel line assembly from the engine to 

the fuel tank typically includes two 

sections of fuel line with a primer bulb 

in between and quick-connect 

assemblies on either end. We are 

adopting a provision to allow 

manufacturers to test a full assembly as 

a single fuel line to simplify testing for 

these fuel line assemblies (see 

§ 1060.102). This gives manufacturers 

the flexibility to use a variety of 

materials as needed for performance 

reasons while meeting the fuel line 

permeation standard for the fully 

assembled product. Measured values 

will be based on the total measured 

permeation divided by the total internal 

surface area of the fuel line assembly. 

However, where it is impractical to 

calculate the internal surface area of 

individual parts of the assembly, such 

as a primer bulb, we will allow a 

simplified calculation that treats the full 

assembly as a straight fuel line. This 

small inaccuracy will cause reported 

emission levels (in g/m2/day) to be 

slightly higher so it will not jeopardize 

a manufacturer’s effort to demonstrate 

compliance with the applicable 

standard. 

(2) Fuel Tank Permeation Testing 

Procedures 

The new test procedure for fuel tank 

permeation includes preconditioning, 

durability simulation, and a weight-loss 

permeation test (see § 1060.520). The 

preconditioning and the durability 

testing may be conducted 

simultaneously; manufacturers must put 

the tank through durability testing while 

the tank is undergoing its 

preconditioning fuel soak to reach a 

stabilized permeation level. 

(a) Test Fuel 

Similar to the new fuel line testing 

procedures, we are requiring the use of 

a test fuel containing 10 percent ethanol 

to help ensure in-use emission 

reductions with the full range of in-use 

fuels. Specifically, we are requiring the 

use of IE10 as the test fuel which is 

made up of 90 percent certification 

gasoline and 10 percent ethanol by 

volume. This is the same test fuel 

specified for testing fuel tanks for 

recreational vehicles. In addition, IE10 

is representative of in-use test fuels. We 

are allowing Fuel CE10 as an alternative 

test fuel. Data in Chapter 5 of the Final 

RIA suggest that fuel tank permeation 

tends to be somewhat higher on CE10 

than IE10, so testing on CE10 should be 

an acceptable demonstration of 

compliance. 

We are finalizing specifications for 

fuel ethanol blended into test gasoline 

based on standard industry practice. 

Specifically, we are incorporating by 

reference ASTM D4806–07 which 

specifies, among other things, 

acceptable denaturants and maximum 

water content. 

(b) Preconditioning Fuel Soak 

Before permeation testing, the fuel 

tank must be preconditioned by 

allowing it to sit with fuel inside until 

the hydrocarbon permeation rate has 

stabilized. Under this step, we are 

requiring that the fuel tank be filled 

with test fuel and soaked—either for 20 

weeks at 28 ± 5 °C or for 10 weeks at 

43 ± 5 °C. Either of these approaches 

should adequately stabilize permeation 

rates for most materials. However, 

manufacturers may need a longer soak 

period to stabilize the permeation rate 

for certain fuel tank designs, consistent 

with good engineering judgment. 

The tank will have to be sealed during 

this fuel soak and any components that 

are directly mounted to the fuel tank, 

such as a fuel cap, must be attached. 

Other openings, such as fittings for fuel 

lines, openings for grommets, or 

petcocks, will be sealed with 

impermeable plugs (or left unmachined 

so there is no hole in the tested 

configuration). In addition, if there is a 

vent path through the fuel cap, that vent 

path may be sealed. Alternatively, the 

opening could be sealed for testing and 

the fuel cap tested separately for 

permeation (discussed below). If the 

fuel cap is not directly mounted on the 

fuel tank (i.e., the fuel tank is designed 

to have a separate fill neck between the 

fuel cap and the tank), the tank may be 

sealed with something other than a 

production fuel cap. 

If the test fuel is dispensed at a 

temperature below the soak 

temperature, it would be possible for the 

fuel tank to pressurize if the tank were 

sealed prior to the fuel temperature 

reaching the soak temperature. In this 

case, it would be acceptable to allow 

reasonable time for the test fuel to 

approach the soak temperature, prior to 

sealing, to prevent over-pressurization 

of the fuel tank. To prevent gross 

evaporation of fuel vapors during this 

period, the venting of the tank should be 

no greater than needed to prevent overpressurization of the fuel tank. The 

regulation specifies that the fuel tank 

must be sealed within a maximum of 

eight hours after refueling. 

Manufacturers should also take steps to 

minimize vapor losses during the time 

that the fuel is warming, such as leaving 

the fuel cap loosely in place or routing 

vapors through a vent line. 

Manufacturers may do the durability 

testing described below during the time 

period specified for preconditioning. 

The time spent in durability testing may 

count as preconditioning time as long as 

ambient temperatures are within the 

specified limits and the fuel tank has 

fuel inside the entire time. During the 

slosh testing, a fuel fill level of 40 

percent will be considered acceptable 

for the fuel soak. Otherwise, we are 

requiring that the fuel tank be filled to 

nominal capacity during the fuel soak. 

(c) Durability Tests 

We are adopting three tests for the 

evaluation of the durability of fuel tank 

permeation controls: (1) Fuel sloshing; 

(2) pressure-vacuum cycling; and (3) 

ultraviolet exposure. The purpose of 

these deterioration tests is to help 

ensure that the technology is durable 

under the wide range of in-use operating 

conditions. For sloshing, the fuel tank 

must be filled to 40–50 percent capacity 

with the specified test fuel and rocked 

for one million cycles. Pressure-vacuum 

testing must consist of 10,000 cycles 

between ¥0.5 and 2.0 psi with a cycle 

time of 60 seconds. These two new 

durability tests are based on draft 

recommended SAE practice.107 The 

third durability test is intended to assess 

potential impacts of ultraviolet sunlight 

on the durability of surface treatment. In 

this test, the tank will be exposed to 

ultraviolet light wavelength ranging 

from 300 to 400 nanometers with an 

intensity of at least 0.40 W-hr/m2/min 

on the tank surface for 450 hours. 

Alternatively, the tank could be exposed 

to direct natural sunlight for an 

equivalent period of time. 

We do not believe the durability 

testing requirements are necessary for 

all fuel tank designs. Therefore, we are 

excluding metal tanks and other tanks 

using direct material solutions in the 

molding process from the durability test 

procedures. However, these durability 

procedures will apply to fuel tanks 

using surface treatments or postprocessing barrier coatings as a 

permeation barrier. We are concerned 

that improperly applied treatments or 

coatings may deteriorate. The specified 

durability demonstrations are necessary 

to ensure that fuel tanks properly 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59113 

108 ‘‘OPEI HHPC Comments on EPA Proposed 

Phase 3 Rule for HH Fuel Tank Permeation,’’ 

Outdoor Power Equipment Institute, February 5, 

2008. 

control emissions throughout the useful 

life. 

(d) Weight-loss Test 

Following the fuel soak, the fuel tank 

must be drained and refilled with fresh 

fuel as described above. The permeation 

rate from the fuel tanks are determined 

by comparing mass measurements of the 

fuel tank over the test period while 

ambient temperatures are held at 28 ± 2 

°C. Testing may alternatively be 

performed at 40 ± 2 °C, in which case 

a higher numerical standard applies. 

We received several comments that 

the test procedure should require daily 

mass measurements similar to the 

procedures required by CARB in TP– 

901. We agree with commenters that 

making daily recordings of the fuel tank 

weight is consistent with good 

engineering practices. These daily mass 

measurements can be used to determine 

the stability of the permeation rate of 

the fuel tank and can help identify if 

anything unusual is occurring during 

the test such as a lost seal during 

testing. The test procedures in TP–901 

require that the weight loss test 

continue until the coefficient of 

determination (r2), from a plot of the 

cumulative daily weight loss versus 

time for 10 consecutive 24-hour cycles, 

is 95 percent or greater. (California ARB 

mistakenly refers to the r2 value as the 

correlation coefficient.) We believe this 

approach gives testing facilities 

flexibility for basing the length of the 

test on good engineering judgment 

rather than a fixed time period. We are 

therefore adopting this general method 

of using daily measurements to 

determine the length of the test, with 

one modification. The CARB method 

would require test facilities to make 

measurements over at least one 

weekend. We believe weight loss 

measurements can be suspended for 

short periods of time without a negative 

impact on the test. We therefore do not 

require that the 11 weight loss 

measurements (including the 0-hour 

measurement) be on consecutive days, 

provided that measurements are made 

on at least five different days of any 

given seven-day period of the test. 

Measurements must be made at roughly 

the same time on each test day. 

A change in atmospheric pressure 

over the weeks of testing can affect the 

accuracy of measured weights for testing 

due to the buoyancy of the fuel tank. 

The buoyancy effect on emission 

measurements is proportional to the 

volume of the fuel tank, so this 

procedure is appropriate even for testing 

very small fuel tanks. To address this 

we are adopting a procedure in which 

a reference fuel tank is filled with an 

amount of glass bead or some other inert 

material such that the weight of the 

reference tank is approximately the 

same as the total weight of the test tank. 

The reference tank is used to zero the 

scale before measuring the weight of the 

test tank. This will result in measured 

and reported values representing the 

change in mass from permeation losses 

rather than a comparison of absolute 

masses. This is similar to an approach 

in which weighing will determine 

absolute masses with a mathematical 

correction to account for the effects of 

buoyancy. We believe the specified 

approach is better because it minimizes 

the possibility of introducing or 

propagating error. 

We are allowing permeation 

measurements for certification using 

alternative equipment and procedures 

that provide equivalent results. To use 

these alternative methods, 

manufacturers would first need to get 

our approval. An example of an 

alternative weight-loss measurement 

procedure would be to test the fuel tank 

in a SHED and determine the 

permeation by measuring the 

concentration of hydrocarbons in the 

enclosure. In the case of SHED testing, 

the manufacturer would need to 

demonstrate that it is correctly 

accounting for the ethanol content in 

the fuel. 

(e) Fuel Cap Permeation Testing 

As discussed above, manufacturers 

have the option to test the fuel cap 

separately from the tank and combine 

the results to determine the total tank 

permeation rate. In this case, the 

permeation test must be performed as 

described above except that the fuel cap 

will be mounted on an impermeable 

reservoir such as a metal or glass tank. 

The volume of the test reservoir must be 

at least one liter to ensure sufficient fuel 

vapor exposure. We are requiring that 

the ‘‘tank’’ surface area for calculating 

the results will be the smallest inside 

the cross sectional area of the opening 

on which the cap is mounted. The fuel 

cap will need to be tested in 

conjunction with a representative 

gasket. In the case where the vent path 

is through grooves in the gasket, another 

gasket of the same material and 

dimensions, without the vent grooves, 

may be used. In the case where the vent 

is through the cap, that vent must be 

sealed for testing. Alternatively, 

manufacturers may use the default cap 

permeation rate described in Section 

IV.F.8. 

Handheld equipment manufacturers 

commented that fuel caps should be 

subject to durability testing and 

recommended that the cap should be 

subjected to 300 on-off cycles as a 

durability test.108 For handheld 

products, data in the Final RIA suggests 

that rubber fuel cap seals may 

contribute a significant portion of the 

permeation measured in the fuel tank 

permeation test. We are concerned that 

a coating used on the gaskets to reduce 

the measured permeation during the test 

may wear off during in-use operation. 

We are therefore adopting this 

additional durability testing for fuel 

caps on handheld tanks. 

Handheld equipment manufacturers 

also commented that cold-weather 

products cannot use existing low 

permeation rubbers for their seals due to 

potential dynamic cracking issues at 

very low temperatures. In addition, 

materials used today degrade after a 

year of exposure to fuel containing 

ethanol. While this does not appear to 

lead to fuel leakage, data in the Final 

RIA suggest that this degradation may 

have a large effect on tank permeation. 

To address this issue, EPA intends to 

conduct a technical study of coldweather fuel cap seals. For this final 

rule we are adopting an allowance for 

manufacturers to specify rubber fuel cap 

seals on cold-weather equipment as 

maintenance items. These seals could 

therefore be replaced prior to the fuel 

preconditioning soak when permeation 

testing is performed on in-use fuel tanks 

if the seals are more than one year old. 

If the technical study or other 

information reveals that a fuel resistant 

material or other solution can safely be 

used in cold-weather applications, we 

will consider removing the provision 

allowing manufacturers to identify 

gasket replacement as a scheduled 

maintenance item in the application for 

certification. 

(3) Diurnal Emission Testing Procedures 

The new test procedure for diurnal 

emissions from installed marine fuel 

tanks involves placing the fuel tank in 

a SHED, varying the fuel temperature 

over a prescribed profile, and measuring 

the hydrocarbons escaping from the fuel 

tank (see § 1060.525). The final results 

are reported in grams per gallon where 

the grams are the mass of hydrocarbons 

escaping from the fuel tank over 24 

hours and the gallons are the nominal 

fuel tank capacity. The new test 

procedure is derived from the 

automotive evaporative emission test 

mstockstill on PROD1PC66 with RULES2

59114 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

109See 40 CFR part 86, subpart B, for the 

automotive evaporative emission test procedures. 

110 Volatility is specified based on a procedure 

known as Reid Vapor Pressure (see ASTM D 323– 

99a). 

with modifications specific to marine 

applications.109

(a) Temperature Profile 

We believe it is appropriate to base 

diurnal measurements on a summer day 

with ambient temperatures ranging from 

72 to 96 °F (22.2 to 35.6 °C). This 

temperature profile, which is also used 

for automotive testing, represents a hot 

summer day when ground-level ozone 

formation is most prominent. Due to the 

thermal mass of the fuel and, in some 

cases, the inherent insulation provided 

by the boat hull, the fuel temperatures 

would cover a narrower range. Data 

presented in Chapter 5 of the Final RIA 

suggest that the fuel temperature in an 

installed marine fuel tank will see a 

total change of about half the ambient 

temperature swing. We are therefore 

adopting a test temperature range of 78 

to 90 °F (25.6 to 32.2 °C) for installed 

marine fuel tanks. This testing is based 

on fuel temperature instead of ambient 

temperature. 

We are adopting an alternative, 

narrower temperature range for fuel 

tanks installed in nontrailerable boats (≥ 

26 ft. in length or > 8.5 ft. in width). 

Data presented in Chapter 5 of the Final 

RIA suggest that the fuel temperature 

swing for a boat stored in the water is 

about 20 percent of the ambient 

temperature swing. Based on this 

relationship, we are adopting an 

alternative temperature cycle for tanks 

installed in nontrailerable boats of 81.6 

to 86.4 °F (27.6 to 30.2 °C). This 

alternative temperature cycle is 

associated with an alternative standard 

as described in Section VI.C.3. 

Diurnal emission measurements for 

cars include a three-day temperature 

cycle to ensure that the carbon canister 

can hold at least three days of diurnal 

emissions without substantial escape of 

hydrocarbon vapors to the atmosphere. 

For marine vessels using carbon 

canisters as a strategy for controlling 

evaporative emissions, we are also 

requiring a three-day cycle in this final 

rule. In the automotive test, the canister 

is loaded and then purged by the engine 

during a warm-up drive before the first 

day of testing. We are adopting a 

different approach for marine vessels 

because we anticipate that canisters on 

marine applications will be passively 

purged. Before the first day of testing, 

the canister would be loaded to its 

working capacity and then run over the 

diurnal test temperature cycle, starting 

and ending at the lowest temperature, to 

allow one day of passive purging. The 

test result would then be based on the 

highest recorded value during the 

following three days. 

For fuel systems using a sealed 

system, we believe a three-day test will 

not be necessary. In this case, the fuel 

tank would be sealed once the fuel 

reaches equilibrium at the starting 

temperature for testing. The SHED 

would then be purged and the test 

would consist of a single run through 

the diurnal temperature cycle. We are 

establishing this one-day test for the 

following technologies: sealed systems, 

sealed systems with a pressure-relief 

valve, limiting flow orifices, bladder 

fuel tanks, and sealed fuel tanks with a 

volume-compensating air bag. 

(b) Test Fuel 

Consistent with the automotive test 

procedures, we are specifying a gasoline 

test fuel with a nominal volatility of 9 

psi.110 We are not requiring that the fuel 

used in diurnal emission testing include 

ethanol for two reasons. First, we do not 

believe that ethanol affects the diurnal 

emissions or control effectiveness other 

than the effect that ethanol in the fuel 

may have on fuel volatility. Second, in 

many areas of the country, in-use fuels 

containing ethanol are blended in such 

a way as to control for ethanol effects in 

order to meet fuel volatility 

requirements. 

Diurnal emissions from vented 

systems are a function not only of 

temperature and fuel volatility, but also 

of the size of the vapor space in the fuel 

tank. Consistent with the automotive 

procedures, we are requiring that the 

fuel tank be filled at the start of the test 

to 40 percent of its nominal capacity. 

Nominal capacity is defined as the fuel 

tank’s volume as specified by the fuel 

tank manufacturer, using at least two 

significant figures, based on the 

maximum volume of fuel the tank can 

hold with standard refueling 

techniques. The ‘‘permanent’’ vapor 

space above a fuel tank that has been 

filled to capacity should not be 

considered as part of the fuel tank’s 

nominal capacity. 

(c) Fuel Tank Configuration 

The majority of marine fuel tanks are 

made of plastic. Plastic fuel tanks 

designed to meet our new standards will 

still be expected to have some amount 

of permeation. However, the effect of 

permeation on the test results should be 

very small if the test tank was a new 

model that had not been previously 

exposed to fuel. For fuel tanks that have 

reached a stabilized permeation rate 

(such as testing on in-use tanks), we 

believe it is appropriate to correct for 

permeation. The regulation specifies 

that manufacturers may measure the 

permeation rate and subtract it from the 

final diurnal test result. The fuel tank 

permeation rate would be measured 

with the established procedure for 

measuring permeation emissions, except 

that the fuel for testing (including 

preconditioning) would be the same as 

that used for diurnal emission testing 

and the permeation testing must occur 

at a nominal ambient temperature of 

28°C. This test measurement would 

have to be made just before the diurnal 

emission test to ensure that the 

permeation rate does not change 

significantly over the course of the 

diurnal emission measurement. In no 

case will we allow a permeation 

correction higher than that 

corresponding to the applicable 

permeation standard for a tank with a 

given inside surface area. Because not 

correcting for permeation represents the 

worst-case test result, we will accept 

data from manufacturers in which no 

permeation correction is applied. 

As with the permeation test 

procedures, a manufacturer may request 

EPA approval of an alternative method 

provided that this method provides 

measurements that are equivalent to the 

primary method. 

F. Certification and Compliance 

Provisions 

Sections VII and VIII of the preamble 

to the proposed rule describe several 

general provisions for certifying 

emission families and meeting other 

regulatory requirements. This section 

notes several particulars for applying 

these general provisions to evaporative 

emissions. 

Marine vessels do not always include 

installed fuel systems. Manufacturers of 

vessels without installed fuel systems 

do not have the ability to control engine 

or fuel system design parameters. We 

are therefore excluding vessels that do 

not have installed fuel systems from the 

new standards (see § 1045.5). As a 

result, it is necessary for us to treat 

manufacturers of uninstalled fuelsystem components as the equipment 

manufacturer with respect to 

evaporative emission standards. This 

includes manufacturers of outboard 

engines (including any fuel lines or fuel 

tanks produced with the engine), 

portable fuel tanks, and the fuel line 

assembly (including fuel line, primer 

bulb, and connectors). 

For ease of reference, Small SI 

equipment manufacturers, Marine SI 

boat builders, and manufacturers of 

portable marine fuel tanks (and 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59115 

associated fuel-system components) are 

all referred to as equipment 

manufacturers in this section. 

(1) Liability for Certification and 

Compliance 

The new standards for fuel lines and 

fuel tanks apply to any such 

components that are used with or 

intended to be used with Small SI 

engines or Marine SI engines (see 

§ 1060.1 and § 1060.601). Section VI.C 

describes for each standard which 

manufacturer is expected to certify. 

In most cases, nonroad standards 

apply to the manufacturer of the engine 

or the manufacturer of the nonroad 

equipment. Here, the products subject to 

the standards (fuel lines and fuel tanks) 

are typically manufactured by a 

different manufacturer. In most cases 

the engine manufacturers do not 

produce complete fuel systems and 

therefore are not in a position to do all 

the testing and certification work 

necessary to cover the whole range of 

products that will be used. We are 

therefore providing an arrangement in 

which manufacturers of fuel-system 

components are in most cases subject to 

the standards and are subject to 

certification and other compliance 

requirements associated with the 

applicable standards. We are prohibiting 

the introduction into commerce of 

noncompliant fuel-system components 

that are intended for installation in 

Small SI equipment or Marine SI vessels 

unless the component manufacturer 

either certifies the component or has a 

contractual arrangement with each 

equipment manufacturer using its 

products that the equipment 

manufacturer will certify those 

components. As a matter of good 

practice, any components not intended 

for installation in Small SI equipment or 

Marine SI vessels should be labeled 

accordingly to prevent the possibility of 

improper installation. 

As described in Section VI.D, 

component manufacturers generally 

certify their products using measured 

emission levels showing that the 

components meet the applicable 

emission standard. In the case of 

permeation standards for fuel tanks, 

component manufacturers may 

alternatively certify to an FEL above or 

below the standard. If any fuel tank 

manufacturer certifies using an FEL, the 

FEL becomes the emission standard for 

that emission family for all practical 

purposes. The fuel tank manufacturer 

will have the option to certify to an FEL 

above or below the standard, but will 

not be required to meet any overall 

average or maintain a positive balance 

of credits for their products. This is to 

facilitate the use of ABT by equipment 

manufacturers, which must balance 

their positive and negative credits, as 

discussed below. 

Equipment manufacturers are subject 

to all the new evaporative emission 

standards. This applies for the general 

standards described above with respect 

to fuel caps, miscellaneous fuel-system 

components, and refueling (see 

§ 1060.101(f)). These standards 

generally depend on design 

specifications rather than emission 

measurements, so we believe it is 

appropriate to simply deem these 

products to be certified if they are 

designed and produced to meet the 

standards we specify. The equipment 

manufacturer will also need to keep 

records of the components used (see 

§ 1060.210). This will allow us, by 

operation of the regulation, to have 

certified products without requiring the 

paperwork burden associated with 

demonstrating compliance with these 

relatively straightforward specifications. 

Manufacturers could optionally apply 

for and receive a certificate of 

conformity with respect to these general 

standards, but this is not necessary and 

we will expect this to be a rare 

occurrence. 

Equipment manufacturers will also be 

subject to all the new permeation, 

diurnal, and running loss standards that 

apply. Equipment manufacturers may 

comply with requirements related to 

evaporative emission standards in three 

different situations. First, equipment 

manufacturers might install only 

components certified by the component 

manufacturer, without using emission 

credits. In this case all the components 

must meet the emission standard or 

have an FEL below the standard. 

Manufacturers of Marine SI vessels will 

be subject to the fuel line and fuel tank 

standards (including diurnal standards), 

but will be able to satisfy their 

requirements by using certified 

components. Such a vessel 

manufacturer will generally need to use 

certified components, add an emission 

label, and follow any applicable 

emission-related installation 

instructions to ensure that certified 

components are properly installed. This 

is similar to an equipment manufacturer 

that is required to properly install 

certified engines in its equipment, 

except that the equipment manufacturer 

must meet general design standards and 

shares the liability for meeting emission 

standards. We are requiring 

manufacturers of Small SI equipment to 

certify with respect to evaporative 

emission standards even if they use 

certified components, largely because 

they are still responsible for running 

loss requirements. 

Second, equipment manufacturers 

may be required to certify certain 

components based on contractual 

arrangements with the manufacturer of 

those components. In this case, the 

equipment manufacturer’s certification 

causes the component manufacturer to 

no longer be subject to the standard. 

This approach might involve the 

equipment manufacturer relying on test 

data from the component manufacturer. 

The equipment manufacturer might also 

be producing its own fuel tanks for 

installation in its equipment, in which 

case it will be subject to the standards 

and all requirements related to 

certification and compliance. In either 

case, the equipment manufacturer will 

take on all the responsibilities 

associated with certification and 

compliance with respect to those 

components. 

Third, equipment manufacturers may 

comply with evaporative emission 

requirements by using certified 

components, some of which are certified 

to an FEL above the standard. The 

equipment manufacturer would then 

comply based on emission credits. In 

this case, the equipment manufacturer 

takes on all the certification and 

compliance responsibilities with respect 

to any fuel tanks that are part of the 

equipment manufacturer’s emission 

credit calculations. Equipment 

manufacturers will generally use only 

certified components for meeting 

evaporative emission requirements, but 

they might also hold the certificate for 

such components. For purposes of 

certification, equipment manufacturers 

will not need to submit new test data if 

they use certified components. 

Equipment manufacturers must make an 

annual accounting to demonstrate a net 

balance of credits for the model year. 

Under this approach, the fuel tank 

manufacturer will continue to be subject 

to the standards for its products and be 

required to meet the certification and 

compliance responsibilities related to 

the standard. However, as in the first 

option, the fuel tank manufacturer will 

not be required to meet any averaging 

requirements or be required to use 

emissions credits. Where equipment 

manufacturers use ABT with fuel tanks 

that have already been certified by the 

component manufacturer, there would 

be overlapping certifications between 

the two parties. We address this by 

specifying that all parties are 

responsible for meeting applicable 

requirements associated with the 

standards to which they have certified, 

but if any specific requirement is met by 

one company, we will consider the 

mstockstill on PROD1PC66 with RULES2

59116 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

requirement to be met for all companies 

(see § 1060.5). For example, either the 

component manufacturer or the 

equipment manufacturer could honor 

warranty claims, but we may hold both 

companies responsible for the violation 

if there is a failure to meet warranty 

obligations. 

Similarly, if we find that new 

equipment is sold without a valid 

certificate of conformity for the fuel 

lines or fuel tanks, then the equipment 

manufacturer and all the affected fuelsystem manufacturers subject to the 

standards will be liable for the 

noncompliance (see § 1060.601). 

Liability for recall of noncompliant 

products will similarly fall to any 

manufacturer whose product is subject 

to the standard, as described above. If 

more than one manufacturer is subject 

to the standards for a noncompliant 

product, we will have the discretion to 

assign recall liability to any one of those 

manufacturers. In assigning this 

liability, we will generally consider 

factors such as which manufacturer has 

substantial manufacturing responsibility 

and which manufacturer holds the 

certificate (see § 1060.5). However, we 

may hold equipment manufacturers 

liable for recall even if they do not 

manufacture or certify the defective 

product. This will generally be limited 

to cases where the component 

manufacturer is unavailable to execute 

any remedial action. For example, if a 

foreign component manufacturer 

discontinues their participation in the 

U.S. market or a component 

manufacturer goes out of business, we 

will turn to the equipment 

manufacturer. 

(2) Regulatory Requirements Related to 

Certification 

The established provisions for 

implementing exhaust emission 

standards apply similarly for 

evaporative emission standards; 

however, because the control 

technologies are very different, these 

requirements require further 

clarification. For example, scheduled 

maintenance is an important part of 

certifying engines to exhaust emission 

standards. However, there is little or no 

maintenance involved for the expected 

technologies for controlling evaporative 

emissions. The regulations still require 

manufacturers to identify specified 

maintenance procedures, if there are 

any, but there are no specific limitations 

on the maintenance intervals and there 

is no distinction for emission-related 

maintenance. Manufacturers may not do 

any maintenance during testing for 

certification. (See § 1060.125 and 

§ 1060.235.) We also do not expect that 

emission-related warranty claims will 

be common, but we are requiring a twoyear period for emission-related 

warranties with respect to evaporative 

emission controls. 

Similarly, we do not expect 

manufacturers to use evaporative 

emission control technologies that 

involve adjustable parameters or 

auxiliary emission control devices. 

Technologies that control evaporative 

emissions are generally passive designs 

that prevent vapors from escaping, in 

contrast to the active systems engines 

used to control exhaust emissions. The 

regulations state the basic expectation 

that systems must comply with 

standards throughout any adjustable 

range without auxiliary emission 

control devices, but it is clear that these 

provisions will not apply to most 

evaporative systems. We also do not 

allow emission control strategies that 

cause or contribute to an unreasonable 

risk to public health or welfare or that 

involve defeat devices. While these are 

additional statutory provisions that are 

meaningful primarily in the context of 

controlling exhaust emissions, we are 

including them for evaporative 

emissions for completeness (see 

§ 1060.101). This also addresses the 

possibility that future technologies may 

be different in a way that makes these 

provisions more meaningful. 

The testing specified for certifying 

fuel systems to the evaporative emission 

standards includes measurements for 

evaluating the durability of emission 

control technologies where appropriate. 

While we adopted evaporative 

requirements for recreational vehicles 

relying on a testing approach that used 

deterioration factors, we believe it is 

more appropriate to incorporate the 

durability testing for each family 

directly. Therefore, no requirement (or 

opportunity) exists for generating 

deterioration factors for any evaporative 

emission standard. 

We are requiring that component 

manufacturers label the fuel lines, fuel 

tanks, and other fuel-system 

components that they certify (see 

§ 1060.137). These labels generally 

identify the manufacturer, the 

applicable emission standard (or Family 

Emission Limit), and family 

identification. We are including a 

provision to allow manufacturers to use 

an abbreviated code that would allow 

for referring to the information filed for 

certification under the engine family 

name. Manufacturers may also design 

their fuel lines to include a continuous 

stripe or other pattern to help identify 

the particular type or grade of fuel line. 

This would be in addition to the other 

labeling requirements. 

Engine or equipment manufacturers 

must also add an emission control 

information label to identify the 

evaporative emission controls (see 

§ 1060.135). If engine, equipment, or 

vessel manufacturers also certify fuelsystem components separately, they 

may include that additional information 

in a combined label. If the equipment is 

produced by the same company that 

certifies the engine for exhaust 

standards, the emission control 

information label for the engine may 

include all the appropriate information 

related to evaporative emissions. 

While we are not adopting specific 

requirements for manufacturers to 

evaluate production-line or in-use 

products, we require that manufacturers 

set up their own quality plan for 

evaluating their products to ensure 

compliance. Also, we may pursue 

testing of certified products to evaluate 

compliance with evaporative emission 

standards (see § 1060.301). 

(3) Emission Families 

To certify equipment or components, 

manufacturers will first define their 

emission families. This is generally 

based on selecting groups of products 

that have similar emission 

characteristics throughout the useful life 

(see § 1060.230). For example, fuel tanks 

could be grouped together if they were 

made of the same material (including 

consideration of additives such as 

pigments, plasticizers, and UV 

inhibitors that are expected to affect 

emissions) and the same control 

technology. For running loss control for 

nonhandheld Small SI engines and 

equipment, emission families are based 

on the selected compliance 

demonstration. For example, certifying 

manufacturers may have one emission 

family for all their products that vent 

fuel vapors to the engine’s air intake 

system. 

The manufacturer selects a single 

product from the emission family for 

certification testing. This product will 

be the one that is most likely to exceed 

the applicable emission standard. For 

instance, the ‘‘worst-case’’ fuel tank in 

a family of monolayer tanks will likely 

be the tank with the thinnest average 

wall thickness. For fuel lines or coextruded fuel tanks with a permeation 

barrier layer, the worst-case 

configuration may be the one with the 

thinnest barrier. 

Testing with those products, as 

specified above, will need to meet 

applicable emission standards. The 

manufacturer then sends us an 

application for certification. After 

reviewing the information in the 

application to verify that the 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59117 

manufacturer demonstrates compliance 

with all applicable requirements, we 

will issue a certificate of conformity 

allowing equipment manufacturers to 

introduce into commerce certified 

components or equipment. 

(4) Compliance Provisions From 40 CFR 

Part 1068 

We are applying the provisions of 40 

CFR part 1068 to Small SI and Marine 

SI engines, equipment, and vessels. This 

section describes how some of the 

provisions of part 1068 apply 

specifically with respect to evaporative 

emissions. 

The provisions of § 1068.101 prohibit 

introducing into commerce new 

nonroad engines and equipment unless 

they are covered by a certificate of 

conformity and labeled appropriately. 

Section VI.F.1 describes the 

responsibilities for engine 

manufacturers, equipment 

manufacturers, and manufacturers of 

fuel-system components with respect to 

the prohibition against introducing 

uncertified products into commerce. In 

the case of portable marine fuel tanks 

and outboard engines, there is no 

equipment manufacturer so we are 

treating manufacturers of these items as 

equipment manufacturers relative to 

this prohibition. 

While engine rebuilding or extensive 

engine maintenance is commonplace in 

the context of exhaust emission 

controls, there is very little analogous 

servicing related to evaporative 

emission controls. Nevertheless, it can 

be expected that individual fuel lines, 

fuel tanks, or other fuel-system 

components may be replaced 

periodically. While the detailed 

rebuilding provisions of § 1068.120 have 

no meaning for evaporative emission 

controls, the underlying requirement 

applies generally. Specifically, if 

someone is servicing a certified system, 

there must be a reasonable basis to 

believe that the modified emission 

control system will perform at least as 

well as the original system. We are not 

imposing any recordkeeping 

requirements related to maintenance of 

evaporative emission control systems. 

There are many instances where we 

specify in 40 CFR part 1068, subparts C 

and D, that engines (and the associated 

equipment) are exempt from emission 

standards under certain circumstances, 

such as for testing, national security, or 

export. Our principle objective in 

applying these provisions to evaporative 

emission standards is to avoid 

confusion. We are therefore adding a 

provision that any exemption from 

exhaust emission standards 

automatically triggers a corresponding 

exemption from evaporative emission 

standards for the same products. We 

believe it is unlikely that an equipment 

manufacturer will need a separate 

exemption from evaporative emission 

standards, but the exemptions related to 

national security, testing, and economic 

hardship will apply if such a situation 

were to occur. We believe the other 

exemptions available for engines would 

not be necessary for equipment 

manufacturers with respect to 

evaporative emissions. 

Given the extended times required to 

precondition fuel-system components, 

we have no plans to initiate selective 

enforcement audits to test for 

compliance with products coming off 

the assembly line. On the other hand, 

we may require certifying manufacturers 

to supply us with production equipment 

or components as needed for our own 

testing or we may find our own source 

of products for testing. 

The defect-reporting requirements of 

§ 1068.501 apply to certified evaporative 

systems. This requires the certifying 

manufacturer to maintain information, 

such as warranty claims, that may 

indicate an emission-related defect. The 

regulations describe when 

manufacturers must pursue an 

investigation of apparent defects and 

when to report defects to EPA. These 

provisions apply to every certifying 

manufacturer and their certified 

products, including component 

manufacturers. 

(5) Interim Standards and Provisions for 

Small SI Equipment 

Most Small SI equipment 

manufacturers are currently certifying 

products to evaporative emission 

requirements in California. However, 

these standards and their associated test 

procedures differ somewhat from those 

contained in this final rule. Although 

the standards are different, we believe 

evaporative emission control 

technologies are available to meet the 

California ARB’s standards and our new 

emission standards. To help 

manufacturers transition to selling lowemission equipment nationwide, we are 

accepting California ARB certification of 

equipment and components in the early 

years of the new federal program. 

As discussed above, we are accepting 

California ARB certification for 

nonhandheld equipment and fuel tanks 

for the purposes of the early-allowance 

program (see §§ 1045.145 and 1054.145). 

We are also accepting California ARB 

certification of handheld fuel tanks 

through the 2011 model year (see 

§ 90.129). 

We are accepting California ARB 

certification or certain SAE 

specifications through the 2010 model 

year for Class II engines and through the 

2010 model year for Class I engines (see 

§ 90.127). These SAE specifications 

include SAE J30 R11A, SAE J30 R12, 

and SAE J2260 Category 1. 

(6) Replacement Parts 

We are applying the tampering 

prohibition in § 1068.101(b)(1) for 

evaporative systems. This means that it 

will be a violation to replace compliant 

fuel tanks or fuel lines with 

noncompliant products that effectively 

disable the applicable emission 

controls. Low-cost replacement 

products would be easy to make 

available and it would be difficult to 

prevent or control their use. We are 

therefore adopting several provisions to 

address this concern. In § 1060.610 we 

clarify the meaning of tampering for 

evaporative systems and finalize 

specific labeling requirements. First, for 

the period from January 1, 2012 to 

December 31, 2019, we require that 

manufacturers, distributors, retailers, 

and importers of replacement parts 

clearly label their products with respect 

to the applicable requirements. For 

example, a package might be labeled as 

compliant with the requirements in 40 

CFR part 1060 or it might be labeled as 

noncompliant and appropriately used 

only for applications not covered by 

EPA standards. Unless the packaging 

clearly states otherwise, the product is 

presumed to be intended for 

applications that are subject to EPA 

standards. Second, starting in 2020 we 

are establishing a provision stating that 

it is presumed that all replacement parts 

that could be used in applications 

covered by EPA standards will in fact be 

installed in such equipment. This 

presumption significantly enhances our 

ability to enforce the tampering 

prohibition because the replacement 

part is then noncompliant before it is 

installed in a vessel or a piece of 

equipment. We believe shifting to a 

blanket presumption in 2020 is 

appropriate since in-use vessels and 

equipment will be almost universally 

meeting EPA’s evaporative emission 

standards by that time. 

The obligation for owners who 

replace certified fuel tanks or fuel lines 

with new components is to use 

components that have been certified 

under the applicable regulations. We 

have made a change from the proposal 

to remove the requirement for owners to 

use certified tanks that meet or exceed 

the FEL from the component being 

replaced, if applicable. Commenters 

emphasized that the proposed approach 

would be unworkable. We agree that the 

best approach for ensuring that we 

mstockstill on PROD1PC66 with RULES2

59118 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

111A copy of the cost worksheets that were used 

to assess the fees per category may be found on 

EPA’s fees Web site at http://www.epa.gov/otaq/ 

proprule.htm. 

112Manufacturers may also consider metal fuel 

tanks meeting the gasket- and cap-related 

specifications to be ‘‘deemed certified,’’ in which 

case no application for certification is necessary. 

Such a fuel tank is considered compliant 

independent of any test results from emission 

measurements. While this would be the most 

straightforward path, many prefer instead to go 

through the certification process for their tanks. 

preserve emission controls without 

adopting unreasonable requirements is 

to specify simply that new replacement 

components need to be certified. 

(7) Certification Fees 

Under our current certification 

program, manufacturers pay a fee to 

cover the costs associated with various 

certification and other compliance 

activities associated with an EPA issued 

certificate of conformity. These fees are 

based on the projected costs to EPA per 

emission family. For the fees rule 

published May 2004, we conducted a 

cost study to assess EPA’s costs 

associated with conducting programs for 

the industries that we certify (69 FR 

26222, May 11, 2004).111 We are 

establishing a new fees category for 

certification related to the new 

evaporative emission standards. The 

costs for this category will be 

determined using the same method used 

in conducting the previous cost study. 

As under the current program, this 

depends on an assessment of the 

anticipated number of emission families 

and the corresponding EPA staffing 

necessary to perform this work. At this 

time, EPA plans to perform a basic level 

of certification review of information 

and data submitted to issue certificates 

of conformity for the evaporative 

emission standards, as well as 

conducting some testing to measure 

evaporative emissions. This is 

especially the case for equipment 

manufacturers that use only certified 

components for meeting applicable 

emission standards. We are establishing 

a fee of $241 based on Agency costs for 

half of a federal employee’s time and 

three employees hired through the 

National Senior Citizens Education and 

Research Center dedicated to the 

administration of the evaporative 

certification program, including the 

administrative, testing, and overhead 

costs associated with these people. The 

total cost to administer the program is 

estimated to be $362,225. We divided 

this cost by the estimated number of 

certificates, 1,503, to calculate the fee. 

The fee of $241 per certificate applies 

through the 2014 model year. Starting in 

2015, we will update the fees related to 

evaporative emission certificates each 

year when we update the fees for all 

categories. The fees update will be 

based upon EPA’s costs of 

implementing the evaporative category 

multiplied by the consumer price index 

(CPI), then divided by the average of the 

number of certificates received in the 

two years prior to the update. The CPI 

will be applied to all of EPA’s costs 

except overhead. This is a departure 

from EPA’s current fees program 

wherein the CPI is applied only to 

EPA’s labor costs. In the most recent 

fees rulemaking, commenters objected 

to applying the CPI to EPA’s fixed costs. 

In the new fee program for the 

evaporative category, however, there are 

no fixed costs. EPA expects all its costs 

to increase with inflation and we 

therefore think it is appropriate to apply 

the inflation adjustment to all the 

program costs. 

Where a manufacturer holds the 

certificates for compliance with exhaust 

emission standards and includes 

certification for evaporative emissions 

for the same engine/equipment model, 

we will assess an additional charge 

related to compliance with evaporative 

emission standards to that for the 

exhaust emission certification. 

EPA believes it appropriate to charge 

less for a certificate related to 

evaporative emissions relative to the 

existing charge for certificates of 

conformity for exhaust emissions from 

the engines in these same vessels and 

equipment. The amount of time and 

level of effort associated with reviewing 

the latter certificates is higher than that 

projected for the certificates for 

evaporative emissions. 

(8) Design-Based Certification 

Certification of equipment or 

components that are subject to 

performance-based emission standards 

depends on test data showing that 

products meet the applicable standards. 

We are adopting a variety of approaches 

that reduce the level of testing needed 

to show compliance. As described 

above, we allow manufacturers to group 

their products into emission families so 

that a test on a single worst-case 

configuration can be used to show that 

all products in the emission family are 

compliant. Also, test data from a given 

year could be ‘‘carried over’’ for later 

years for a given emission control 

design (see § 1060.235). These steps 

help reduce the overall cost of testing. 

Design-based certification is another 

method that may be available for 

reducing testing requirements (see 

§ 1060.240). To certify their products 

using design-based certification, 

manufacturers will describe, from an 

engineering perspective, how their fuel 

systems meet the applicable design 

specifications. We believe there are 

several designs that use established 

technologies that are well understood to 

have certain emission characteristics 

that ensure compliance with applicable 

emission standards. At the same time, 

while design-based certification is a 

useful tool for reducing the test burden 

associated with certification, this does 

not remove a manufacturer’s liability for 

meeting all applicable requirements 

throughout the useful life of the engine, 

equipment, vessel, or component. 

The following sections describe how 

we propose to implement design-based 

certification for each of the different 

performance standards. We are adopting 

design-based certification provisions for 

fuel tank permeation and diurnal 

emissions. The emission data we used 

to develop these new design-based 

certification options are presented in 

Chapter 5 of the Final RIA. 

We are not adopting design-based 

certification provisions for fuel lines. 

This contrasts with the approach we 

adopted for recreational vehicles, where 

we specified that fuel lines meeting 

certain SAE specifications could be 

certified by design. That decision was 

appropriate for recreational vehicles, 

because we did not include provisions 

for component certification. Fuel line 

manufacturers will need to conduct 

testing anyway to qualify their fuel lines 

as meeting the various industry ratings 

for Small SI and marine applications so 

any testing burden to demonstrate 

compliance with EPA standards should 

be minimal. We will allow test data 

used to meet industry standards to be 

used to certify to the new standards 

provided that the data were collected in 

a manner consistent with this final rule 

and that the data are available to EPA 

upon request. 

(a) Fuel Tank Permeation 

A metal fuel tank automatically meets 

the design criteria for a design-based 

certification as a low-permeation fuel 

tank, subject to the restrictions on fuel 

caps and seals described below.112

There is also a body of existing test data 

showing that co-extruded fuel tanks 

from automotive applications have 

permeation rates that are well below the 

new standard. We are allowing designbased certification for co-extruded highdensity polyethylene fuel tanks with a 

continuous ethylene vinyl alcohol 

(EVOH) barrier layer. The EVOH barrier 

layer is required to be at least 2 percent 

of the wall thickness of the fuel tank. In 

addition, the ethylene content of the 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59119 

EVOH can be no higher than 40 mole 

percent. 

To address the permeability of the 

gaskets and seals used on metal and coextruded tanks, the design criteria 

include a specification that seals (such 

as gaskets and O-rings) not made of lowpermeability materials must have a total 

exposed surface area less than 0.25 

percent of the total inside surface area 

of the fuel tank. For example, consider 

a four-gallon fuel tank with an inside 

surface area of 0.40 square meters. The 

total exposed surface area of seals on 

this fuel tank must be smaller than 1000 

mm2 (= 0.25%/100 × 0.40m2 × 1,000,000 

mm2/m2). This is consistent with the 

proposed rule and the current 

requirements for recreational vehicles, 

but allows for larger seals for larger 

tanks. In addition, if a non-metal fuel 

cap not made of low-permeability 

material is directly mounted to the fuel 

tank, the surface area of the fuel cap 

(determined by the cross-sectional area 

of the fill opening) may not exceed 3.0 

percent of the total inside surface area 

of the fuel tank. 

A metal or co-extruded fuel tank with 

a fuel cap and seals that meet these 

design criteria would be expected to 

reliably pass the standard. However, we 

believe it is not appropriate to assign an 

emission level to fuel tanks using 

design-based certification such that they 

can generate emission credits. Given the 

uncertainty of emission rates from the 

seals and gaskets, we will not consider 

these tanks to be any more effective than 

other fuel tanks meeting emission 

standards for purposes of emission 

credits. 

In the case where the fuel cap is 

directly mounted on the fuel tank, we 

consider the cap and associated seals to 

be part of the fuel tank. As discussed 

above, we allow fuel caps to be tested 

either mounted on the fuel tank, or 

individually. As an alternative to testing 

the fuel cap, the manufacturer may opt 

to use a default permeation rate of 30 

g/m2/day (or 50 g/m2/day for testing at 

40 °C). To be eligible for this default 

rate, the seal on the fuel cap must be 

made of a low-permeability material, 

such as a fluoroelastomer. The surface 

area associated with this default value is 

the smallest inside cross-sectional area 

of the opening on which the cap is 

mounted. If manufacturers use this 

default value, they would seal the fuel 

fill area with a non-permeable plug 

during the tank permeation test and the 

default permeation rate would be 

factored into the final result. 

(b) Diurnal Emissions 

For portable marine fuel tanks, we are 

establishing a design standard based on 

automatically sealing the tank to 

prevent fuel venting while fuel 

temperatures are rising. The options 

described below for design-based 

certification therefore deal only with 

installed marine fuel tanks (including 

personal watercraft). 

A fuel system sealed to 1.0 psi will 

meet the criteria for design-based 

certification relative to the new diurnal 

emission standards. Such sealed 

systems reliably ensure that total 

diurnal emissions over the specified test 

procedure will be below the new 

standard. This type of system will allow 

venting of fuel vapors only when 

pressures exceed 1.0 psi or when the 

fuel cap is removed for refueling. Note 

that systems with anti-siphon valves 

will have to be designed to prevent fuel 

releases when the system is under 

pressure to meet U.S. Coast Guard 

requirements. 

Bladder fuel tanks and tanks with a 

volume-compensating air bag are 

specialized versions of tanks that may 

meet the specifications for systems that 

remain sealed up to positive pressures 

of 1.0 psi. In each of these designs, 

volume changes within a sealed system 

prevent pressure buildup. 

Fuel tanks equipped with a passively 

purged carbon canister may be certified 

by design, subject to several technical 

specifications. To ensure that there is 

enough carbon to collect a sufficient 

mass of hydrocarbon vapors, we specify 

a minimum butane working capacity of 

9.0 g/dL based on the test procedures 

specified in ASTM D5228. The carbon 

canister will need a minimum carbon 

volume of 0.040 liters per gallon of 

nominal fuel tank capacity. For fuel 

tanks certified to the optional standards 

for tanks in nontrailerable boats (≥26 ft. 

in length or >8.5 ft. in width), we are 

requiring a minimum carbon volume of 

0.016 liters per gallon of nominal fuel 

tank capacity. 

We are adopting three additional 

specifications for the quality of the 

carbon. We believe these specifications 

are necessary to ensure that the canister 

continues to function effectively over 

the full useful life. First, the carbon 

must meet a moisture adsorption 

capacity maximum of 0.5 grams of water 

per gram of carbon at 90 percent relative 

humidity and a temperature of 25±5 °C. 

Second, the carbon must pass a dust 

attrition test similar to that in ASTM 

D3802. Third, the carbon granules must 

have a minimum mean diameter of 3.1 

mm based on the procedures in ASTM 

D2862. These procedures are described 

in more detail in Chapter 5 of the Final 

RIA. 

We are also requiring that the carbon 

canister must be properly designed to 

ensure proper in-use diurnal emission 

control. The canisters will need to be 

designed using good engineering 

judgment to ensure structural integrity. 

They must include a volume 

compensator or other device to hold the 

carbon pellets in place under vibration 

and changing temperatures and the 

vapor flow will need to be directed so 

that it reaches the whole carbon bed 

rather than just passing through part of 

the carbon. We are also requiring that 

the geometry of the carbon canister must 

have a length-to-diameter ratio of at 

least 3.5. 

(c) Additional Designs 

We may establish additional designbased certification options where we 

find that new test data demonstrate that 

the use of other technologies will ensure 

compliance with applicable emission 

standards. These designs will need to 

produce emission levels comfortably 

below the emission standards after 

considering variability in emission 

control performance. In addition, all 

aspects of these designs would need to 

be publicly available and quantifiable. 

For instance, we would not create a 

design-based certification for a material 

or process without full public disclosure 

of all the characteristics of that material 

or process relevant to its emission 

control characteristics. We would also 

not include products whose emission 

control performance is highly variable 

due to tolerances in materials or 

manufacturing processes. For instance, 

barrier treatments and post-processing 

coatings would generally not be eligible 

for design-based certification. 

Manufacturers wanting to use designs 

other than those discussed here will 

have to perform the applicable testing 

for certification. However, once an 

additional technology is proven to be 

inherently low-emitting such that it will 

without question meet emission 

standards, we may consider approving 

its use under the regulations for designbased certification. For example, if 

several manufacturers were to pool 

resources to test a diurnal emission 

control strategy and submit the data to 

us, we could consider this particular 

technology, with any appropriate design 

specifications, as one that qualifies to be 

considered compliant under designbased certification. We intend to revise 

the regulations to include any 

additional technologies we decide are 

suitable for design-based certification, 

but we may also approve the use of 

additional design-based certification 

with these technologies before changing 

the regulations. 

mstockstill on PROD1PC66 with RULES2

59120 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(9) Coordination With Coast Guard 

As part of its compliance assurance 

program for safety standards, the U.S. 

Coast Guard regularly visits boat 

builders to perform inspections on the 

production of new boats. The frequency 

of these inspections is such that each 

boat builder is visited approximately 

once every two years. The U.S. Coast 

Guard has indicated a willingness to 

consider environmental compliance 

assurance as part of these inspections. 

For example, the inspections could 

include checking for certification labels 

and proper installation of emission 

control components. We will continue 

to work with the U.S. Coast Guard to 

coordinate these efforts. 

G. Small-Business Provisions 

(1) Small Business Advocacy Review 

Panel 

On May 3, 2001, we convened a Small 

Business Advocacy Review Panel under 

section 609(b) of the Regulatory 

Flexibility Act (RFA) as amended by the 

Small Business Regulatory Enforcement 

Fairness Act of 1996. The purpose of the 

Panel was to collect the advice and 

recommendations of representatives of 

small entities that could be affected by 

the proposal and to report on those 

comments and the Panel’s findings and 

recommendations as to issues related to 

the key elements of the Initial 

Regulatory Flexibility Analysis under 

section 603 of the Regulatory Flexibility 

Act. We re-convened the Panel on 

August 17, 2006 to update our findings 

for this final rule. The Panel report has 

been placed in the rulemaking record 

for this final rule. Section 609(b) of the 

Regulatory Flexibility Act directs the 

Panel to report on the comments of 

small entity representatives and make 

findings as to issues related to certain 

elements of an initial regulatory 

flexibility analysis (IRFA) under RFA 

section 603. Those elements of an IRFA 

are: 

• A description of, and where 

feasible, an estimate of the number of 

small entities to which the rule will 

apply; 

• A description of projected 

reporting, recordkeeping, and other 

compliance requirements of the rule, 

including an estimate of the classes of 

small entities that will be subject to the 

requirements and the type of 

professional skills necessary for 

preparation of the report or record; 

• An identification, to the extent 

practicable, of all relevant Federal rules 

that may duplicate, overlap, or conflict 

with the rule; and 

• A description of any significant 

alternative to the rule that accomplishes 

the stated objectives of applicable 

statutes and that minimizes any 

significant economic impact of the rule 

on small entities. 

In addition to the EPA’s Small 

Business Advocacy Chairperson, the 

Panel consisted of the Director of the 

Assessment and Standards Division of 

the Office of Transportation and Air 

Quality, the Administrator of the Office 

of Information and Regulatory Affairs 

within the Office of Management and 

Budget, and the Chief Counsel for 

Advocacy of the Small Business 

Administration. 

EPA used the size standards provided 

by the Small Business Administration 

(SBA) at 13 CFR part 121 to identify 

small entities for the purposes of its 

regulatory flexibility analysis. 

Companies that manufacture internalcombustion engines and that employ 

fewer than 1,000 people are considered 

small businesses for the purpose of the 

RFA analysis for this rule. Equipment 

manufacturers, boat builders, and fuelsystem component manufacturers that 

employ fewer than 500 people are 

considered small businesses for the 

purpose of the RFA analysis for this 

rule. Based on this information, we 

asked 25 companies that met the SBA 

small business thresholds to serve as 

small entity representatives for the 

duration of the Panel process. These 

companies represented a cross-section 

of engine manufacturers, equipment 

manufacturers, and fuel-system 

component manufacturers. 

With input from small-entity 

representatives, the Panel drafted a 

report which provides findings and 

recommendations to us on how to 

reduce potential burdens on small 

businesses that may occur as a result of 

this final rule. The Panel Report is 

included in the rulemaking record for 

this final rule. We are adopting all the 

recommendations as presented in the 

Panel Report. The flexibility options 

recommended to us by the Panel, and 

any updated assessments, are described 

below. 

(2) Burden Reduction Approaches for 

Small Businesses Subject to the Final 

Evaporative Emission Standards 

The SBAR Panel Report includes six 

general recommendations for regulatory 

flexibility for small businesses affected 

by the new evaporative emission 

standards. This section discusses the 

provisions being established based on 

each of these recommendations plus one 

additional provision for small-volume 

boat builders. In these industry sectors, 

we believe the burden reduction 

approaches presented in the Panel 

Report should be applied to all 

businesses with the exception of the 

general economic hardship provision 

and the marine diurnal allowances, both 

of which are described below and are 

designed specifically for small 

businesses. The majority of fuel tanks 

produced for the Small SI equipment 

and Marine SI vessel market are made 

by small businesses or by companies 

producing small volumes of these 

products. The purpose of these options 

is to reduce the potential burden on 

companies for which fixed costs cannot 

be distributed over a large product line. 

For this reason, we often also consider 

production volumes when making 

decisions regarding provisions to reduce 

compliance burden. 

(a) Consideration of Appropriate Lead 

Time 

Small businesses commented that 

they would need to make significant 

changes to their plastic fuel tank designs 

and molding practices to meet the new 

fuel tank permeation standards. For 

blow-molded tank designs with a 

molded-in permeation barrier, new 

blow-molding machines would be 

needed that could produce multi-layer 

fuel tanks. One small business 

commented that, due to the lead time 

needed to install a new machine and to 

perform quality checks on the tanks, 

they would not be ready to sell multilayer blow-molded fuel tanks until 2011 

for the Small SI and Marine SI markets. 

Small businesses that make rotationmolded fuel tanks were divided in their 

opinion of when they would be ready to 

produce low-permeation fuel tanks. One 

manufacturer stated that it is already 

producing fuel tanks with a lowpermeation inner layer that are used in 

Small SI applications. This company 

also sells marine fuel tanks, but not with 

low-permeation technology. However, 

they have successfully performed Coast 

Guard durability testing on a prototype 

40-gallon marine tank using their lowpermeation technology. Two other small 

businesses that make rotation-molded 

fuel tanks stated that they have not been 

able to identify and demonstrate a lowpermeation technology that would meet 

their cost and performance needs. They 

commented that developing and 

demonstrating low-permeation 

technology is especially an issue for the 

marine industry because of the many 

different tank designs and Coast Guard 

durability requirements. 

Consistent with the Panel 

recommendations and in response to the 

above comments, we are adopting an 

implementation schedule that we 

believe provides sufficient lead time for 

blow-molded and marine rotationmolded fuel tanks. We are establishing 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59121 

tank permeation implementation dates 

of 2011 for Class II equipment and 2012 

for Class I equipment. We are 

implementing the permeation standards 

in 2011 for portable marine fuel tanks 

and for personal watercraft and in 2012 

for other installed fuel tanks, which are 

typically rotation-molded (see § 1060.1). 

There was no disagreement on the 

technological feasibility of the Marine SI 

diurnal emission standard EPA is 

considering. The marine industry has 

expressed a commitment to developing 

consensus standards for the installation 

of carbon canisters in boats. However, 

they have noted that the development of 

these consensus standards will take 

time and that time would be needed for 

an orderly transition to installing the 

diurnal emission controls to their boat 

models. Therefore, as noted earlier, we 

are giving an additional 18 months of 

lead time, compared to the proposal, 

which means that the diurnal standard 

will apply starting on July 31, 2011. In 

addition, in response to concerns that 

there are many small boat builders that 

may need additional time to become 

familiar with carbon canister technology 

and learn how to install canisters in 

their boats, we are adopting interim 

allowances that will give additional 

time for a limited number of new boats. 

Small boat builders could choose 

between a percentage-based phase-in for 

one year or an allowance to produce up 

to 1,200 vessels without diurnal systems 

over the first two years. The options 

available to boat builders are described 

in more detail in Section VI.C.3 and 

Section VI.G.2.f. 

In developing the proposal, the 

majority of large nonhandheld 

equipment manufacturers indicated that 

they would be using low-permeation 

fuel lines in the near term as part of 

their current product plans. In addition, 

the Panel expressed concern that small 

equipment manufacturers who do not 

sell products in California may not 

necessarily be planning on using lowpermeation fuel lines in 2008. 

Therefore, we proposed that the fuel 

line permeation standards would take 

effect in 2008 for most nonhandheld 

equipment manufacturers and in 2009 

for small-volume equipment 

manufacturers. Given that we are not 

adopting the final rule until mid-2008, 

we have delayed the implementation of 

the low-permeation fuel line 

requirement until January 1, 2009 for 

nonhandheld equipment. We are 

keeping the 2009 implementation date 

for low-permeation fuel line for small 

businesses producing Small SI 

nonhandheld equipment. We believe 

the 2009 date is feasible for all 

equipment manufacturers, given that 

fuel line meeting the low permeation 

standards is already widely available 

and manufacturers selling most types of 

nonhandheld equipment in California 

were required to use such fuel lines 

starting in 2007 or 2008. 

(b) Fuel Tank ABT and Early-Incentive 

Program 

The Panel recommended that we 

propose ABT and early-allowance 

programs for fuel tank permeation. We 

are adopting these programs in this final 

rule. The provisions of the ABT and 

early-allowance programs are described 

above in Section VI.D. 

(c) Broad Definition of Emission Family 

The Panel recommended that we 

propose broad emission families for fuel 

tank emission families similar to the 

existing provisions for recreational 

vehicles. As described earlier in Section 

VI.F.3, we are adopting provisions that 

allow fuel tank emission families to be 

based on type of material (including 

additives such as pigments, plasticizers, 

and UV inhibitors that are expected to 

affect control of emissions), emission 

control strategy, and production 

methods. This would allow fuel tanks of 

different sizes, shapes, and wall 

thicknesses to be grouped into the same 

emission family (see § 1060.230). In 

addition, Small SI and Marine SI fuel 

tanks could be allowed in the same 

emission family if the tanks meet these 

criteria. Manufacturers therefore will be 

able to broadly group similar fuel tanks 

into the same emission family and then 

test only the configuration most likely to 

exceed the emission standard. 

(d) Compliance Progress Review for 

Marine Fuel Tanks 

During the development of the 

proposed rule, we worked closely with 

the recreational marine fuel tank 

industry to understand their products, 

business practices, and production 

processes. Information gathered from 

these interactions was used to craft the 

proposed regulatory provisions related 

to controlling gasoline fuel tank 

permeation emissions. During these 

discussions, important issues were 

identified with respect to concerns 

regarding the technical feasibility of 

controlling permeation emissions from 

rotation-molded tanks made from crosslink polyethylene (XLPE). 

Manufacturers asserted that the 

availability of rotation-molded fuel 

tanks is critical to the marine industry. 

This type of fuel tank is installed in 

many recreational marine vessels 

powered by SD/I and outboard engines. 

The rotation-molding process, which 

has low capital costs relative to 

injection molding, facilitates the 

economical production of fuel tanks in 

the low production volumes required by 

boat builders. Furthermore, plastic fuel 

tanks offer advantages over metal fuel 

tanks, both in terms of cost and 

corrosion resistance. The advantages of 

XLPE over other plastics used in fuel 

tanks today, such as HDPE, are its 

compatibility with the rotation-molding 

process and the ability of XLPE fuel 

tanks to meet the U.S. Coast Guard 

safety tests, especially the flameresistance test. Nearly all manufacturers 

of rotation-molded marine fuel tanks 

qualify as small businesses under this 

rule. 

We have concluded that the 2012 fuel 

permeation standards are 

technologically feasible for rotationmolded marine fuel tanks. This 

conclusion is supported by data 

presented in the Final RIA. As can be 

seen from the comments on the 

proposed rule and related information 

in the public docket, several rotationmolded tank manufacturers support 

EPA’s proposed standards and 

implementation dates and have 

provided information to support their 

positions. We originally proposed tank 

permeation standards for these fuel 

tanks in 2002. Since that time, several 

manufacturers have shown progress in 

the development of low-permeation, 

rotation-molded tanks. In addition, this 

rule provides about 36 months of lead 

time for these manufacturers to address 

remaining technology issues, certify 

their products, and prepare for 

production of certified fuel tanks. 

However, several other rotationmolded tank manufacturers are not as 

far along in their technological progress 

toward meeting the standards and are 

not certain about their ability to meet 

EPA requirements in 2012. To address 

this situation, these manufacturers have 

requested that EPA perform a technical 

review in 2010 to determine whether 

the compliance dates should be 

adjusted. However, for the reasons 

discussed above, we believe that the 

tank permeation standards have been 

demonstrated to be technologically 

feasible in the 2012 time frame and do 

not look favorably upon the request for 

a technology review of the permeation 

standard. 

Nevertheless, we are concerned about 

the potential long-term impacts on the 

small businesses that have not yet 

developed technologies that meet the 

new emission standards. Although 

marine fuel tanks must comply with 

Coast Guard safety regulations, marine 

fuel tank manufacturers have never been 

required to certify to permeation 

standards. The rotation-molded tank 

mstockstill on PROD1PC66 with RULES2

59122 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

113 In this context, the date of production means 

the date on which the engine is installed in the 

vessel. In the case of boats using outboard engines, 

it is the date on which the fuel tank is installed. 

manufacturers are generally small 

businesses with limited engineering 

staffs and are dependent on materials 

suppliers for their raw materials. 

During the next few years, EPA 

intends to hold periodic progress 

reviews with small businesses that make 

rotation-molded fuel tanks. The purpose 

of these progress reviews will be to 

monitor the progress of individual 

companies towards compliance with the 

tank permeation standards and to 

provide feedback as needed. Rather than 

conducting a broad program with the 

entire industry, we plan to conduct 

separate, voluntary reviews with each 

interested company. These sessions will 

be instrumental to EPA in following the 

progress for these companies and 

assessing their efforts and potential 

problems. 

To help address small business 

concerns, we are relying on the smallvolume manufacturer hardship relief 

provisions in 40 CFR 1068.250. These 

provisions are described below. In the 

event that a small business is 

unsuccessful in the 2012 model year 

and seeks hardship relief, the progress 

reviews described above would provide 

an important foundation in determining 

whether a manufacturer has taken all 

possible steps to comply with the 

permeation standards in a timely 

manner. 

(e) Design-Based Certification 

For recreational vehicles, 

manufacturers using metal fuel tanks 

may certify by design to the tank 

permeation standards. Tanks using 

design-based certification provisions are 

not included in the ABT program 

because they are assigned a certification 

emission level equal to the standard. 

The Panel recommended that we 

propose to allow design-based 

certification for metal tanks and plastic 

fuel tanks with a continuous EVOH 

barrier. The Panel also recommended 

that we propose design-based 

certification for carbon canisters. A 

detailed description of the new designbased certification options we are 

adopting is presented earlier in Section 

VI.F.8 of this document. 

The National Marine Manufacturers 

Association (NMMA), the American 

Boat and Yacht Council (ABYC), and the 

Society of Automotive Engineers (SAE) 

have industry-recommended practices 

for boat designs that must be met as a 

condition of NMMA membership. 

NMMA stated that they are working to 

update these recommended practices to 

include installation instructions for 

carbon canisters and design 

specifications for low-permeation fuel 

lines. The Panel recommended that EPA 

accept data used for meeting the 

voluntary requirements as part of the 

EPA certification. We will allow this 

data to be used as part of EPA 

certification as long as it is collected 

consistent with the test procedures and 

other requirements described in this 

final rule. 

(f) Marine Diurnal Allowances 

As described above, manufacturers 

expressed concern that many smallvolume boat builders may need 

additional time to develop installation 

procedures and install carbon canisters 

in their boats. To address this, we are 

establishing an interim allowance 

program that will give additional time 

for these manufacturers for a certain 

number of boats. Under this program, 

each small-volume boat builder will be 

allowed to sell these boats without the 

diurnal emission controls that would 

otherwise be required. These allowances 

are intended to help small boat builders 

engage in an orderly transition to the 

new standards and will only be 

available for boats produced in the first 

two years of the program. This 

allowance program applies only to boats 

with installed fuel tanks that are 

expected to use carbon canisters to meet 

the diurnal emission standards. 

Therefore, it does not apply to portable 

fuel tanks, personal watercraft, or 

outboard engines with under-cowl fuel 

tanks. If a small-volume boat builder 

chooses to use this allowance provision, 

then the 50 percent phase-in for the first 

year, as described in Section VI.C.3, 

would not apply. 

Specifically, each small-volume boat 

builder will have a total of 1,200 

allowances that may be used, at the 

manufacturer’s discretion, for boats 

produced from July 31, 2011 through 

July 31, 2013.113 For instance, a small 

boat builder could produce 800 boats in 

the first year and 400 in the second year 

without diurnal emission controls. For 

most small boat builders, we expect that 

this allowance program will result in an 

additional year, or even two years, of 

lead time for them to address potential 

installation issues related to carbon 

canisters. 

Under this diurnal allowance 

approach for small-volume boat 

builders, such boat builders will only 

need to place a label on the vessel with 

a statement acknowledging that an 

allowance is being used. In addition, the 

small-volume boat builder must notify 

EPA of its intent to use the allowances 

prior to producing any exempted 

vessels. The small-volume boat builder 

must also maintain records of the 

number of allowances used and submit 

a report to EPA showing the number of 

allowances used in each year. Note that 

boats exempted from diurnal 

requirements must still use fuel lines 

and fuel tanks that meet permeation 

standards. 

(g) Hardship Provisions 

We are adopting two types of 

hardship provisions consistent with the 

Panel recommendations. EPA used the 

SBA size standards for purposes of 

defining ‘‘small businesses’’ for its 

regulatory flexibility analysis. The 

eligibility criteria for the hardship 

provisions described below reflect 

EPA’s consideration of the Panel’s 

recommendations and a reasonable 

application of existing hardship 

provisions. As has been our experience 

with similar provisions already adopted, 

we anticipate that hardship mechanisms 

will be used sparingly. First, under the 

unusual circumstances hardship 

provision, any manufacturer subject to 

the new standards may apply for 

hardship relief if circumstances outside 

its control cause the failure to comply 

and if failure to sell the subject engines 

or equipment or fuel system component 

would have a major impact on the 

company’s solvency (see § 1068.245). 

An example of an unusual circumstance 

outside a manufacturer’s control may be 

an ‘‘Act of God,’’ a fire at the 

manufacturing plant, or the unforeseen 

shutdown of a supplier with no 

alternative available. The terms and 

time frame of the relief will depend on 

the specific circumstances of the 

company and the situation involved. As 

part of its application for hardship, a 

company will be required to provide a 

compliance plan detailing when and 

how it will achieve compliance with the 

standards. This hardship provision will 

be available to all manufacturers of 

engines, equipment, boats, and fuel 

system components subject to the new 

standards, regardless of business size. 

Second, an economic hardship 

provision allows small businesses 

subject to the new standards to petition 

EPA for limited additional lead time to 

comply with the standards (see 

§ 1068.250). A small business must 

make the case that it has taken all 

possible business, technical, and 

economic steps to comply, but the 

burden of compliance costs would have 

a significant impact on the company’s 

solvency. Hardship relief could include 

requirements for interim emission 

reductions and/or the purchase and use 

of emission credits. The length of the 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59123 

hardship relief decided during review of 

the hardship application will be up to 

one year, with the potential to extend 

the relief as needed. We anticipate that 

one to two years will normally be 

sufficient. As part of its application for 

hardship, a company will be required to 

provide a compliance plan detailing 

when and how it will achieve 

compliance with the standards. 

The criteria for determining which 

manufacturers are eligible for the 

economic hardship (as well as other 

small-volume manufacturer flexibilities 

described in this section) are presented 

in Sections III.F.2 and IV.G for Marine 

SI engine manufacturers; in Section 

V.F.2 for nonhandheld engine 

manufacturers; and in Section V.F.3 for 

nonhandheld equipment manufacturers. 

For handheld equipment manufacturers, 

EPA is using the existing small-volume 

manufacturer criterion, which relies on 

a production cut-off of 25,000 pieces of 

handheld equipment per year. For boat 

builders and fuel-system component 

manufacturers, EPA is basing the 

determination of whether a company is 

a small business eligible for the 

hardship provision on the SBA size 

standards at 13 CFR 121. Under SBA 

size standards, a boat builder or fuelsystem component manufacturer is a 

small business if it has 500 or fewer 

employees. 

The criteria for determining which 

manufacturers are eligible for the 

economic hardship (as well as other 

small-volume manufacturer flexibilities 

described in this section) are presented 

in Sections III.F.2 and IV.G for Marine 

SI engine manufacturers; in Section 

V.F.2 for nonhandheld engine 

manufacturers; and in Section V.F.3 for 

nonhandheld equipment manufacturers. 

For handheld equipment manufacturers, 

EPA is using the existing small-volume 

manufacturer criterion, which relies on 

a production cut-off of 25,000 pieces of 

handheld equipment per year. For boat 

builders and fuel-system component 

manufacturers, EPA is basing the 

determination of whether a company is 

a small business on the SBA definition. 

Under SBA regulations, a boat builder 

or fuel-system component manufacturer 

is a small business if it has 500 or fewer 

employees. 

Because many boat builders, 

nonhandheld equipment manufacturers, 

and handheld equipment manufacturers 

will depend on fuel tank manufacturers 

and fuel line manufacturers to supply 

certified products in time to produce 

complying vessels and equipment, we 

are also establishing a hardship 

provision for all Marine SI vessel 

manufacturers and Small SI equipment 

manufacturers, regardless of size. The 

hardship provision allows the boat 

builder or equipment manufacturer to 

request more time if they are unable to 

obtain a certified fuel-system 

component and they are not at fault and 

would otherwise face serious economic 

hardship (see § 1068.255). 

H. Technological Feasibility 

We believe there are several strategies 

that manufacturers can use to meet the 

new evaporative emission standards. 

We have collected and will continue to 

collect emission test data on a wide 

range of technologies for controlling 

evaporative emissions. The designbased certification levels discussed 

above rely on this test data and we may 

amend the list of approved designs and 

emission levels as more data become 

available. 

In the following sections we briefly 

describe how we selected specific 

emission standards and implementation 

dates, followed by a more extensive 

discussion of the expected emission 

control technologies. A more detailed 

discussion of the feasibility of the new 

evaporative requirements, including all 

the underlying test data, is included in 

Chapter 5 of the Final RIA. See Table 

VI–1 for a summary of the new 

evaporative emission standards. 

(1) Level of Standards 

The fuel line and fuel tank 

permeation standards for Small SI 

equipment and Marine SI vessels are 

based on the standards already adopted 

for recreational vehicles. These 

applications use similar technology in 

their fuel systems. In cases where the 

fuel systems differ we have identified 

technological approaches that could be 

used to meet these same emission 

levels. The control strategies are 

discussed below. For fuel lines used 

with cold-weather equipment, we are 

adopting a relaxed set of standards 

based on available permeation data. In 

addition, we have new higher numerical 

standards for fuel tank permeation for 

tests performed at higher temperature 

(40 °C vs. 28 °C). These higher 

numerical standards are based on data 

described in Chapter 5 of the Final RIA. 

For fuel tanks installed in personal 

watercraft and for portable marine fuel 

tanks, we are adopting diurnal emission 

standards based on the current 

capabilities of these systems. We are 

basing the new standard for other 

installed marine fuel tanks on the 

capabilities of passive systems that store 

emitted vapors in a carbon canister. The 

Final RIA describes the test results on 

passively purged canisters and other 

technologies that led us to the level of 

the diurnal emission standard. 

We measured running loss emissions 

and found that some Small SI products 

have very high emission levels. The 

large variety of manufacturers and 

equipment types makes it impractical to 

design a measurement procedure, which 

means that we are unable to specify a 

performance standard. We are instead 

adopting a design standard for running 

losses from nonhandheld Small SI 

equipment by specifying that 

manufacturers may use any of a variety 

of specified design solutions, as 

described in Section VI.C.5. Several of 

these design options are already in 

common use today. 

We are requiring that equipment and 

vessel manufacturers use good 

engineering practices in their designs to 

minimize refueling spitback and 

spillage. In general, the regulation 

simply requires manufacturers to use 

system designs that are commonly used 

today. Several refueling spitback and 

spillage control strategies are discussed 

in Chapter 5 of the Final RIA. 

(2) Implementation Dates 

Low-permeation fuel line is widely 

available today. Many Small SI 

equipment manufacturers certifying to 

permeation standards in California are 

selling products with low-permeation 

fuel line nationwide. In addition, many 

boat builders have begun using lowpermeation marine fuel lines to feed 

fuel from the fuel tank to the engine. For 

this reason, we are implementing the 

fuel line permeation standards in 2009 

for nonhandheld Small SI equipment 

and for Marine SI vessels. The dates 

provide more than two years additional 

lead time beyond the California 

requirements for Small SI equipment. 

For handheld equipment, there are no 

fuel line permeation requirements in 

California. In addition, injection molded 

fuel lines are common in many 

applications rather than straight-run 

extruded fuel line. For this reason we 

are delaying implementation of fuel line 

permeation standards for handheld 

equipment until 2012 (or 2013 for small 

volume emission families). Primer bulbs 

and many of the fuel line segments used 

under the cowl of outboard marine 

engines are also injection molded. In 

addition, these fuel lines are not subject 

to standards in California. We are 

providing additional lead time for 

manufacturers to address emissions 

from these fuel lines as well. The 

permeation standard begins in 2011 for 

primer bulbs used with marine fuel 

lines; permeation standards for undercowl fuel lines phase in between 2010 

and 2015. 

Similar to fuel line technology, lowpermeation fuel tank constructions are 

mstockstill on PROD1PC66 with RULES2

59124 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

114Society of Automotive Engineers Surface 

Vehicle Standard, ‘‘Personal Watercraft Fuel 

Systems,’’ SAE J2046, Issues 1993–01–19 (Docket 

EPA–HQ–OAR–2004–0008–0179). 

used today in automotive and portable 

fuel tank applications. This technology 

has been developed for use in 

recreational vehicles and for Small SI 

equipment sold in California. The 

available technology options include 

surface treatment and multi-layer 

constructions, though rotation-molding 

presents some unique design challenges. 

Based on discussions with fuel tank 

manufacturers, and our own assessment 

of the lead time necessary to change 

current industry practices, we believe 

low-permeation fuel tank technology 

can be applied in the 2011–2012 model 

years for Small SI and Marine SI fuel 

tanks. We are implementing the fuel 

tank permeation standards in 2011 for 

Class II equipment, portable marine fuel 

tanks and personal watercraft. For Class 

I equipment and other installed marine 

fuel tanks, the implementation date is 

2012. We are phasing in the handheld 

fuel tank standards on the following 

schedule: 2009 for equipment models 

certifying in California, 2011 for 

structurally integrated nylon tanks, 2013 

for small-volume families, and 2010 for 

the remaining fuel tanks used with 

handheld equipment. We believe this 

will facilitate an orderly transition from 

current fuel tank designs to lowpermeation fuel tanks. 

We are allowing until 2012 for large 

marine fuel tanks to meet permeation 

standards largely due to concerns raised 

over the application of low-permeation 

rotation-molded fuel tank technology in 

marine applications. The majority of 

these fuel tanks are typically rotationmolded by small businesses. Although 

low-permeation technology has emerged 

for these applications, we believe the 

allotted lead time will be necessary for 

all manufacturers to be ready to 

implement this technology. This will 

give these manufacturers time to make 

changes to their production processes to 

comply with the standards and to make 

any tooling changes that may be 

necessary. We are similarly 

implementing the fuel tank permeation 

standards for Class I fuel tanks installed 

in Small SI equipment in 2012, mostly 

to align with the implementation date 

for the Phase 3 exhaust emission 

standards. This is especially important 

for Class I engines where most of the 

engine manufacturers will also be 

responsible for meeting evaporative 

emission standards. 

We are implementing the running loss 

standards for nonhandheld Small SI 

equipment in the same year as the 

exhaust emission standards. We believe 

this is appropriate because the running 

loss vapor will in some cases be routed 

to the intake manifold for combustion in 

the engine. Manufacturers will need to 

account for the effect of the additional 

running loss vapor in their engine 

calibrations. 

We are implementing the new diurnal 

standards for portable marine fuel tanks 

on January 1, 2010 and for personal 

watercraft beginning with the 2010 

model year. We believe these 

requirements will not result in a 

significant change from current practice 

so the dates will provide sufficient lead 

time for manufacturers to comply with 

standards. For other installed fuel tanks, 

however, we are adopting a later 

implementation date beginning in mid2011. The development of canisters as 

an approach to control diurnal 

emissions without pressurizing the 

tanks has substantially reduced the 

expected level of effort to redesign and 

retool for making fuel tanks. However, 

canister technology has not yet been 

applied commercially to marine 

applications and the final rule includes 

added lead time for manufacturers to 

work out various technical parameters 

associated with the large variety of boat 

models and tanks. 

(3) Technological Approaches 

We believe several emission control 

technologies can be used to reduce 

evaporative emissions from Small SI 

equipment and Marine SI vessels. These 

emission control strategies are discussed 

below. Chapter 5 of the Final RIA 

presents more detail on these 

technologies and Chapter 6 provides 

information on the estimated costs. 

(a) Fuel Line Permeation 

Fuel lines produced for use in Small 

SI equipment and Marine SI 

applications are generally extruded 

nitrile rubber with a cover for abrasion 

resistance. Fuel lines used in Small SI 

applications often meet SAE J30 R7 

specifications, including a permeation 

limit of 550 g/m2/day at 23 °C on ASTM 

Fuel C. Fuel lines for personal 

watercraft are typically designed to meet 

SAE J2046, which includes a 

permeation limit of 300 g/m2/day at 23 

°C on ASTM Fuel C.114 Marine fuel 

lines subject to Coast Guard 

requirements under 33 CFR part 183 are 

designated as either Type A or Type B 

and either Class 1 or Class 2. SAE J1527 

provides detail on these fuel line 

designs. Type A fuel lines pass the U.S. 

Coast Guard fire test while Type B 

designates fuel lines that have not 

passed this test. Class 1 fuel lines are 

intended for fuel-feed lines where the 

fuel line is normally in contact with 

liquid fuel and has a permeation limit 

of 100 g/m2/day at 23 °C. Class 2 fuel 

lines are intended for vent lines and fuel 

fill necks where liquid fuel is not 

continuously in contact with the fuel 

line; it has a permeation limit of 300 g/ 

m2/day at 23 °C. Recently, SAE J1527 

has been modified to include a ‘‘¥15’’ 

designation for fuel lines meeting a 

permeation limit of 15 g/m2/day at 23 °C 

on fuel CE10. In general practice, most 

boat builders use Class 1 fuel lines for 

both vent lines and fuel-feed lines to 

avoid carrying two types of fuel lines. 

Most fuel fill necks, which have a much 

larger diameter and are constructed 

differently, use materials meeting 

specifications for Class 2 fuel lines. 

Low-permeability fuel lines are in 

production today. One fuel line design, 

already used in some marine 

applications, uses a thermoplastic layer 

between two rubber layers to control 

permeation. This thermoplastic barrier 

may be either nylon or ethyl vinyl 

acetate. Barrier approaches in 

automotive applications include fuel 

lines with fluoroelastomers such as 

FKM and fluoroplastics such as Teflon 

and THV. In addition to presenting data 

on low-permeation fuel lines, Chapter 5 

of the Final RIA lists several fuel-system 

materials and their permeation rates. 

Molded rubber fuel line components, 

such as conventional primer bulbs and 

some handheld fuel lines, could meet 

the standard by using a fluoroelastomer 

such as FKM. The Final RIA also 

discusses low-permeation materials that 

retain their flexibility at low 

temperatures. 

Automotive fuel lines made of lowpermeation plastic tubing are generally 

made from fluoroplastics. An added 

benefit of these low-permeability fuel 

lines is that some fluoropolymers can be 

made to conduct electricity and 

therefore prevent the buildup of static 

charges. This type of fuel line can 

reduce permeation by more than an 

order of magnitude below the level 

associated with barrier-type fuel lines, 

but it is relatively inflexible and will 

need to be molded in specific shapes for 

each equipment or vessel design. 

Manufacturers have commented that 

they need flexible fuel lines to fit their 

many designs, resist vibration, prevent 

kinking, and simplify connections and 

fittings. An alternative to custom 

molding is to manufacture fuel lines 

with a corrugated profile (like a vacuum 

hose). Producing flexible fluoropolymer 

fuel lines is somewhat more expensive 

but the result is a product that meets 

emission standards without 

compromising in-use performance or 

ease of installation. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59125 

(b) Fuel Tank Permeation 

Blow-molding is widely used for the 

manufacture of Small SI, portable 

marine, and PWC fuel tanks. 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, lowpermeation 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 two outside layers 

of HDPE that make up most of the 

thickness of the fuel tank walls. 

However, multi-layer construction 

requires additional extruder screws, 

which significantly increases the cost of 

the blow-molding process. One 

manufacturer has developed a two-layer 

barrier approach using a polyarylamide 

inner liner. This technology is not in 

production yet but appears to be capable 

of permeation levels similar to the 

traditional EVOH barrier designs. This 

approach will enable blow-molding of 

low-permeation fuel tanks with only 

one additional extruder screw. 

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 the two 

sides of the fuel tank (e.g., top and 

bottom), which are then fused together. 

To add a barrier layer, a thin sheet of the 

barrier material is placed inside the 

mold before injecting 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 lowpermeation resin with the HDPE and 

extrude it with a single screw to create 

barrier platelets. The trade name 

typically used for this permeation 

control strategy is Selar. The lowpermeability resin, typically EVOH or 

nylon, creates noncontinuous platelets 

in the HDPE fuel tank to reduce 

permeation by creating long, tortuous 

pathways that the hydrocarbon 

molecules must navigate to escape 

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 so it will likely be the preferred 

material for meeting the new standard 

based on testing with a 10 percent 

ethanol fuel. 

Many fuel tanks for Small SI 

equipment are injection-molded out of 

either HDPE or nylon. Injection-molding 

can be used with lower production 

volumes than blow-molding due to 

lower tooling costs. In this method, a 

low-viscosity polymer is forced into a 

thin mold to create the two sides of the 

fuel tank; these are then fused together 

using vibration, hot plate or sonic 

welding. A strategy such as Selar has 

not been demonstrated to work with 

injection-molding due to high shear 

forces. 

An alternative to injection-molding is 

thermoforming, which is also costeffective for lower production volumes. 

In this process, sheet material is heated 

and then drawn into two vacuum dies. 

The two halves are then fused while the 

plastic is still molten to form the fuel 

tank. Low-permeation fuel tanks can be 

constructed using this process by using 

multi-layer sheet material. This multilayer sheet material can be extruded 

using materials similar to those used 

with multi-layer blow-molded fuel tank 

designs. A typical barrier construction 

includes a thin EVOH barrier, adhesion 

layers on both sides, a layer of HDPE 

regrind, and outside layers of pure 

virgin HDPE. 

Regardless of the molding process, 

another type of low-permeation 

technology for HDPE fuel tanks will be 

to treat the surfaces 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, batches of 

fuel tanks are generally processed postproduction 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. Fluorinating with this 

process treats both the inside and 

outside surfaces of the fuel tank, thereby 

improving the reliability and durability 

of the permeation-resistance. As an 

alternative, blow-molded fuel tanks can 

be fluorinated during production by 

exposing the inside surface of the fuel 

tank to fluorine during the molding 

process. However, this method may not 

prove as effective as post-production 

fluorination. 

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 sulfonation processes can be 

used to reduce gasoline permeation by 

more than 95 percent. 

A fourth method for molding plastic 

fuel tanks is called rotation-molding. 

Rotation-molding is a lower-cost 

alternative for smaller production 

volumes. In this method, a mold is filled 

with a powder form of polyethylene 

with a catalyst material. While the mold 

is rotated in an oven, the heat melts the 

plastic. When cross-link polyethylene 

(XLPE) is used, this heat activates a 

catalyst in the plastic, which causes a 

strong cross-link material structure to 

form. This method is often used for 

relatively large fuel tanks in Small SI 

equipment and for installed marine fuel 

tanks. The advantages of this method 

are low tooling costs, which allows for 

smaller production volumes, and 

increased strength and flame resistance. 

Flame resistance is especially important 

for installed marine fuel tanks subject to 

33 CFR part 183. At this time, the 

barrier treatment approaches discussed 

above for HDPE have not been 

demonstrated to be effective for XLPE. 

We have evaluated two permeation 

control approaches for rotation-molded 

fuel tanks. The first is to form an inner 

layer during the molding process. 

Historically, the primary approach for 

this is to use a drop box that opens after 

the XLPE tank begins to form. However, 

processes have been developed that 

eliminate the need for a drop box. With 

this construction a low-permeation 

inner liner can be molded into the fuel 

tank. Manufacturers are currently 

developing acetyl copolymer, nylon, 

and polybutylene terephthalate inner 

liners for this application. In fact, one 

fuel tank manufacturer is already selling 

tanks with a nylon inner liner into Class 

II Small SI equipment applications. 

Initial testing suggests that these barrier 

layers could be used to achieve the new 

standards. 

The second approach to creating a 

barrier layer on XLPE rotation-molded 

fuel tanks is to use an epoxy barrier 

coating. One manufacturer has 

demonstrated that a low-permeation 

barrier coating can adhere to an XLPE 

fuel tank resulting in a permeation rate 

below the new standard. In this case, 

the manufacturer used a low level of 

fluorination to increase the surface 

energy of the XLPE so the epoxy will 

adhere properly. 

mstockstill on PROD1PC66 with RULES2

59126 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

115U.S. Coast Guard regulations in 33 CFR 

183.586 require that marine fuel tanks must be 

designed to withstand 25,000 pressure cycles from 

0–3 psi. Even though marine fuel tanks typically 

can withstand this pressure cycling without damage 

to the tank, the tanks tend to deform significantly 

when under pressure. 

Marine fuel tanks are sometimes also 

fabricated out of either metal or 

fiberglass. Metal does not permeate so 

tanks that are constructed and installed 

properly to prevent corrosion should 

meet the new standards throughout 

their full service life. For fiberglass fuel 

tanks, one manufacturer has developed 

a composite that has been demonstrated 

to meet the new fuel tank permeation 

standard. Permeation control is 

achieved by incorporating fillers into a 

resin system and coating the assembled 

tank interior and exterior. This filler is 

made up of nanocomposites (very small 

particles of treated volcanic ash) which 

are dispersed into a carrier matrix. 

These particles act like the barrier 

platelets discussed above by creating a 

tortuous pathway for hydrocarbon 

migration through the walls of the fuel 

tank. 

(c) Diurnal 

Portable marine fuel tanks are 

currently equipped with a valve that can 

be closed by the user when the tank is 

stored to contain vapor within the fuel 

tank. These fuel tanks are designed to 

hold the pressure that builds up when 

a sealed fuel tank undergoes normal 

daily warming. This valve must be 

opened when the engine is operating to 

prevent a vacuum from forming in the 

fuel tank as the fuel level in the tank 

decreases. A vacuum in the fuel tank 

could prevent fuel from being drawn 

into the engine. Because the valve is 

user-controlled, any emission control is 

dependent on user behavior. This can be 

corrected by replacing the usercontrolled valve with a simple one-way 

valve in the fuel cap. For instance, a 

diaphragm valve that is common in 

many automotive applications seals 

when under positive pressure but opens 

at low-vacuum conditions. 

Personal watercraft currently use 

sealed systems with pressure-relief 

valves that start venting vapors when 

pressures reach a threshold that ranges 

from 0.5 to 4.0 psi. We believe the new 

standard can be met through the use of 

a sealed fuel system with a 1.0 psi 

pressure-relief valve. Personal 

watercraft should therefore be able to 

meet the new standard with little or no 

change to current designs. 

For other vessels with installed fuel 

tanks, manufacturers have commented 

that even 1.0 psi of pressure would be 

too high for their applications.115 They 

expressed concern that their fuel tanks 

had large, flat surfaces that would 

deform or leak at pressures of 0.5 psi or 

higher. This concern led us to consider 

several technologies for controlling 

diurnal emissions without pressurizing 

the tank, including carbon canisters, 

volume-compensating air bags, and 

bladder fuel tanks. 

The primary evaporative emission 

control device used in automotive 

applications is a carbon canister. With 

this technology, vapor generated in the 

tank is vented to a canister containing 

activated carbon. The fuel tank must be 

sealed such that the only venting that 

occurs is through the carbon canister. 

This prevents more than a minimal 

amount of positive or negative pressure 

in the tank. The activated carbon 

collects and stores the hydrocarbons. 

The activated carbon bed in automotive 

canisters is refreshed by drawing air 

over the carbon to purge the 

hydrocarbon vapors and route them to 

the engine’s air intake where they are 

eventually burned as fuel for the engine. 

In a marine application, routing 

purged vapors to the engine’s intake is 

not practical because of the potential 

complications with the engine and tank 

created by the variety of manufacturers 

and engine/tank configurations in the 

fleet each year. Therefore, canisters 

were not originally considered to be a 

practical technology for controlling 

diurnal vapor from boats. Since that 

time, however, we have collected 

information showing that the canister is 

purged sufficiently during cooling 

periods to substantially reduce diurnal 

emissions. When the fuel in the tank 

cools, fresh air is drawn back through 

the canister into the fuel tank. This fresh 

air partially purges the canister and 

returns hydrocarbons to the fuel tank. 

This creates open sites in the carbon so 

the canister can again collect vapor 

during the next heating event. Test data 

presented in Chapter 5 of the Final RIA 

show that a canister starting from empty 

is more than 90 percent effective until 

it reaches the point of saturation. Once 

it reaches saturation, a canister is still 

capable of reducing diurnal emissions 

by more than 60 percent due to the 

normal airflow across the canister bed 

during cooling periods. Adding active 

purging to route vapors to the engine’s 

air intake during engine operation 

would improve the level of control 

somewhat, depending on how often the 

engine is operated. 

Manufacturers have raised the 

concern that it is common for fuel to 

pass out the vent line during refueling. 

If there were a canister in the vent line 

it would become saturated with fuel. 

While this would not likely cause 

permanent damage to the canister, we 

believe marine fuel systems should 

prevent liquid fuel from exiting the vent 

line for both environmental and safety 

reasons. A float valve or small orifice in 

the entrance to the vent line from the 

fuel tank would prevent liquid fuel from 

reaching the canister or escaping from 

the tank. Any pressure build-up from 

such a valve would cause fuel to back 

up the fill neck and shut off the fuel 

dispensing nozzle as it now does in 

automotive applications. In addition, a 

vapor space should be included to 

account for fuel expansion. 

Manufacturers have also expressed 

concerns for canister durability in 

marine applications due to vibration, 

shock, and humidity. However, there 

are now marine grades of activated 

carbon that are harder and more 

moisture-resistant than typical 

automotive carbon. Manufacturers 

installed canisters equipped with the 

marine grade carbon on 14 boats in a 

pilot program and encountered no 

problems. This is discussed in more 

detail in Chapter 5 of the Final RIA. 

Another concept for minimizing 

pressure in a sealed fuel tank is through 

the use of a volume-compensating air 

bag. The purpose of the bag is to fill up 

the vapor space above the liquid fuel. 

By minimizing the vapor space, the 

equilibrium concentration of fuel vapors 

occupies a smaller volume, resulting in 

a smaller mass of vapors. As the 

equilibrium vapor concentration 

increases with increasing temperature, 

the vapor space expands, which forces 

air out of the bag through the vent to 

atmosphere. Because the bag volume 

decreases to compensate for the 

expanding vapor space, total pressure 

inside the fuel tank stays very close to 

atmospheric pressure. Once the fuel 

tank cools in response to cooling 

ambient temperatures the resulting 

vacuum in the fuel tank would make the 

bag expand again by drawing air from 

the surrounding environment. Our test 

results show that pressure could be kept 

below 0.8 psi using a bag with a 

capacity equal to 25 percent of the fuel 

tank capacity. The use of a volumecompensating air bag, in conjunction 

with a pressure-relief valve, would be 

very effective in controlling diurnal 

emissions. 

Probably the most effective 

technology for reducing diurnal 

emissions from marine fuel tanks is 

through the use of a collapsible fuel 

bladder. In this concept, a lowpermeation bladder is installed in the 

fuel tank to hold the fuel. As fuel is 

drawn from the bladder the vacuum 

created collapses the bladder. There is, 

therefore, no vapor space and no 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59127 

pressure build-up from fuel heating. No 

vapors would be vented to the 

atmosphere since the bladder is sealed. 

This option could also eliminate 

running loss emissions and significantly 

reduce emissions during refueling that 

would normally result from dispensed 

fuel displacing vapor in the fuel tank. 

We have received comments that this 

would be cost-prohibitive because it 

could increase costs from 30 to 100 

percent, depending on tank size. 

However, bladder fuel tanks have safety 

advantages and they are already sold by 

at least one manufacturer to meet 

market demand in niche applications. 

(d) Running Loss 

Running loss emissions can be 

controlled by sealing the fuel cap and 

routing vapors from the fuel tank to the 

engine intake. In doing so, vapors 

generated by heat from the engine will 

be burned in the engine’s combustion 

chamber. It may be necessary to use a 

valve or limited-flow orifice in the 

purge line to prevent too much fuel 

vapor from reaching the engine and to 

prevent liquid fuel from entering the 

line if the equipment turns over. 

Depending on the configuration of the 

fuel system and purge line, a one-way 

valve in the fuel cap may be desired to 

prevent a vacuum in the fuel tank 

during engine operation. We anticipate 

that a system like this will eliminate 

running loss emissions. However, 

higher temperatures during operation 

and the additional length of vapor line 

will slightly increase permeation. 

Considering these effects, we still 

believe that the system described here 

will reduce running losses from Small 

SI equipment by more than 90 percent. 

We are not adopting requirements to 

control running loss emissions from 

marine vessels. For portable marine fuel 

tanks and fuel tanks installed in vessels 

other than personal watercraft we 

expect the significant distance from the 

engine and the cooling effect of 

operating the vessel in water to prevent 

significant heating of the fuel tanks 

during engine operation. For personal 

watercraft, fuel tanks have a sealed 

system with pressure relief that should 

help contain running loss emissions. 

For other installed fuel tanks, we expect 

the system for controlling diurnal 

emissions will capture about half of any 

running losses that would occur. 

(e) Diffusion 

A secondary benefit of the running 

loss control described above for Small 

SI equipment relates to diffusion 

emissions. In a system that vents 

running loss vapors to the engine, 

venting vapors will be routed through 

the vapor line to the engine intake, 

rather than through open vents in the 

fuel cap. This approach should therefore 

eliminate diffusion emissions. 

In the case of marine vessels, 

diffusion emissions are generally 

minimal due to long vent lines on the 

fuel tanks or the use of sealed fuel tanks. 

Further, the addition of diurnal 

emission controls will effectively 

control diffusion emissions. 

(4) Regulatory Alternatives 

We considered both less and more 

stringent evaporative emission control 

alternatives for fuel systems used in 

Small SI equipment and Marine SI 

vessels. Chapter 11 of the Final RIA 

presents details on this analysis of 

regulatory alternatives. The results of 

this analysis are summarized below. We 

believe the new permeation standards 

are reflective of available technology 

and represent a step change in emission 

performance. Therefore, we consider the 

same permeation control scenario in the 

less stringent and more stringent 

regulatory alternatives. 

For Small SI equipment, we 

considered a less stringent alternative 

without running loss emission 

standards for Small SI engines. 

However, we believe controlling 

running loss emissions from 

nonhandheld equipment is feasible at a 

relatively low cost. Running loss 

emissions can be controlled by sealing 

the fuel cap and routing vapors from the 

fuel tank to the engine intake. Not 

requiring these controls is inconsistent 

with section 213 of the Clean Air Act. 

For a more stringent alternative, we 

considered applying a diurnal emission 

standard for all Small SI equipment. We 

believe passively purging carbon 

canisters could reduce diurnal 

emissions by 50 to 60 percent from 

Small SI equipment. However, we 

believe there would be significant costs 

to add carbon canisters to all Small SI 

equipment nationwide, especially when 

taking packaging and vibration into 

account. The cost sensitivity is 

especially noteworthy given the 

relatively low emissions levels (on a 

per-equipment basis) from such small 

fuel tanks. 

For marine vessels, we considered a 

less stringent alternative, where there 

would be no diurnal emission standard 

for vessels with installed fuel tanks. 

However, installed fuel tanks on marine 

vessels have much higher capacities 

than those used in Small SI 

applications. Our analysis indicates that 

carbon canisters are feasible for boats at 

relatively low cost. While packaging and 

vibration are also issues with marine 

applications, we believe these issues 

have been addressed. Manufacturers 

installed carbon canisters in fourteen 

boats in a pilot program. The results 

demonstrated the feasibility of this 

technology. The new standards are 

achievable through engineering designbased certification with canisters that 

are much smaller than the fuel tanks. In 

addition, sealed systems, with pressurecontrol strategies will be accepted under 

the provisions for design-based 

certification. For a more stringent 

scenario, we considered a standard that 

would require boat builders to use an 

actively purged carbon canister. This 

means that the engine would draw air 

through the canister during operation to 

purge the canister of stored 

hydrocarbons. However, we rejected 

this option because marine engines 

operate too infrequently to consistently 

purge the canister to allow for increased 

storage of further vapor loading from the 

fuel tank. The gain in overall efficiency 

would be quite small relative to the 

complexity of integrating engine purge 

strategies and hardware into a vesselbased control strategy. The additional 

benefit of an actively purged diurnal 

control system is small in comparison to 

its cost and complexity. 

(5) Our Conclusions 

We believe the new evaporative 

emission standards reflect what 

manufacturers can achieve through the 

application of available technology. We 

believe the lead time is necessary and 

adequate for fuel tank manufacturers, 

fuel line manufacturers, engine 

manufacturers, equipment 

manufacturers, and boat builders to 

select, design, and produce evaporative 

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 when 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 5 and 6 of the Final 

RIA. As discussed in Section VII, we do 

not believe the new standards will have 

negative effects on energy, noise, or 

safety and may lead to some positive 

effects. 

VII. Energy, Noise, and Safety 

Section 213 of the Clean Air Act 

directs us to consider the potential 

impacts on safety, noise, and energy 

when establishing the feasibility of 

emission standards for nonroad engines. 

Furthermore, section 205 of EPA’s 2006 

Appropriations Act requires us to assess 

potential safety issues, including the 

risk of fire and burn to consumers in 

use, associated with the new emission 

mstockstill on PROD1PC66 with RULES2

59128 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

116 Department of the Interior, Environment, and 

Related Agencies Appropriations Act, 2006, Pub. L. 

No. 109–54, Title II, sec. 205, 119 Stat. 499, 532 

(August 2, 2005). 117 ‘‘EPA Technical Study on the Safety of 

Emission Controls for Nonroad Spark-Ignition 

Engines < 50 Horsepower,’’ Office of Transportation 

and Air Quality, U.S. Environmental Protection 

Agency, Washington, DC, EPA420–R–06–006, 

March 2006. This document is available in Docket 

EPA–HQ–OAR–2004–0008. This report was also 

subject to peer review, as described in a peer review 

report that is also available in the docket. 

118 ‘‘EPA Technical Study on the Safety of 

Emission Controls for Nonroad Spark-Ignition 

Engines < 50 Horsepower,’’ Office of Transportation 

and Air Quality, U.S. Environmental Protection 

Agency, Washington, DC, EPA420–R–06–006, 

March 2006. This document is available in Docket 

EPA–HQ–OAR–2004–0008. 

standards for nonroad spark-ignition 

engines below 50 horsepower.116 As 

detailed in the following sections, we 

expect that the new exhaust and 

evaporative emission standards will 

either have no adverse affect on safety, 

noise, and energy or will improve 

certain aspects of these important 

characteristics. A more in-depth 

discussion of these topics relative to the 

new exhaust and evaporative emission 

standards is contained in Chapters 4 

and 5 of the Final RIA, respectively. 

Also, our conclusions relative to safety 

are fully documented in our 

comprehensive safety study which is 

discussed in the next section. 

A. Safety 

We conducted a comprehensive, 

multi-year safety study of spark-ignition 

engines that focused on the four areas 

where we are adopting new emission 

standards.117 These areas are: 

• New catalyst-based HC+NOX

exhaust emission standards for Class I 

and Class II nonhandheld spark-ignition 

engines; 

• New fuel evaporative emission 

standards for nonhandheld and 

handheld equipment; 

• New HC+NOX exhaust emission 

standards for outboard and personal 

watercraft engines and vessels, and a 

new CO exhaust emission standard for 

nonhandheld engines used in marine 

auxiliary applications; and 

• New fuel evaporative emission 

standards for outboard and personal 

watercraft engines and vessels. 

Each of these four areas is discussed 

in greater detail in the next sections. 

(1) Exhaust Emission Standards for 

Small Spark-Ignition Engines 

The technology approaches that we 

assessed for achieving the new Small SI 

engine standards included exhaust 

catalyst aftertreatment and 

improvements to engine and fuel system 

designs. In addition to our own testing 

and development effort, we also met 

with engine and equipment 

manufacturers to better understand their 

designs and technology and to 

determine the state of technological 

progress beyond EPA’s Phase 2 emission 

standards. 

The scope of our safety study 

included Class I and Class II engine 

systems that are used in residential 

walk-behind and ride-on lawn mower 

applications, respectively. Residential 

lawn mower equipment was chosen for 

the following reasons. 

• Lawn mowers and the closelyrelated category of lawn tractors 

overwhelmingly represent the largest 

categories of equipment using Class I 

and Class II engines. 

• Consumer Product Safety 

Commission (CPSC) data indicate that 

more thermal burn injuries are 

associated with lawn mowers than 

occur with other nonhandheld 

equipment; lawn mowers therefore 

represent the largest thermal burn risk 

for these classes of engines. 

• General findings regarding 

advanced emission control technologies 

for residential lawn and garden 

equipment carry over to commercial 

lawn and turf care equipment as well as 

to other nonhandheld equipment using 

Class I and Class II engines. 

We conducted the technical study of 

the incremental risk on several fronts. 

First, working with CPSC, we evaluated 

their reports and databases and other 

outside sources to identify those in-use 

situations which create fire and burn 

risk for consumers. The outside sources 

included meetings, workshops, and 

discussions with engine and equipment 

manufacturers. From this information, 

we identified ten scenarios for 

evaluation that covered a 

comprehensive variety of in-use 

conditions or circumstances which 

potentially could lead to an increased 

risk in burns or fires. 

Second, we conducted extensive 

laboratory and field testing of both 

current technology (Phase 2) and 

prototype catalyst-equipped advancedtechnology engines and equipment 

(Phase 3) to assess the emission control 

performance and thermal characteristics 

of the engines and equipment. This 

testing included a comparison of 

exhaust system, engine, and equipment 

surface temperatures using still and full 

motion video thermal imaging 

equipment. 

Third, we conducted a design and 

process Failure Mode and Effects 

Analyses (FMEA) comparing current 

Phase 2 and Phase 3 compliant engines 

and equipment to evaluate incremental 

changes in risk probability as a way of 

evaluating the incremental risk of 

upgrading Phase 2 engines to meet 

Phase 3 emission standards.118 This is 

an engineering analysis tool to help 

engineers and other professional staff to 

identify and manage risk. In an FMEA, 

potential failure modes, causes of 

failure, and failure effects are identified 

and a resulting risk probability is 

calculated from these results. This risk 

probability is used by the FMEA team 

to rank problems for potential action to 

reduce or eliminate the causal factors. 

Identifying these causal factors is 

important because they are the elements 

that a manufacturer can consider to 

reduce the adverse effects that might 

result from a particular failure mode. 

Our technical work and subsequent 

analysis of all the data and information 

strongly indicate that effective catalystbased standards can be implemented 

without an incremental increase in the 

risk of fire or burn to the consumer 

either during or after using the 

equipment. Similarly, we did not find 

any increase in the risk of fire during 

refueling or in storage near typical 

combustible materials. For example, our 

testing program demonstrated that 

properly designed catalyst-mufflers 

could, in some cases, actually result in 

systems that were significantly cooler 

than many current original equipment 

mufflers. A number of design elements 

appear useful to properly managing heat 

loads including: (1) The use of catalyst 

designs that minimize CO oxidation 

through careful selection of catalyst 

size, washcoat composition, and 

precious metal loading; (2) positioning 

the catalyst within the cooling air flow 

of the engine fan or redirecting some 

cooling air over the catalyst area with a 

steel shroud; (3) redirecting exhaust 

flow through multiple chambers or 

baffles within the catalyst-muffler; and 

(4) larger catalyst-muffler volumes than 

the original equipment muffler. 

(2) Fuel Evaporative Emission Standards 

for Nonhandheld and Handheld Engines 

and Equipment 

We reviewed the fuel line and fuel 

tank characteristics for nonhandheld 

and handheld equipment and evaluated 

control technology which could be used 

to reduce evaporative emissions from 

these two subcategories. The available 

technology is capable of achieving 

reductions in fuel tank and fuel line 

permeation without an adverse 

incremental impact on safety. For fuel 

lines and fuel tanks, the applicable 

consensus safety standards, 

manufacturer specific test procedures 

and EPA requirements are sufficient to 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59129 

119 ‘‘EPA Technical Study on the Safety of 

Emission Controls for Nonroad Spark-Ignition 

Engines < 50 Horsepower,’’ Office of Transportation 

and Air Quality, U.S. Environmental Protection 

Agency, Washington, DC, EPA420–R–06–006, 

March 2006. This document is available in Docket 

EPA–HQ–OAR–2004–0008. 

ensure that there will be no increase in 

the types of fuel leaks that lead to fire 

and burn risk during in-use operation. 

Instead, these standards will reduce 

vapor emissions both during operation 

and in storage. That reduction, coupled 

with some expected equipment 

redesign, is expected to lead to 

reductions in the risk of fire or burn 

without affecting component durability. 

The Failure Mode and Effects 

Analyses, which was described in the 

previous section, also evaluated 

permeation and running loss controls on 

nonhandheld engines. We found that 

these controls will not increase the 

probability of fire and burn risk from 

those expected with current fuel 

systems, but could in fact lead to 

directionally improved systems from a 

safety perspective. Finally, the running 

loss control program being promulgated 

for nonhandheld equipment will lead to 

changes that are expected to reduce risk 

of fire during in-use operation. Moving 

fuel tanks away from heat sources, 

improving cap designs to limit leakage 

on tip over, and requiring a tethered cap 

will all help to eliminate conditions 

which lead to in-use problems related to 

fuel leaks and spillage. Therefore, we 

believe the application of emission 

control technology to reduce 

evaporative emissions from these fuel 

lines and fuel tanks will not lead to an 

increase in incremental risk of fires or 

burns and in some cases is likely to at 

least directionally reduce such risks. 

(3) Exhaust Emission Standards for 

Outboard and Personal Watercraft 

Marine Engines and Vessels and Marine 

Auxiliary Engines 

Our analysis of exhaust emission 

standards for OB/PWC engines and 

marine auxiliary engines found that the 

U.S. Coast Guard (USCG) has 

comprehensive safety standards that 

apply to engines and fuel systems used 

in these vessels. Additionally, 

organizations such as the Society of 

Automotive Engineers, Underwriters 

Laboratories, and the American Boat 

and Yacht Council (ABYC) also have 

safety standards that apply in this area. 

We also found that the four-stroke and 

two-stroke direct injection engine 

technologies which are likely to be used 

to meet the exhaust emission standards 

contemplated for OB/PWC engines are 

in widespread use in the vessel fleet 

today. These more sophisticated engine 

technologies are replacing the 

traditional two-stroke carbureted 

engines. The four-stroke and two-stroke 

direct injection engines meet applicable 

USCG and ABYC safety standards and 

future products will do so as well. The 

new emission standards must be 

complementary to existing safety 

standards and our analysis indicates 

that this will be the case. There are no 

known safety issues with the advanced 

technologies compared with two-stroke 

carbureted engines. The newertechnology engines arguably provide 

safety benefits due to improved engine 

reliability and range in-use. Based on 

the applicability of USCG and ABYC 

safety standards and the good in-use 

experience with advanced-technology 

engines in the current vessel fleet, we 

believe new emission standards will not 

create an incremental increase in the 

risk of fire or burn to the consumer. 

(4) Fuel Evaporative Emission Standards 

for Outboard and Personal Watercraft 

Engines and Vessels 

We reviewed the fuel line and fuel 

tank characteristics for marine vessels 

and evaluated control technology which 

could be used to reduce evaporative 

emissions from boats. With regard to 

fuel lines, fuel tanks, and diurnal 

controls, there are rigorous USCG, 

ABYC, United Laboratories, and Society 

of Automotive Engineers standards 

which manufacturers will continue to 

meet for fuel system components. All 

these standards are designed to address 

the in-use performance of fuel systems, 

with the goal of eliminating fuel leaks. 

The low-permeation fuel lines and tanks 

needed to meet the Phase 3 

requirements will need to pass these 

standards and every indication is that 

they will pass.119

Furthermore, the EPA permeation 

certification requirements related to 

emissions durability will add an 

additional layer of assurance. Lowpermeation fuel lines are used safely 

today in many marine vessels. Lowpermeation fuel tanks and diurnal 

emission controls have been 

demonstrated in various applications for 

many years without an increase in 

safety risk. Furthermore, a properly 

designed fuel system with fuel tank and 

fuel line permeation controls and 

diurnal emission controls will reduce 

the fuel vapor in the boat, thereby 

reducing the opportunities for fuel 

related fires. In addition, using 

improved low-permeation materials 

coupled with designs meeting USCG 

and ABYC requirements should reduce 

the risk of fuel leaks into the vessel. We 

believe the application of emission 

control technologies on marine engines 

and vessels for meeting the new fuel 

evaporative emission standards will not 

lead to an increase in incremental risk 

of fires or burns, and in many cases may 

incrementally decrease safety risk in 

certain situations. 

B. Noise 

As automotive technology 

demonstrates, achieving low emissions 

from spark-ignition engines can 

correspond with greatly reduced noise 

levels. Direct-injection two-stroke and 

four-stroke OB/PWC have been reported 

to be much quieter than traditional 

carbureted two-stroke engines. Catalysts 

in the exhaust act as mufflers which can 

reduce noise. Additionally, adding a 

properly designed catalyst to the 

existing muffler found on all Small SI 

engines can offer the opportunity to 

incrementally reduce noise. 

C. Energy 

(1) Exhaust Emission Standards 

Adopting new technologies for 

controlling fuel metering and air-fuel 

mixing, particularly the conversion of 

some carbureted engines to advanced 

fuel injection technologies, will lead to 

improvements in fuel consumption. 

This is especially true for OB/PWC 

engines where we expect the new 

standards to result in the replacement of 

old technology carbureted two-stroke 

engines with more fuel-efficient 

technologies such as two-stroke direct 

injection or four-stroke engines. 

Carbureted crankcase-scavenged twostroke engines are inefficient in that 25 

percent or more of the fuel entering the 

engine may leave the engine unburned. 

EPA estimates that conversion to more 

fuel efficient recreational marine 

engines will save 61 million gallons of 

gasoline per year in 2030. The 

conversion of some carbureted Small SI 

engines to fuel injection technologies is 

also expected to improve fuel economy. 

We estimate approximately 18 percent 

of the Class II engines will be converted 

to fuel injection and that this will result 

in a fuel savings of about 10 percent for 

each converted engine. This translates 

to a fuel savings of about 56 million 

gallons of gasoline in 2030 when all the 

Class II engines used in the U.S. will 

comply with the Phase 3 standards. By 

contrast, the use of catalyst-based 

control systems on Small SI engines is 

not expected to change their fuel 

consumption characteristics. 

(2) Fuel Evaporative Emission Standards 

We anticipate that the new fuel 

evaporative emission standards will 

have a positive impact on energy. By 

capturing or preventing the loss of fuel 

mstockstill on PROD1PC66 with RULES2

59130 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

120See section 428 of the Appropriations Act for 

2004. 121 ‘‘Petition to Amend Rules Implementing Clean 

Air Act section 209(e),’’ American Road and 

Transportation Builders Association (ARTBA), July 

12, 2002. Also, EPA received an additional 

communication from ARTBA urging EPA to grant 

the petition after the decision of the U.S. Supreme 

Court in EMA v. SCAQMD, 541 U.S. 246 (2004). See 

‘‘ARTBA Petition,’’ L. Joseph, ARTBA, to D. 

Dickinson & R. Doyle, EPA, April 30, 2004. These 

documents are available in Docket EPA–HQ–OAR– 

2004–0008. 

122 In 1994, EPA promulgated an interpretive rule 

at Appendix A to subpart A of 40 CFR part 89. This 

interpretive rule was amended as part of the rule 

promulgated on December 30, 1997 (62 FR 67733). 

The appendix provides, among other things, that 

state restrictions on the use and operation of 

nonroad engines are not preempted under section 

209. 

due to evaporation, we estimate that the 

lifetime average fuel savings will be 

about 1.6 gallons for an average piece of 

Small SI equipment and 32 gallons for 

an average boat. This translates to a fuel 

savings of about 41 million gallons for 

Small SI equipment and 30 million 

gallons for Marine SI vessels in 2030 

when most of the affected equipment 

used in the U.S. will be expected to 

have evaporative emission controls. 

VIII. Requirements Affecting Other 

Engine and Vehicle Categories 

We are making several regulatory 

changes that will affect other engines, 

equipment, vehicles, and vessels in our 

nonroad and highway programs. These 

changes are described in the following 

subsections. As noted in these 

subsections, those changes that were not 

proposed are being made in response to 

the comments we received. 

A. State Preemption 

Section 209(e) of the Clean Air Act 

prohibits states and their political 

subdivisions from adopting or enforcing 

standards and other requirements 

relating to the control of emissions from 

nonroad engines or vehicles. Section 

209(e) authorizes EPA to waive this 

preemption for California for standards 

and other requirements for nonroad 

engines and vehicles, excluding new 

engines that are smaller than 175 

horsepower used in farm or 

construction equipment or vehicles and 

new locomotives or new engines used in 

locomotives. States other than California 

may adopt and enforce standards 

identical to California standards 

authorized by EPA. 

EPA promulgated regulations 

implementing section 209(e) on July 20, 

1994 (59 FR 36987). EPA subsequently 

promulgated revised regulations 

implementing section 209(e) on 

December 30, 1997 (62 FR 67733). See 

40 CFR part 85, subpart Q. As proposed, 

we are creating a new part 1074 that 

describes the federal preemption of state 

and local emission requirements. This is 

being done as part of EPA’s ongoing 

effort to write its regulations in plain 

language format in subchapter U of title 

40 of the CFR. The final regulations are 

based directly on the existing 

regulations in 40 CFR part 85, subpart 

Q. With the exception of the specific 

changes described in this section, we 

are not changing the meaning of these 

regulations. 

Pursuant to section 428 of the 2004 

Consolidated Appropriations Act, we 

are adding regulatory language to 

implement the legislative restriction on 

states other than California adopting, 

after September 1, 2003, standards or 

other requirements applicable to sparkignition engines smaller than 50 

horsepower. We are also adding, 

pursuant to that legislation, criteria for 

EPA’s consideration in authorizing 

California to adopt and enforce 

standards applicable to such engines.120

In addition, on July 12, 2002, the 

American Road and Transportation 

Builders Association (ARTBA) 

petitioned EPA to amend EPA’s rules 

implementing section 209(e) of the 

Act.121 In particular, ARTBA petitioned 

EPA to amend its regulations and 

interpretive rule regarding preemption 

of state and local requirements ‘‘that 

impose in-use and operational controls 

or fleet-wide purchase, sale or use 

standards on nonroad engines.’’ 122

ARTBA believes such controls should 

be preempted. 

As we were already planning to revise 

the preemption provisions to a certain 

extent in this rule, we determined that 

it was appropriate to respond to 

ARTBA’s petition in the context of this 

rule, and noticed our review in the 

proposal for this rule, giving the public 

the ability to respond to provide 

comments regarding ARTBA’s petition. 

After reviewing ARTBA’s petition and 

the comments received regarding the 

petition, EPA is not adopting the 

changes requested by ARTBA in its 

petition. While EPA is in agreement 

with ARTBA regarding some of the 

observations it makes in the petition 

regarding preemption of state standards, 

particularly state fleet average 

standards, we believe the current 

regulatory language is sufficient 

regarding preemption of such standards. 

In addition, we believe that it would be 

inappropriate to grant ARTBA’s request 

that we amend the existing regulations 

to find that restrictions on the use and 

operation of nonroad engines are 

preempted under section 209(e) of the 

Act. For a full discussion and response 

to ARTBA’s petition and the comments 

we received on the petition, please 

review ‘‘Response to the Petition of 

American Road and Transportation 

Builders Association to Amend 

Regulations Regarding the Preemption 

of State Standards Regulating Emissions 

from Nonroad Engines,’’ which has been 

placed in the docket for this rulemaking. 

B. Certification Fees 

Under our current certification 

program, manufacturers pay a fee to 

cover the costs associated with various 

certification and other compliance 

activities associated with an EPA issued 

certificate of conformity. These fees are 

based on the actual and/or projected 

cost to EPA per emission family. We are 

establishing a new fees category for 

certification related to the new 

evaporative emission standards. 

Sections III and VI describe how the fees 

apply to sterndrive/inboard marine 

engines and equipment and vessels 

subject to evaporative emission 

standards since manufacturers are not 

currently required to pay certification 

fees for these products. 

In addition, as proposed, we are 

creating a new part 1027 in title 40 that 

incorporates the new and existing fee 

requirements under a single part in the 

regulations. This is being done as part 

of EPA’s ongoing effort to write its 

regulations in plain language format in 

subchapter U of title 40 of the CFR. The 

final regulations are based directly on 

the existing regulations in 40 CFR part 

85, subpart Y. Aside from a variety of 

specific changes, moving this language 

to part 1027 is not intended to affect the 

substance of the existing fee provisions. 

We are making the following 

adjustments and clarifications to the 

existing regulations: 

• Establishing a new fees category for 

new evaporative emission standards. 

• Eliminating one of the paths for 

applying for a reduced fee. The existing 

regulations specify that applications 

covering fewer than six vehicles or 

engines, each with an estimated retail 

sales price below $75,000, shall receive 

a certificate for five vehicles or engines. 

Holders of these certificates are required 

to submit an annual model year reduced 

fee payment report adjusting the fees 

paid. We are eliminating this pathway 

and the associated report, as they are 

complex and have been rarely used. 

• Clarifying the obligation to make 

additional payment on a reduced fee 

certificate if the actual final sales price 

is more than the projected retail sales 

price for a reduced fee vehicle or 

engine. As before, the final fee payment 

must also reflect the actual number of 

vehicles. 

• Applying the calculated fee changes 

for later years, which are based on the 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59131 

Consumer Price Index and the total 

number of certificates, only after the 

change in the fee’s value since the last 

reported change has reached $50. The 

fee change for the ‘‘Other’’ category for 

calendar year 2005 to 2006 changed 

from $826 to $839 and for non-road 

compression-ignition engines from 

$1822 to $1831. Under the final rule, the 

fee will not change until such time as 

the fee increase will be $50.00 or 

greater. This might not occur after one 

year, but after two or more years the 

calculated increase in a fee based on the 

change in the Consumer Price Index 

might be more than $50.00. The same 

applies if the price goes up or down. For 

example, if the fee published in EPA 

guidance for a category of engine was 

$1,000 in 2011 and the calculated fee for 

2012 is $990 and in 2013 is $1040, the 

fee in 2013 will remain at $1,000 since 

the change from the 2011 fee is only 

$40. This will minimize confusion 

related to changing fees where the 

calculated fee is very close to that 

already established for the previous 

year. It will also lessen paperwork and 

administrative burdens for 

manufacturers and EPA in making 

adjustments for small fees changes for 

applications that are completed around 

the change in a calendar year. The 

number of certificates may go up or 

down in any given year, while the 

Consumer Price Index will generally 

increase annually. As a result, this 

change will be revenue-neutral or will 

perhaps slightly decrease overall 

revenues. 

• Clarifying that all fee-related 

records need to be kept, not just those 

related to the ‘‘final reduced fee 

calculation and adjustment.’’ 

• Adding www.Pay.gov or other 

methods specified in guidance as 

acceptable alternative methods for 

payment and filing of fee forms. 

• Establishing a single deadline for all 

types of refunds: Total, partial for 

reduced fees, and partial for corrections. 

In all cases, refund requests must be 

received within six months of the end 

of the model year. A common type of 

request is due to an error in the fee 

amount paid as a result of changed fees 

for a new calendar year. We frequently 

apply these overpayments to other 

pending certification applications. This 

is less burdensome than applying for a 

simple refund, both for EPA and for 

most manufacturers. Applications to 

apply such refunds to other certification 

applications must also be received 

within six months of the end of the 

model year of the original engine family 

or test group. 

• Emphasizing with additional cross 

references that the same reduced fee 

provisions that apply to Independent 

Commercial Importers also apply to 

modification and test vehicle certificates 

under 40 CFR 85.1509 and 89.609: The 

number of vehicles covered is listed on 

the certificate, a revision of the 

certificate must be applied for and 

additional reduced fee payments made 

if additional vehicles are to be covered, 

and the certificate must be revised to 

show the new total number of vehicles 

to be covered. 

We are making one additional change 

in the regulations based on comments 

regarding the limits on fees that apply 

for locomotive and marine diesel 

remanufacturing systems or kits. We are 

specifying that certified 

remanufacturing systems or kits under 

these programs are eligible for reduced 

fees based on the value of the 

remanufacturing system or kit rather 

than the value of the whole locomotive 

or vessel. This is analogous to existing 

provisions for fuel-conversion kits in 

which the regulation specifies that the 

basis for evaluating the one-percent 

threshold is the value of the kit alone. 

We are therefore modifying the 

regulation to allow for reduced fees 

where the assessed fee is more than one 

percent of the value of the 

remanufacturing system or kit. This 

applies equally to locomotives and 

marine diesel engines, which are now 

also subject to remanufacturing 

certification provisions. 

C. Amendments to General Compliance 

Provisions in 40 CFR Part 1068 

We have adopted final rules to apply 

the provisions of part 1068 for 

locomotives regulated under part 1033, 

nonroad diesel engines regulated under 

40 CFR part 1039, marine diesel engines 

regulated under 40 CFR part 1042, Large 

SI engines regulated under 40 CFR part 

1048, and recreational vehicles 

regulated under 40 CFR part 1051. In 

this final rule we are applying these 

provisions for Small SI and Marine SI 

engines, equipment, and vessels. Any 

changes we make to part 1068 will 

apply equally for these other types of 

engines and vehicles. 

The following paragraphs describe 

several amendments we are making to 

part 1068, including several changes 

and clarifications subsequent to the 

proposed rule. We summarize several of 

the most important changes since the 

proposal in Section X. 

(3) Partially Complete Engines 

We proposed to revise our definition 

of ‘‘engine’’ to be clear that it includes 

those engines that are only partially 

complete. We received many comments 

regarding the impact of this 

clarification. The final approach 

described in this subsection includes 

revisions from the proposal to address 

these comments. 

We are aware that in some cases 

manufacturers produce nonroad engines 

by starting with a complete or partially 

complete engine from another 

manufacturer and modify it as needed 

for the particular application. This is 

especially common for Marine SI and 

Large SI engines and equipment, but it 

may also occur for other types of 

nonroad engines and equipment. We are 

aware that an interpretation of the 

prohibited acts in § 1068.101 would 

disallow this practice because the 

original engine manufacturer is arguably 

selling an engine that is not covered by 

a certificate of conformity even though 

emission standards apply. We are also 

concerned that some manufacturers 

might choose to exploit this ambiguity 

by importing partially complete engines, 

contending that these are not subject to 

standards, where the company receiving 

the shipment would assemble the 

engines and sell them without going 

through the certification process. It 

would be very difficult to monitor or 

enforce requirements with this kind of 

business activity. 

We are addressing this first by 

defining ‘‘engine’’ for the purposes of 

the regulations (see § 1068.30). To do 

this, we differentiate between complete 

engines and partially complete engines, 

both of which need to be covered by a 

valid certificate or an exemption. An 

engine block becomes an ‘‘engine’’ 

subject to standards when a crankshaft 

is installed. This represents a 

substantial step in the manufacturing 

process. Selecting a later point in the 

assembly process would only create the 

potential for loopholes for companies 

wanting to sell products that fall just 

short of what it would take to be subject 

to standards. 

Partially complete engines include 

any engine that has not been fully 

assembled or is not yet in its final 

configuration. This might include short 

blocks that are shipped to another 

location for final assembly. It might also 

include full assembled engines that will 

be installed in all-terrain vehicles 

(which are subject to equipment-based 

standards). Even though these engines 

are still subject to further assembly or 

modification, they are subject to 

standards and certification requirements 

and therefore may not be introduced 

into U.S. commerce without an 

exemption. We are adopting provisions 

to accommodate various assembly paths 

reflecting current business practices. For 

example, we are specifying that 

manufacturers may ship partially 

mstockstill on PROD1PC66 with RULES2

59132 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

complete engines between two of their 

facilities (see § 1068.260). We would 

require manufacturers to notify us that 

this practice is occurring and get our 

approval, but they would not need to 

take any additional steps. 

We have greater concerns about 

ensuring that engines always reach their 

certified configuration when engines are 

shipped from one company to another, 

or anytime a company that is not a 

certificate holder is introducing 

partially complete engines into U.S. 

commerce. To address this, we are 

adopting detailed provisions in 

§ 1068.262. These provisions clarify and 

expand on the provisions adopted 

earlier in § 1068.330 for imported 

engines. The original engine 

manufacturer needs a written request 

from a secondary engine manufacturer 

who already holds a valid certificate of 

conformity for the engine based on its 

final configuration and application. The 

request from the secondary engine 

manufacturer would also identify an 

engine family name. This engine family 

name could be any valid family name 

for that engine model and would not 

necessarily need to be the actual family 

name for that engine in its final 

configuration. For example, a secondary 

engine manufacturer might sell a single 

engine model into stationary, marine, 

and industrial applications, each of 

which might have a different engine 

family name. As long as there is a valid 

family name, the original engine 

manufacturer could be confident that 

the secondary engine manufacturer will 

be modifying the engine to be in a 

certified configuration. The original 

engine manufacturer would apply a 

removable label identifying their 

corporate name and stating that the 

engines are exempt under these 

provisions for partially complete 

engines. The label or the accompanying 

bill of lading would also name the 

secondary engine manufacturer as the 

certificate-holder and identify the 

destination for the engines being 

shipped. The labels may be applied to 

individual engines or they may be 

applied to the packaging for engines that 

are shipped together. 

We are accommodating the need to 

start assembling products while the 

application for certification is pending. 

We would treat these shipments the 

same as we would treat early production 

for a manufacturer building its own 

engine blocks, as described in Section 

VIII.C.2. 

There are also situations in which a 

secondary manufacturer would build 

engines that will continue to be exempt 

after the point of final assembly. For 

example, some engines may be intended 

only for export, for national security, or 

for developmental or testing purposes. 

In these cases where the secondary 

engine manufacturer is unable to 

identify a valid family name, they 

would simply inform the original 

manufacturer of the regulatory cite that 

allows them to produce exempted 

engines. Note that this process is 

generally permitted only in the case 

where the original engine manufacturer 

and the secondary engine manufacturer 

are certificate holders, which means that 

they have at least one certificate of 

conformity with EPA (even if that is for 

a different type of engine). 

The regulation includes language to 

clarify that the original manufacturer is 

liable for shipment of properly labeled 

engines to a manufacturer who has 

applied for or received a valid certificate 

of conformity or who has an exemption 

for the engines being shipped. The 

original engine manufacturer would be 

in violation if (1) the engines and their 

labels are separated before reaching the 

secondary engine manufacturer, (2) if 

the engines are shipped to the wrong 

destination, or (3) if the secondary 

engine manufacturer does not in fact 

have the certification or exemption in 

place as prescribed. We expect original 

engine manufacturers to have a clear 

relationship with their associated 

secondary engine manufacturers so they 

can readily verify the status of any 

particular certification or exemption; 

due diligence on the part of the original 

engine manufacturer should allow for a 

high degree of confidence that all the 

applicable conditions are met. 

Another situation involving partially 

complete engines involves the engine 

block as a replacement part where, for 

example, the original engine had major 

structural damage. In this case the 

engine manufacturer will typically sell 

an engine block with piston, crankshaft, 

and other internal components to allow 

the user to repower with many of the 

components from the original engine. 

Under the new definitions, these short 

blocks or three-quarter blocks are 

considered new engines subject to 

emission standards. We have addressed 

this situation in the regulations with the 

replacement engine provisions in 

§ 1068.240. This may involve one of two 

basic situations. In cases where the 

short block is no different than what is 

being produced for complete, certified 

engines in the current model year, there 

is no need for demonstrations or 

approval for an exemption from 

emission standards. We are adding 

clarifying language that these partially 

complete engines may be sold to 

repower failed engines without 

restriction. We do, however, require that 

these engines be labeled to prevent 

someone from circumventing the 

regulations by using these short blocks 

to build new noncompliant engines. 

These labels would serve as a 

preventive measure and make it easier 

for EPA inspectors to detect a violation. 

In cases where the short block is from 

a previous model year when less 

stringent emission standards apply, we 

would want to treat this under the same 

replacement-engine provisions that 

apply to complete engines. Section 

VIII.C.5 describes these provisions 

related to replacement engines in greater 

detail. 

We are also further clarifying the 

requirement for engine manufacturers to 

sell engines in their certified 

configuration (see § 1068.260). The 

existing provisions in part 1068 describe 

how manufacturers may use delegated 

assembly to arrange for equipment 

manufacturers to separately source 

aftertreatment components for engines 

that depend on aftertreatment to meet 

emission standards. We are including 

language to clarify that we will consider 

an engine to be in its certified 

configuration in certain circumstances 

even if emission-related components are 

not assembled to the engine. This is 

intended to reflect common practice 

that has developed over the years. We 

are also clarifying that engines may be 

shipped without radiators or other 

components that are unrelated to 

emission controls, and that we may 

approve requests to ship engines 

without emission-related components in 

some circumstances. This will generally 

be limited to equipment-related 

components such as vehicle-speed 

sensors. We may specify conditions that 

we determine are needed to ensure that 

shipping the engine without such 

components will not result in the engine 

being operated outside of its certified 

configuration. 

(4) Provisions Related to Model Year 

and Date of Manufacture 

We proposed definitions of ‘‘model 

year’’ and ‘‘date of manufacture’’ in 

conjunction with our proposed 

definition of ‘‘engine’’. We received a 

number of comments regarding these 

definitions. As a result of these 

comments, we are finalizing the 

approach described below. 

Until now, the regulations have not 

specified the point in the assembly or 

procurement process that should serve 

as the basis for establishing an engine’s 

date of manufacture for purposes of 

deciding which standards apply. For the 

large majority of engines, this is not an 

issue, since total assembly time from 

start to finish is measured in hours or 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59133 

perhaps days. As a result, it is relatively 

uncommon for there to be any 

uncertainty regarding an engine’s date 

of manufacture. Nevertheless, we have 

learned that there are widely diverging 

practices for establishing an engine’s 

date of manufacture in several special 

situations, which means there is a 

different effective date of new emission 

standards for different manufacturers. 

This is especially of interest for larger 

engines, which are more likely to have 

longer assembly times and to be 

assembled in multiple stages at different 

facilities. We believe it is important to 

establish a clear requirement in this 

regard to avoid ambiguity and different 

interpretations. A consistent approach 

preserves a level playing field and may 

prevent some manufacturers from 

manipulating their build dates to 

circumvent the regulations. 

We expected that the proposed 

definition of ‘‘date of manufacture,’’ 

based on reaching a final, running 

configuration, was the most 

straightforward and logical 

interpretation. The comments received 

and the ensuing discussions made clear 

that this interpretation was not 

universally held. The diversity of views 

underscores the need for the regulations 

to establish a clear and uniform 

requirement. 

We recognize the concern that 

manufacturers need a high degree of 

certainty regarding applicable emission 

standards when they initiate assembly 

of an engine. Any number of variables 

in the production process could affect 

how long it takes to finish building an 

engine. We therefore believe it is most 

appropriate to match up the definitions 

for ‘‘date of manufacture’’ and ‘‘engine’’ 

by specifying that an engine’s date of 

manufacture should be based on the 

date that the crankshaft is installed in 

the engine. This provides manufacturers 

with the control they need to determine 

which emission standards apply when 

they start to build the engine. 

We are aware that secondary engine 

manufacturers may have inventory and 

assembly procedures that are not tied to 

the actual date of crankshaft installation 

by the original engine manufacturer. We 

are therefore specifying for this situation 

that the date of manufacture is generally 

the date the secondary engine 

manufacturer receives shipment of the 

partially complete engine. Alternatively, 

where the manufacturer knows the date 

the crankshaft was actually installed in 

the engine and receives the engine 

within 30 days of that date, it may use 

the actual date of crankshaft installation 

as the date of manufacture. This puts 

the secondary engine manufacturer in a 

similar position relative to companies 

with sole responsibility for assembling 

complete engines, without placing 

unreasonable expectations on secondary 

engine manufacturers to know how 

engines were assembled by their 

supplier. 

Some manufacturers may want to 

name a date of manufacture that is later 

than we specify in the regulation. This 

may be for marketing purposes, 

managing inventories of engine 

components, or for other recordkeeping 

or product-development reasons. There 

is no risk of manufacturers gaining an 

advantage of being subject to less 

stringent standards by delaying the date 

of manufacture for an engine, so we 

would have no objection to that. 

However, we limit the selection of date 

of manufacture to a later point in the 

assembly process. Selecting a date of 

manufacture after the end of the 

assembly process for an engine would 

raise concerns about the risk for 

manipulating emission credits for a 

given model year and about ensuring 

that engine assembly and dates of 

manufacture are always within the 

production period established for a 

given engine family, as described in the 

certificate of conformity or the 

manufacturer’s records. We see no 

legitimate reason to select a date of 

manufacture after completing assembly 

for an engine. Note that since the entire 

assembly process is complete within no 

more than a few days for most engines, 

we would expect this allowance to 

rarely affect the date of manufacture 

significantly. 

This approach to defining ‘‘date of 

manufacture’’ addresses manufacturers’ 

concerns for knowing which standards 

apply to an engine, but we are also 

concerned that manufacturers could 

ramp up production of engine blocks 

with installed crankshafts as a method 

to delay compliance with new emission 

standards. EPA regulations have always 

included provisions describing limits on 

inventory and stockpiling practices for 

nonroad equipment manufacturers. The 

regulations until now do not clearly 

address issues related to stockpiling for 

engine manufacturers. We agree with 

the suggestion from commenters that 

anti-stockpiling provisions that are 

specific to engine manufacturers would 

be appropriate. The Clean Air Act 

contemplates the need for such 

provisions in section 202(b)(3), where 

there is direction for EPA to consider 

establishing a definition of model year 

that prevents stockpiling. At the same 

time, we received other comments 

related to production periods and model 

year, leading us to adopt a collection of 

related provisions in § 1068.103. 

The new text in § 1068.103 includes 

three main provisions that are already in 

place for motor vehicles and heavy-duty 

highway engines in §§ 85.2304 and 

85.2305. First, we are clarifying that the 

scope of a certificate of conformity may 

be limited to established engine models, 

production periods, or production 

facilities. Any such limits would be 

included in the manufacturer’s 

application for certification or in the 

certificate of conformity. Second, we are 

defining the limits on selecting 

production periods for purposes of 

establishing the model year. Third, we 

are clarifying that engine manufacturers 

may start producing engines after they 

submit an application for certification 

and before the certification is approved. 

This includes provisions to address the 

manufacturers’ responsibility to ensure 

(1) that engines are not introduced into 

U.S. commerce until the certification is 

approved; (2) that all engines are 

assembled consistent with the 

certification, including any changes that 

may come from the certification review 

process; and (3) that manufacturers 

make these early-production engines 

available for production-line testing or 

selective enforcement audits, as 

appropriate. 

In addition, we are adding provisions 

to establish limits on stockpiling for 

engine manufacturers. We are doing this 

by stating that manufacturers must use 

their normal inventory and assembly 

processes for initiating assembly of their 

engines. We include a clarifying 

expectation that we would expect 

normal assembly processes to involve 

no more than one week to complete 

engine assembly once the crankshaft is 

installed. We understand that assembly 

processes in some special cases are 

more complicated, and that engine 

manufacturers may be unable to 

complete engine assembly in some cases 

based on delivery of certain components 

or other extenuating factors. To put 

some boundaries on these exceptional 

situations, the regulation specifies a 

presumption that the engine 

manufacturer has violated the 

stockpiling prohibition if engine 

assembly is complete more than 30 days 

after the end of the model. This 

presumption date is 60 days after the 

end of the model year for engines with 

per-cylinder displacement above 2.5 

liters. This generally distinguishes 

engines that may have relatively high 

sales volumes (including heavy-duty 

highway engines) from bigger engines 

that are sold in much lower sales 

volumes. 

Note that the potential burden and 

disruption related to these provisions is 

limited in two important ways. First, the 

mstockstill on PROD1PC66 with RULES2

59134 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

restrictions related to date of 

manufacture and model year in 

§ 1068.103(f) apply only when there is 

a change in emission standards for the 

coming model year. We would still 

expect manufacturers to take this 

approach in years when there is no 

change in emission standards, but these 

requirements would not strictly apply. 

We are also including hardship 

provisions to allow manufacturers to 

request approval to extend the final 

assembly deadline for their engines if 

circumstances outside their control 

prevent them from completing engine 

assembly in time. We would approve 

such a request only if the manufacturer 

could not have avoided the situation 

and took all possible steps to minimize 

the extent of the delay. 

(5) Restrictions on Naming Model Years 

Relative to Calendar Year 

We proposed restrictions to naming 

model years for Small SI engines. In 

response to the comments we received, 

we are finalizing these restrictions for 

all engines subject to 40 CFR part 1068. 

Exhaust emission standards apply 

based on the date of engine assembly. 

We similarly require that equipment 

manufacturers use engines meeting 

emission standards in the same model 

year as equipment based on the 

equipment assembly date. For example, 

starting January 1, 2009, an equipment 

manufacturer must generally use a 2009 

model year engine. However, we allow 

equipment manufacturers to deplete 

their normal inventories of engines from 

the previous model year as long as there 

is no stockpiling of those earlier 

engines. Note that this restriction does 

not apply if emission standards are 

unchanged for the current model year. 

We have found many instances where 

companies will import new engines 

usually installed in equipment and 

claim that the engine was built before 

emission standards took effect, even if 

the start date for emission standards was 

several years earlier. We believe many 

of these engines were in fact built later 

than the named model year, but it is 

difficult to prove the date of 

manufacture, which then makes it 

difficult to properly enforce these 

requirements. Now that emission 

standards have been in place for most 

engines for several years, we believe it 

is appropriate to implement a provision 

that prevents new engines manufactured 

several years previously to be imported 

when more recent emission standards 

have been adopted. This will prevent 

companies from importing 

noncompliant products by 

inappropriately declaring a manufacture 

date that precedes the point at which 

the current standards started to apply. 

This also puts a time limit on our 

existing provisions that allow for 

normal inventory management to use 

the supply of engines from previous 

model years when there has been a 

change in standards. 

We are specifying that engines and 

equipment will be treated as having a 

model year at most one year earlier than 

the calendar year in which the 

importation occurs when there is a 

change in emission standards (see 

§ 90.615 and § 1068.360). This 

requirement will start January 1, 2009 

for Small SI engines and it will start 

immediately when the final rule 

becomes effective for engines/ 

equipment subject to part 1068. For 

example, for new standards starting in 

the 2009 or earlier model years, 

beginning January 1, 2010, all imported 

new engines will be considered to have 

a model year of 2009 or later and will 

need to comply with new 2009 

standards, regardless of the actual build 

date of the engines or equipment. 

(Engines or equipment will be 

considered new unless the importer 

demonstrates that the engine or 

equipment had already been placed into 

service, as described below.) This will 

allow a minimum of twelve months for 

manufactured engines to be shipped to 

equipment manufacturers, installed in 

equipment and imported into the 

United States. This time interval will be 

substantially longer for most engines 

because the engine manufacturer’s 

model year typically ends well before 

the end of the calendar year. Also, 

engines produced earlier in the model 

year will have that much more time to 

be shipped, installed, and imported. 

Manufacturers have expressed 

concern that the one-year limitation on 

imported products may be too short 

since there are often delays related to 

shipping, inventory, and perhaps most 

significantly, unpredictable fluctuations 

in actual sales volumes. We do not 

believe it is appropriate to maintain 

long-term inventories of these products 

outside the United States for eventual 

importation when it is clear ahead of 

time that the new standards are 

scheduled to take effect. Companies 

may be able to import these products 

shortly after manufacturing and keep 

their inventories in a U.S. distribution 

network to avoid the situation of being 

unable to sell these products in the 

United States. 

In years where the standards do not 

change, this provision will have no 

practical effect because, for example, a 

2004 model year engine meets the 2006 

model year standards. We will treat 

such an engine as compliant based on 

its 2004 emission label, any emission 

credit calculations for the 2004 model 

year, and so on. These engines can 

therefore be imported anytime until the 

end of the calendar year in which new 

standards take effect. 

We do not intend for these provisions 

to delay the introduction of the new 

emission standards by one year. It is 

still a violation to produce an engine in 

the 2011 calendar year and call it a 2010 

model year engine to avoid being 

subject to 2011 standards. 

Importation of equipment that is not 

new is handled differently. These 

products will not be required to be 

upgraded to meet new emission 

standards that started to apply after the 

engine and equipment were 

manufactured. However, to avoid the 

situation where companies simply 

declare that they are importing used 

equipment to avoid new standards, we 

are requiring that they provide clear and 

convincing evidence that such engines 

have been placed into service prior to 

importation. Such evidence will 

generally include documentary 

evidence of purchase and maintenance 

history and visible wear that is 

consistent with the reported 

manufacture date. Importing products 

for resale or importing more than one 

engine or piece of equipment at a time 

will generally call for closer evaluation 

to determine that this degree of 

evidence has been met. Note that the 

regulations generally treat engines 

converted to a different category as new 

engines, even if they have already been 

placed into service. For example, if a 

motor vehicle is modified such that it 

no longer fits under the definition of 

motor vehicle, its engine generally 

becomes a new nonroad engine and is 

subject to emission standards and other 

requirements based on its model year as 

specified in the regulation. 

(6) Liability for Causing Violations 

In the last few years, there has been 

a surge in the number of illegal nonroad 

engines, vehicles and equipment, such 

as tractors, lawn mowers, generators and 

all-terrain vehicles, imported into the 

United States. A significant number of 

the imported nonroad engines, vehicles 

and equipment fail to meet EPA 

requirements and standards under the 

Clean Air Act. The manufacturers of 

these illegal goods often are out of the 

effective reach of United States 

jurisdiction and enforcement. In 2007, 

the recall of lead-contaminated toys and 

more than 5,300 melamine-laced pet 

food products resulted in heightened 

interest in what the U.S. government is 

doing to safeguard the health of its 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59135 

citizens with regard to imported 

consumer products. 

In July 2007, President Bush signed 

Executive Order 13439 establishing an 

Interagency Working Group on Import 

Safety. This Working Group consists of 

over ten government agencies including 

EPA and the Departments of Health and 

Human Services, Homeland Security, 

State, Treasury, Justice, Agriculture, and 

Transportation. The wide range of 

agencies involved in this Working 

Group illustrates the breadth of import 

issues. 

One of the recommendations of the 

Interagency Working Group on Import 

Safety was to consider a strategic focus 

or initiative, using existing statutory and 

regulatory authorities, and, based upon 

Agency priorities, increase enforcement 

actions against foreign and domestic 

manufacturers, as well as importers, 

brokers, distributors, and retailers who 

introduce illegal goods into the stream 

of commerce. This rulemaking will help 

clarify for all regulated parties, 

including retailers, that liability for the 

importation of nonroad vehicles, 

engines and equipment in violation of 

the Clean Air Act and/or its 

implementing regulations extends 

beyond the manufacturer and direct 

importer of the product. 

We requested comments regarding 

revisions to § 1068.101 to clarify the 

types of actions for which EPA may 

pursue enforcement proceedings. In this 

rule we are finalizing such clarifying 

provisions in § 1068.101. Section 203 of 

the Act states that performing certain 

acts, ‘‘and the causing thereof,’’ 

constitutes a prohibited act. We are 

adding a new paragraph (c) in 

§ 1068.101 to specifically include this 

prohibition on the ‘‘causing’’ of any of 

the prohibited acts listed in the statute 

and the regulations. Adding this 

clarification will help people who are 

subject to the regulations to more fully 

understand what actions are prohibited 

and may potentially subject them to 

enforcement proceedings under the Act. 

The revisions themselves do not add 

new enforcement authorities beyond 

what is already specified in the statute. 

Since we consider it a violation to 

cause someone to commit a specified 

prohibited act, persons causing any 

such prohibited act would also be 

subject to the full administrative and 

judicial enforcement actions allowable 

under the Act and the regulations. The 

prohibition on ‘‘causing’’ a prohibited 

act would apply to all persons and 

would not be limited to manufacturers 

or importers of regulated engines or 

equipment. 

EPA interprets the ‘‘causation’’ aspect 

of section 203 broadly. In assessing 

whether a person has caused a 

prohibited act, EPA will evaluate the 

totality of the circumstances. For 

example, in certain circumstances EPA 

believes that a retailer may be 

responsible for causing the importation 

of engines or equipment not covered by 

a valid certificate of conformity or 

otherwise in violation of our 

regulations, such as the emission 

labeling requirements. In addition to the 

prohibitions that apply to manufacturers 

and importers under section 203, EPA 

will also consider many factors in 

assessing whether a manufacturer, 

importer, retailer, distributor or other 

person has caused a prohibited act. For 

example, contractual (or otherwise 

established) business relationships of 

those persons involved in producing 

and/or selling new engines and 

equipment could be evidence of the 

ability of the person to cause a violation. 

In addition, we would consider the 

particular efforts or influence of the 

alleged violator contributing to, leading 

to, or resulting in the prohibited act. On 

the other hand, we would also consider 

a person’s efforts to prevent such a 

violation as evidence that they did not 

cause the violation. 

EPA will evaluate the entire 

circumstances in determining whether a 

person caused another person to commit 

a prohibited act such as importing 

engines or equipment in violation of our 

regulations. 

To assist importers, distributors, 

retailers, and the general public to 

determine whether the products they 

are buying or selling comply with EPA 

regulations, EPA is expanding its 

compliance assistance efforts. Imports 

compliance assistance information is 

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

imports/index.htm and http:// 

www.bordercenter.org/chem/ 

vehicles.htm. Additionally, general 

certification information may also be 

found at http://www.epa.gov/otaq/ 

nonroad. 

(7) Engine rebuilding and replacement 

engines 

We are finalizing the proposed 

changes to § 1068.240. In addition, we 

are also making other changes to that 

section to address manufacturers’ 

concerns for producing short blocks 

from previous-tier engines as 

replacement components for engines 

needing service in the field. (See 

Section VIII.C.1 for additional 

discussion.) The current provisions for 

the replacement-engine exemption in 

§ 1068.240 require that manufacturers 

take possession of the old engine (or 

confirm that it has been destroyed) and 

take steps to confirm that the exemption 

is needed for each new replacement 

engine. We acknowledge that these 

requirements could limit the 

manufacturers’ ability in some cases to 

respond quickly for operators that 

would depend on minimizing their 

downtime. 

The most significant change being 

made in response to the manufacturers 

comments is the allowance for limited 

use of partially complete engines as 

replacement components without the 

administrative requirements and 

oversight provisions that currently 

apply under § 1068.240. We have 

created a streamlined approach for 

manufacturers to produce and sell a 

certain number of replacement engines, 

including partially complete engines, 

based on production volumes from 

preceding years. We are adopting a 

threshold of 1.0 percent of annual 

production through 2013 and 0.5 

percent for 2014 and later. To calculate 

the number of engines under this 

provision, manufacturers would first 

determine their U.S.-directed 

production volumes of certified engines 

each year. This information is generally 

submitted as part of the reporting for 

production-line testing or in separate 

annual reports. The manufacturer would 

consider the preceding three model 

years to select the highest total 

production volume of certified engines 

across all their models in a given year. 

Multiplying this production volume by 

0.01 (or 0.005 starting in 2014) would 

give the number of engines that the 

manufacturer could produce without 

triggering the administrative 

requirements currently specified in 

§ 1068.240. (We may approve the use of 

calculations based on earlier model 

years in unusual circumstances, such as 

the case where a manufacturer opts out 

of a broad category of engine production 

but continues to supply service parts for 

those models.) These threshold values 

should allow manufacturers the 

flexibility to meet the demand for 

partially complete replacement engines, 

but at production levels that clearly will 

not undermine the expected benefits of 

the emission standards that otherwise 

apply to new engines. For any number 

of noncompliant replacement engines 

exceeding the specified threshold, 

manufacturers would need to meet all 

the requirements that currently apply 

under § 1068.240. 

The engine grouping includes fairly 

broad aggregation of products to keep 

similar engines together. For example, 

all outboard engines, all snowmobiles, 

and all handheld engines would be 

counted together as separate groups. 

Diesel engines are generally sold to 

distributors in a configuration that 

mstockstill on PROD1PC66 with RULES2

59136 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

could be adapted for use in nonroad 

applications, either land-based or 

marine, or in stationary applications. 

Engine manufacturers should therefore 

aggregate their sales of these engines 

without regard to their eventual 

deployment in any of these 

applications. However, we are aware 

that the very wide range in sizes and 

sales volumes makes it necessary to 

prevent aggregating large and small 

engines. Without this, the high sales 

volumes associated with small engines 

could allow for unlimited production of 

high-power replacement engines. Since 

it is not possible to establish a power 

rating for a partially complete engine, it 

is necessary instead to rely on engine 

displacement to differentiate these 

products. The selected per-cylinder 

cutpoints reflect existing regulatory 

requirements and production and 

marketing characteristics related to 

current engine offerings. The situation is 

similar for spark-ignition engines that 

may be used in stationary or nonroad 

applications (including marine), except 

that there is a much less pronounced 

range in engine sizes. The engine 

groupings for calculating allowable 

numbers of engines under this approach 

are shown in Table VIII.C–1. 

We are also applying the replacementengine exemption provisions to heavyduty highway engines. There have been 

no such exemption provisions in the 

past; however, we are expecting engine 

technologies to change significantly in 

the coming years such that vehicle 

owners may be unable to replace 

engines that fail prematurely without 

being able to access replacement 

engines that are specifically built to 

match the earlier configuration. We 

believe these engines can be accounted 

for separately from nonroad and 

stationary engines with respect to 

production volumes, but we are 

otherwise applying all the provisions of 

§ 1068.240 equally to heavy-duty 

highway engines. 

TABLE VIII.C–1—AGGREGATING SETS FOR STREAMLINED REPLACEMENT-ENGINE PROVISIONS

Engine category Standard-setting part Engine subcategories 

Highway CI ......................................................... 40 CFR part 86 ................................................ disp. < 0.6 L/cyl 

0.6 ≤ disp. < 1.2 L/cyl 

Nonroad CI, Stationary CI, and Marine CI ........ 40 CFR part 1039 or 40 CFR part 1042 ......... disp. ≥ 1.2 L/cyl 

disp. < 0.6 L/cyl 

0.6 ≤ disp. < 1.2 L/cyl 

1.2 ≤ disp. < 2.5 L/cyl 

2.5 ≤ disp. < 7.0 L/cyl 

Marine SI ............................................................ 40 CFR part 1045 ............................................ outboard personal watercraft. 

Large SI, Stationary SI, and Marine SI 

(sterndrive/inboard only).

40 CFR part 1048 or 40 CFR part 1045 ......... all engines 

Recreational vehicles ......................................... 40 CFR part 1051 ............................................ off-highway motorcycle, all-terrain vehicle, 

snowmobile. 

Small SI and Stationary SI ................................ 40 CFR part 1054 ............................................ handheld, Class I, Class II. 

There are two special situations to 

note. First, the replacement-engine 

provisions do not apply to locomotives, 

which have already been established in 

previous rulemakings. Second, the 

provisions for a streamlined approach 

for replacement engines do not apply for 

engines with per-cylinder displacement 

over 7.0 liters. These are generally very 

large, custom-built engines with low 

production volumes, so we believe it is 

not necessary or appropriate for engine 

manufacturers to maintain an inventory 

of these engines (complete or partially 

complete) on the assumption that 

someone wanting a replacement engine 

could not install an engine certified to 

emission standards for the current 

model year. 

We are making an additional change 

to the replacement-engine exemption in 

§ 1068.240 to clarify what provisions 

apply for short blocks from a currently 

certified engine family. These are 

considered engines under the new 

regulatory definitions, so they need to 

be covered by a certificate of conformity 

or an exemption. We are specifying that 

short blocks from an engine model 

certified for the current model year are 

exempt under the replacement-engine 

exemption. These engines do not need 

an exemption based on their level of 

emission control since they are identical 

to certified engines meeting current 

standards. Rather, these engines need an 

exemption simply because they are 

shipped before they reach a certified 

configuration. Final assembly would 

typically be performed by the owner or 

a local service facility rather than an 

equipment manufacturer. We are 

therefore applying no conditions or 

restrictions on the sale of these 

replacement engines, other than the 

need for being part of a certified engine 

family and being labeled appropriately. 

The regulation specifies how to label the 

engine blocks to ensure that they can be 

clearly identified as replacement 

components. The regulation also 

clarifies that anyone completing the 

assembly of such an engine in violation 

of applicable requirements is a 

manufacturer who has committed a 

prohibited act. For example, installing 

such an engine in a new piece of 

equipment would violate the conditions 

of the replacement engine exemption 

and we may hold responsible any 

parties involved in assembling or 

installing the engine. 

Simplified labeling requirements 

apply to current-tier short blocks used 

as replacement engines and to previoustier short blocks falling under the 

streamlined approach for replacement 

engines described above. The general 

expectation is that the final, assembled 

engines continue to have a label 

describing their certification status 

(unless they were built before emission 

standards started to apply). For engines 

in which the certification label is on the 

short block or another component that 

is part of the short-block assembly, we 

require that the short block includes a 

permanent label identifying the name of 

the manufacturer, the part number of 

the short-block assembly, and a short 

statement describing this as a 

replacement engine. For engines in 

which the certification label is mounted 

on the equipment or on a part of the 

engine that will likely be preserved as 

part of the final assembly, we require 

similar labeling except that the label 

does not need to be permanent. 

In addition, manufacturers have 

expressed a concern that the engine 

rebuilding provisions in § 1068.120 and 

the replacement engine provisions in 

§ 1068.240 do not clearly address the 

situation in which rebuilt engines are 

used to repower equipment where the 

engine being replaced meets alternate 

emission standards (such as those 

produced under the Transition Program 

for Equipment Manufacturers). These 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59137 

engines are not certified to the emission 

standards that otherwise apply for the 

given model year, so there may be some 

confusion regarding the appropriate way 

of applying these regulatory 

requirements. We are therefore adopting 

clarifying language to make sure the 

required statements on engine labels 

and the underlying regulatory 

requirements reflect this scenario. 

(8) Delegated Assembly 

We understand that engine 

manufacturers have competing interests 

both to maintain the ability to arrange 

flexible assembly procedures and 

agreements, and to ensure that their 

engines are introduced into commerce 

only after being assembled in the 

certified configuration. We share those 

objectives and believe the regulations 

related to delegated assembly serve the 

purpose of creating a framework for 

balancing these different concerns. 

These regulatory provisions will help 

manufacturers by defining practices that 

prevent a situation where 

competitiveness concerns cause them to 

take steps to reduce costs at the risk of 

producing noncompliant products. 

We proposed special delegated 

assembly provisions for Small SI 

engines, rather than applying the 

delegated assembly provisions of part 

1068. In this final rule, however, we are 

consolidating the various approaches for 

different types of engines and 

integrating them into a single framework 

that will apply generally for heavy-duty 

highway engines and for nonroad 

engines. The main difference between 

these previously existing programs is 

the allowance for heavy-duty highway 

engines to rely either on pricing engines 

and aftertreatment components together 

or auditing vehicle manufacturers, but 

not necessarily both, to ensure that 

installed engines are in a certified 

configuration. While we are concerned 

about the incentive for vehicle and 

equipment manufacturers to gain a 

financial advantage if aftertreatment 

components are not priced together with 

the engine, we believe requiring engine 

manufacturers to perform audits of 

vehicle or equipment manufacturers is 

generally sufficient to provide the 

proper assurances that engines are being 

properly assembled and installed. 

Conversely, we believe that pricing 

aftertreatment and engines together is a 

strong enough assurance of proper 

assembly and installation procedures 

that audits are generally not necessary 

as an additional oversight measure. We 

note that these provisions spell out a 

minimum level of oversight for engine 

manufacturers. There may be instances, 

such as a new relationship with a 

vehicle or equipment manufacturer or 

some other reason to have less 

confidence in proper assembly 

procedures, where the engine 

manufacturer would want or need to 

take steps beyond what the regulations 

require to ensure that engines are 

assembled properly. 

We believe there is a strong advantage 

in implementing requirements 

uniformly across all the engine 

programs, both for EPA and for 

manufacturers. Aside from the pricing 

and auditing requirements described 

above, we are making the following 

provisions part of the final program, 

which were part of one or more of the 

programs adopted earlier in parts 85 and 

1068, : 

• Auditing rates are generally set at 

four equipment (or vehicle) 

manufacturers per year, or enough to 

rotate through all the equipment 

manufacturers over a four-year period, 

whichever is less. A reduced rate may 

apply after several years of successful 

implementation of these requirements. 

• We are continuing the approach 

already adopted to provide for a 

streamlined demonstration for 

integrated manufacturers where the 

auditing would effectively be an 

internal practice. 

• Engine manufacturers remain 

responsible for the in-use compliance of 

engines sold using the delegatedassembly provisions. This means, for 

example, that these engines would be 

subject to recall if we find that there are 

a substantial number of nonconforming 

engines. 

In addition, we are including the 

following provisions in the unified 

approach to delegated assembly that 

were initiated as part of the proposal for 

Small SI engines: 

• Distributors may participate in 

delegated assembly, but only to the 

extent that they act as equipment 

manufacturers, adding aftertreatment 

devices before shipping the engines to 

vehicle or equipment manufacturers. 

Allowing distributors to further delegate 

engine assembly to another set of 

companies raises fundamental questions 

about the ability of engine 

manufacturers to adequately ensure 

proper final assembly of their engines. 

We are making a temporary allowance 

for this for Small SI engines to 

accommodate the transitional 

provisions allowing equipment 

manufacturers to gradually work toward 

making Phase 3 products. Starting in 

2015, Small SI manufacturers may rely 

on distributors to act as their agents 

only with our approval. Note that this 

restriction on distributors does not 

apply in cases where the distributor has 

a financial or administrative role in 

facilitating a transaction between engine 

and equipment manufacturers where the 

engine and equipment manufacturers 

meet all the requirements that apply 

under § 1068.261(d). 

• If engine manufacturers design their 

air-intake systems such that they 

depend on specific parts (identifiable by 

part number) to achieve proper air flow 

through the engine, that raises concerns 

that are similar to aftertreatment 

devices. In fact, we are currently 

pursuing an enforcement case where an 

equipment manufacturer did not follow 

the engine manufacturer’s directions to 

use a specific air filter. We are 

specifying that air filters identified by 

part number must be included in 

delegated assembly, though we require 

audits related to air filters only if audits 

are already occurring for exhaust 

systems. If manufacturers specify intake 

air systems by performance parameters 

such as maximum pressure drop across 

the air filter, the delegated-assembly 

provisions do not apply. This is similar 

to the way we have treated exhaust 

components for systems not requiring 

exhaust aftertreatment. See 

§ 1068.260(a). 

• Vehicle or equipment 

manufacturers submitting annual 

affidavits must include a count of 

aftertreatment devices received to verify 

that there were enough of the right 

models of aftertreatment devices for the 

number of engines involved. 

• Engines need to be labeled to 

identify their status as delegatedassembly engines, either with a 

removable label or with ‘‘Delegated 

Assembly’’ noted on the engine’s 

permanent label. This ensures that 

engines will not be introduced into 

commerce without an indication of their 

status relative to the certified 

configuration. 

• Engine manufacturers must confirm 

that vehicle or equipment 

manufacturers have ordered 

aftertreatment devices corresponding to 

an engine order, but this confirmation is 

limited to the initial shipment of 

engines for a new certification and may 

occur up to 30 days after the engines 

have been ordered. 

• For engines subject to requirements 

for production-line testing or selective 

enforcement audits, we specify that 

aftertreatment components must be 

randomly procured. We agree with the 

suggestion in the comments to broaden 

the allowance for randomly procuring 

components. As long as manufacturers 

use a method to randomly select 

components that are appropriate for the 

particular engine configuration, these 

mstockstill on PROD1PC66 with RULES2

59138 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

components may come from any point 

in the normal distribution chain. 

Manufacturers raised a concern 

regarding the possibility that they may 

inappropriately be paying Customs 

duties based on the value of 

aftertreatment devices that were priced 

with the engine even though they would 

be shipped separately. We have 

confirmed with the U.S. Customs and 

Border Protection that such an 

inappropriate payment of import duties 

can be avoided with documentation 

showing that the price of the engine 

includes a charge for components that 

are not included in that particular 

shipment. This also applies for 

importing aftertreatment devices alone 

where the import duty should not apply 

based on the value of the engine and 

aftertreatment together. This could most 

easily be accomplished by itemizing the 

invoice to identify the value of the 

missing components relative to the 

value of the rest of the engine. The 

regulations now include these specific 

instructions regarding invoicing with 

respect to import duties. 

We understand that there may be 

companies complying with the 

delegated assembly provisions in 

§ 85.1713 or § 1068.260 today. The 

changes included in this final rule 

generally expand the flexibility of 

complying with regulatory 

requirements. These regulatory changes 

generally apply immediately with the 

effective date of the final rule. However, 

there may be some need to modify 

current practices to conform to the 

revised regulation. If a manufacturer 

needs additional time to comply, we 

would expect to use the provisions of 

§ 1068.40 to work out an arrangement 

under which the manufacturer would be 

able to make an orderly transition 

toward complying with the new 

requirements. 

(9) Miscellaneous Changes 

The most noticeable change we are 

making to part 1068 is the proposed 

clarification to the language throughout 

to make necessary distinctions between 

engines, equipment, and fuel-system 

components—and particularly between 

equipment using certified engines and 

equipment that has been certified to 

meet equipment-based standards. This 

becomes necessary because the 

evaporative emission standards apply in 

some cases to equipment manufacturers 

and boat builders, while the exhaust 

emission standards apply only to engine 

manufacturers. Some provisions in part 

1068 apply to equipment manufacturers 

differently if they hold a certificate of 

conformity rather than merely installing 

certified engines (or certified fuelsystem components). The changes in 

regulatory language are intended to help 

make those distinctions. See § 1068.2 for 

a description of the new terminology 

that we intend to use throughout part 

1068. 

We previously adopted a definition of 

‘‘nonroad engine’’ that continues to 

apply today (see § 1068.30). This 

definition distinguishes between 

portable or transportable engines that 

may be considered either nonroad or 

stationary, depending on the way they 

will be used. The distinction between 

nonroad and stationary engines is most 

often relevant for new engines in 

determining which emission standards 

apply. However, we have received 

numerous questions related to 

equipment whose usage has changed so 

that the original designation no longer 

applies. The text of that original 

definition did not clearly address these 

situations. We are therefore adopting the 

proposed provisions that apply when an 

engine previously used in a nonroad 

application is subsequently used in an 

application other than a nonroad 

application, or when an engine 

previously used in a stationary 

application is moved (see § 1068.31). In 

response to comments, we are also 

including language in the final rule to 

clarify that switching between nonroad 

and stationary does not change the 

engine’s model year for purposes of 

establishing applicable standards. The 

engine would need to meet applicable 

requirements for its new application (or 

status), but this would not involve 

certifying the engine as new for the 

current model year. Note that the 

purpose of these changes to regulatory 

language is to clarify existing provisions 

rather than change which requirements 

apply for specific situations. 

We are adopting the proposed 

changes to the thresholds for 

determining whether to investigate or 

report emission-related defects. These 

changes are intended to more carefully 

reflect the level of investigation and 

reporting that should apply for very 

high-volume engine families. In 

particular, we specify that 

manufacturers should investigate 

defects if potential (unscreened) 

emission-related defects exceed 4 

percent for sales volumes between 

50,000 and 550,000, with a threshold of 

25,000 for all families with sales 

volumes above 550,000. Similarly, we 

specify that manufacturers should send 

a report if confirmed emission-related 

defects exceed 1 percent for sales 

volumes between 50,000 and 550,000, 

with a threshold of 6,000 for all families 

with sales volumes above 550,000. 

Several of the new provisions in part 

1068 address fundamental issues for 

complying with emission standards. 

Defining ‘‘engine’’ and ‘‘date of 

manufacture,’’ clarifying the timing of 

the transition to new model years, 

adding requirements for shipping 

partially complete engines to secondary 

engine manufacturers, and creating a 

new path for exempting replacement 

engines could lead manufacturers to 

make significant changes in the way 

they comply with the regulations. 

However, in many cases we would 

expect the new regulations to generally 

reflect current business practices. We 

are therefore amending the regulatory 

requirements to part 1068 without 

identifying a certain lead time before the 

requirements apply. Instead, to address 

those situations where manufacturers 

need time to make a transition toward 

complying with new requirements, we 

are adding a general provision allowing 

us to approve a manufacturer’s request 

to delay implementation of the new 

requirements in part 1068 for up to 12 

months from the effective date of the 

final rule (see § 1068.40). The changes to 

part 1068 have a legal effective date of 

December 8, 2008. We will generally 

approve these requests if manufacturers 

can demonstrate that it would be 

impractical to comply with the new 

requirements in the given time frame. 

We may consider the potential for 

adverse environmental impacts in our 

decision. 

In addition, we proposed several 

amendments to part 1068 to clarify 

various items. These are being finalized, 

including: 

• § 1068.101(a)(1): Revising the 

prohibited act to specify that engines 

must be ‘‘covered by’’ a certificate rather 

than ‘‘having’’ a certificate. The revised 

language is more descriptive and 

consistent with the Clean Air Act. 

• § 1068.101(a)(1)(i): Clarifying that 

engines or equipment are considered to 

be uncertified if they are not in a 

configuration that is included in the 

applicable certificate of conformity. 

This applies even if the product had an 

emission label stating that it complies 

with emission standards. 

• § 1068.101(a)(2): Clarifying the 

prohibition on recordkeeping to apply 

also to submission of records to the 

Agency. 

• § 1068.101(b)(1): Clarifying the 

prohibition against using engines in a 

way that renders emission controls 

inoperative to emphasize that it 

includes misfueling or failing to use 

additives that the manufacturer 

specifies as part of the engine’s certified 

configuration. This is more likely to 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59139 

apply for compression-ignition engines 

than spark-ignition engines. 

• § 1068.101(b)(7): Clarifying the 

prohibitions related to warranty to 

require the submission of specified 

information in the application for 

certification; adding language to identify 

obligations related to recall and 

installation and maintenance 

instructions; and preventing the 

manufacturer from communicating to 

users that warranty coverage is 

conditioned on using authorized parts 

or service facilities. These provisions 

are consistent with requirements that 

apply in other EPA programs. 

• § 1068.105(a): Revising the 

regulation to allow equipment 

manufacturers to use up normal 

inventories of previous model year 

engines only if it is a continuation of 

ongoing production with existing 

inventories. These provisions do not 

apply for an equipment manufacturer 

starting to produce a new equipment 

model. 

• § 1068.105: Eliminating paragraph 

(b) related to using highway certification 

for nonroad engines or equipment since 

these provisions are spelled out 

specifically for each nonroad program 

where appropriate. 

• § 1068.105(b): Clarifying the 

requirement to follow emission-related 

installation instructions to include 

installation instructions from 

manufacturers that certify components 

to evaporative emission standards. 

• § 1068.120: Clarifying that the 

rebuilding provisions apply to 

maintenance related to evaporative 

emissions. 

• § 1068.240: Clarifying that the scope 

of the exemption for new replacement 

engines is limited to certain engines. 

• § 1068.250: Revising the 

applicability of the small-business 

hardship provisions to address a 

situation where the standard-setting part 

does not define criteria for establishing 

which companies qualify as smallvolume manufacturers; where we do not 

already specify such criteria, we will 

rely on the criteria established by the 

Small Business Administration. 

• § 1068.250: Clarifying the timing 

related to hardship approvals and the 

ability to get extensions under 

appropriate circumstances. 

• § 1068.305: Clarifying that that the 

requirement to submit importation 

forms applies to all engines, not just 

nonconforming engines; also adding a 

requirement to keep these records for 

five years. Both of these changes are 

consistent with the Customs regulations 

at 19 CFR 12.74. 

• Part 1068, Appendix I: Defining 

emission-related components related to 

evaporative emission controls. 

D. Amendments Related to Large SI 

Engines (40 CFR Part 1048) 

We are making a variety of technical 

amendments to the regulations in 40 

CFR part 1048 for Large SI engines, as 

described in this section. 

As described in Section V.E.1, we are 

establishing a provision to allow for 

assigned deterioration factors for smallvolume engine families for Small SI 

engines. We requested comment on 

applying this kind of provision to Large 

SI engines, for which manufacturers do 

more extensive testing to demonstrate 

compliance over a useful life of 5,000 

hours. We are therefore including in the 

final rule an allowance for 

manufacturers to use an assigned 

deterioration factor for engine families 

with U.S.-directed production volumes 

up to 300 units. This should provide 

significant relief in the testing burden 

for certifying very small engine families. 

We are adopting the proposed 

changes to the provisions related to 

competition engines to align with the 

final rule for Small SI engines. Any 

Small SI engine that is produced under 

the competition exemption will very 

likely exceed 19 kW. As a result, we 

believe it is appropriate to make these 

provisions identical to avoid confusion. 

Manufacturers have notified us that 

the transient test for constant-speed 

engines does not represent in-use 

operation in a way that significantly 

affects measured emission levels. This 

notification is required by 

§ 1065.10(c)(1). In particular, 

manufacturers have pointed out that the 

specified operation involves light 

engine loads such that combustion and 

exhaust temperatures do not rise enough 

to reach catalyst light-off temperatures. 

As a result, meeting the standard using 

the constant-speed transient test will 

require the use of significantly oversized 

catalysts, which will add significant 

costs without a commensurate 

improvement for in-use emission 

control. We faced a similar dilemma in 

the effort to adopt transient standards 

for nonroad diesel engines, concluding 

that the transient standards should not 

apply until we develop a suitable duty 

cycle that more appropriately reflects 

in-use operation. As proposed, we are 

taking this same approach for Large SI 

engines, waiving the requirement for 

constant-speed engines to meet the 

transient standards until we are able to 

develop a more appropriate duty cycle. 

We are clarifying that manufacturers 

certifying constant-speed engines 

should describe their approach to 

controlling emissions during transient 

operation in their application for 

certification. Manufacturers must 

continue to meet the standards for 

steady-state testing and the field-testing 

standards continue to apply. See 

Section 1.8 of the Summary and 

Analysis of Comments for a discussion 

of the methods for demonstrating 

compliance with the field-testing 

standards for certification. 

Manufacturers have also pointed out 

that a multiplicative deterioration factor 

is problematic for engines with very low 

emission levels. While the standard 

allows that HC+NOX emissions may be 

as high as 2.7 g/kW-hr, manufacturers 

are certifying some engine families with 

deteriorated emission levels below 0.1 

g/kW-hr. These very low emission levels 

are so far below the standard that 

measurement variability and minor 

engine-to-engine variability can lead to 

small absolute differences in emission 

levels that become magnified by a 

deterioration factor that reflects the 

extremely small low-hour measurement. 

We are therefore finalizing the proposed 

specification that manufacturers may 

use an additive deterioration factor if 

their low-hour emission levels are 

below 0.3 g/kW-hr for HC+NOX or 0.5 

g/kW-hr for CO. This change 

accommodates the mathematical and 

analyzer effects of very low emission 

levels without changing the current 

practice for the majority of engines that 

are certified with emission levels closer 

to the standard (we increased the 

threshold from the proposed level of 0.3 

g/kW-hr for CO to a level of 0.5 g/kWhr to reflect the greater variability in CO 

emissions at this level of control). This 

change removes the incentive for 

manufacturers to increase their engine’s 

emission levels to avoid an artificially 

large deterioration factor. The only 

exception is for cases in which good 

engineering judgment dictates that a 

multiplicative deterioration factor will 

nevertheless be appropriate for engines 

with very low emissions. This may be 

the case if an engine’s deterioration can 

be attributed, even at very low emission 

levels, to proportionally decreased 

catalyst conversion of emissions from an 

aged engine. It is important to note that 

Large SI engine manufacturers are 

subject to in-use testing to demonstrate 

that they meet emission standards 

throughout the useful life. Should such 

testing indicate that an additive 

deterioration factor does not 

appropriately reflect actual 

performance, we will require 

manufacturers to revise their 

deterioration factors appropriately, as 

required under the regulations. If such 

mstockstill on PROD1PC66 with RULES2

59140 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

123 ‘‘C’’ refers to fuel C as specified in ASTM D 

412, E10 refers to 10 percent ethanol, and M15 

refers to 15 percent methanol. 

discrepancies appear for multiple 

manufacturers, we will revise the 

regulation to again require 

multiplicative deterioration factors for 

all aftertreatment-based systems. 

Most Large SI engines are installed in 

equipment that has metal fuel tanks. 

This formed the basis of the regulatory 

approach to set evaporative emission 

standards and certification 

requirements. Manufacturers have 

raised questions about the appropriate 

steps to take for systems that rely on 

plastic fuel tanks. We have determined 

that the current emission standards and 

test procedures do not require 

manufacturers to account for 

permeation emissions from plastic fuel 

tanks. To address this concern, we are 

revising the regulations to reference the 

test procedures in part 1060, where 

preconditioning and measurement 

procedures clarify how to test plastic 

fuel tanks. We are also specifying that 

the design-based certification for plastic 

fuel tanks meeting the diurnal emission 

standards must incorporate the 

technologies specified in 40 CFR 

1060.240. For other technologies, the 

certifying manufacturer must perform 

tests to demonstrate compliance with 

the diurnal emission standards. Since 

manufacturers will need some time to 

meet these requirements, we are 

implementing this change starting with 

the 2010 model year. As a related 

matter, we are also changing the 

regulation to allow for component 

certification of fuel tanks (see 40 CFR 

1060.5). This will be necessary to 

accommodate the situation described 

above for plastic fuel tanks. This 

administrative adjustment does not 

affect the underlying requirement to 

design and certify products to meet 

applicable emission standards. We 

changed the final rule in response to 

comments, mainly to include more 

careful specification of canister 

preconditioning procedures for those 

systems that certify by testing rather 

than by design. 

In the proposal we requested 

comment on updating the reference 

standard for specifying low-permeation 

fuel lines. The current permeation 

standards for Large SI equipment 

references Category 1 fuel lines as 

defined in the version of SAE J2260 that 

was issued November 1996. We are 

adopting by reference the updated 

version of SAE J2260, which was 

finalized in November 2004 by the 

Society of Automotive Engineers. The 

new procedures have two primary 

differences related to fuel line 

permeation. First, the test fuel was 

changed from CM15 to CE10.123 Second, 

the associated limits for the different 

categories of fuel line permeation were 

revised. Data presented in Chapter 5 of 

the Final RIA suggest that permeation 

rates from low-permeation fuel line 

materials can be less than half on CE10 

than on CM15. The permeation 

specification for Category 1 fuel line 

was revised by SAE from 0–25 g/m2/day 

to 3–10 g/m2/day. (A new Category 0 

was added at 0–3 g/m2/day.) 

Directionally, the new Category 1 

permeation limits seem to account for 

the change in the test fuel. In addition, 

ethanol fuel blends are common with 

in-use fuels while methanol fuel blends 

are much less common. We are revising 

the regulation to specify that fuel lines 

must meet the Category 1 specification 

in the 2004 version of SAE J2260. 

We are making several additional 

technical amendments to part 1048. 

Many of these simply correct 

typographical errors or add references to 

the regulatory cites in part 1054 for 

Small SI engines. Several changes are 

intended merely to align regulatory 

language with that of other programs, 

including those that are subject to new 

standards under this final rule. In 

addition, we are making the changes 

described below. Note that the changes 

being made to the production-line and 

in-use testing requirements are being 

made in response to comments. As 

noted, a few others are also being made 

in response to comments. However, 

most of these changes are being 

finalized as proposed. 

• § 1048.5: Clarifying that locomotive 

propulsion engines are not subject to 

Large SI emission standards, even if 

they use spark-ignition engines. This is 

based on the separate provisions that 

apply to locomotives in Clean Air Act 

section 213 (including those that use 

spark-ignition engines). 

• § 1048.101: Clarifying 

manufacturer’s responsibility to meet 

emission standards for different types of 

testing, especially to differentiate 

between field-testing standards and 

duty-cycle standards. 

• § 1048.105: Clarifying that only the 

permeation standards of SAE J2260 

apply to fuel lines used with Large SI 

engines. 

• § 1048.105: Clarifying that the 

requirement to prevent fuel boiling is 

affected by the pressure in the fuel tank. 

The regulation currently characterizes 

the boiling point of fuel only at 

atmospheric pressure. Pressurizing the 

fuel tank increases the boiling point of 

the fuel. We are also adding clarifying 

language to describe how engine 

manufacturers may meet their 

requirements related to fuel boiling by 

describing appropriate steps or 

limitations in their installation 

instructions. 

• § 1048.105: Reorganizing the 

regulatory provisions to align with the 

new language in 40 CFR part 1060, and 

relying on those test procedures. This 

will help to provide uniformity across 

our nonroad programs. 

• § 1048.110: (1) Clarifying that 

‘‘malfunctions’’ relate to engines failing 

to maintain emission control and not to 

diagnostic systems that fail to report 

signals. (2) Clarifying that the 

malfunction indicator light needs to stay 

illuminated for malfunctions or for 

system errors. (3) Limiting the scope of 

diagnostic requirement to engines with 

closed-loop controls and three-way 

catalysts. This limitation is consistent 

with the conclusion we have reached for 

Marine SI engines. 

• § 1048.120: Clarifying that the 

emission-related warranty covers only 

those components from 40 CFR part 

1068, Appendix I, whose failure will 

increase emissions of regulated 

pollutants. 

• § 1048.125: Giving examples of 

noncritical emission-related 

maintenance, such as changing spark 

plugs and re-seating valves. 

• § 1048.135: Revising the engine 

labeling requirements to allow omission 

of the manufacturing date only if the 

date is stamped, engraved or otherwise 

permanently applied on the engine, 

rather than allowing manufacturers to 

keep records of engine build dates. This 

is important for verifying that engines 

comply with standards based on their 

build date. This requirement takes effect 

starting with the 2010 model year. See 

Section 1.3 of the Summary and 

Analysis of Comments for further 

discussion of issues related to this 

requirement. 

• § 1048.205: Removing detailed 

specifications for describing auxiliary 

emission control devices in the 

application for certification. This 

responds to the concern expressed by 

manufacturers that the existing, very 

prescriptive approach requires much 

more information than is needed to 

adequately describe emission control 

systems. We are leaving in place a broad 

requirement to describe emission 

control systems and parameters in 

sufficient detail to allow EPA to confirm 

that no defeat devices are employed. 

Manufacturers should be motivated to 

include substantial information to make 

such determinations in the certification 

process, rather than being subject to this 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59141 

type of investigation for emission 

control approaches that are found to be 

outside of the scope of the application 

for certification. We may require 

manufacturers to submit additional 

information if the description submitted 

with the application is not adequate for 

evaluating the appropriateness of the 

design. 

• § 1048.205: Adding a requirement 

to align projected production volumes 

with actual production from previous 

years. This does not imply additional 

reporting or recordkeeping 

requirements. It is intended simply to 

avoid situations where manufacturers 

intentionally mis-state their projected 

production volumes to gain some 

advantage under the regulations. 

• § 1048.205: Specifying that 

manufacturers must submit modal 

emission results rather than just 

submitting a weighted average. Since 

this information is already part of the 

demonstration related to the fieldtesting standards, this should already be 

common practice. 

• § 1048.220: Clarifying that if 

manufacturers change their 

maintenance instructions after starting 

production for an engine family, they 

may not disqualify engines for in-use 

testing or warranty claims based on the 

fact that operators did not follow the 

revised maintenance instructions. 

• § 1048.225: Clarifying the 

terminology to refer to ‘‘new or 

modified engine configurations’’ rather 

than ‘‘new or modified nonroad 

engines.’’ This is necessary to avoid 

using the term ‘‘new nonroad engine’’ in 

a way that differs from the definition in 

§ 1048.801. 

• § 1048.230: Clarifying that engine 

families relate fundamentally to 

emission certification and that we will 

expect manufacturers to suggest a 

tailored approach to specifying engine 

families under § 1048.230(d) to occur 

only in unusual circumstances. 

• § 1048.250: Adding a requirement 

for manufacturers to report their 

production volumes for an engine 

family separate from reports for 

production-line testing. For example, by 

excluding small-volume families from 

production-line testing, the reports of 

those production volumes would 

otherwise no longer be available to us. 

Also, we are clarifying that 

manufacturers must report total 

production volumes for an engine 

family for any production that occurs 

after submission of the final PLT report 

for the model year. 

• § 1048.301: Allowing small-volume 

emission families to be exempted from 

production-line testing requirements. 

This applies for engine families with 

sales volumes below 150 units. This 

level of production does not allow for 

adequate testing to use the statistical 

techniques before exceeding specified 

maximum testing rates. 

• § 1048.301: Specifying that 

manufacturers may use an alternate 

method for production-line testing by 

using field-grade analyzers (instead of 

lab-grade) without prior approval, as 

long as they double the specified 

minimum sampling rate. 

• § 1048.305: Clarifying that (1) tested 

engines should be built in a way that 

represents production engines and (2) 

the field-testing standards apply for any 

testing conducted (this may involve 

simply comparing modal results to the 

field-testing standards). We are also 

revising the provision related to repeat 

testing after an invalidated test to 

specify that manufacturers do not need 

our approval before retesting, except 

that we may require this if we find that 

tests have been improperly invalidated. 

• § 1048.310: Clarifying the 

relationship between quarterly testing 

and compliance with the annual testing 

requirements. 

• § 1048.315: Correcting the equation 

for the CumSum statistic to prevent 

negative values. 

• § 1048.345: Changing the PLT 

reporting deadline from 30 to 45 days 

after the end of each calendar quarter. 

This aligns with change we are making 

in other programs. 

• § 1048.350: Allowing manufacturers 

to keep electronic records related to 

production-line testing rather than 

paper records. 

• § 1048.405: Adding a provision 

allowing for an adjustment of in-use 

testing plans if unforeseen 

circumstances prevent completion of 

the testing effort. This aligns with the 

change described in Section IV for 

Marine SI engines. 

• § 1048.410: Clarifying that repeat 

tests with an in-use test engine are 

acceptable, as long as the same number 

of repeat tests are performed for all 

engines. 

• § 1048.415: Clarifying that the 

provisions related to defect reporting in 

40 CFR 1068.501 apply for in-use 

testing. 

• § 1048.501: Removing specified 

mapping procedures, since these are 

addressed in 40 CFR part 1065. 

• § 1048.501: Clarifying the 

evaporative testing procedures, mainly 

by describing preconditioning 

procedures for engines equipped with 

carbon canisters (loading with vapors, 

then operating the engine to purge the 

canister appropriately). These 

procedures are consistent with the 

requirements we specify for light-duty 

vehicles in part 86 and for nonroad 

equipment in part 1060. 

• § 1048.505: (1) Removing redundant 

text and removing sampling times 

specified in Table 1, since these are 

already addressed in § 1048.505(a)(1); 

(2) correcting the mode sequence listed 

in the table for ramped-modal testing; 

(3) clarifying that cycle statistics for 

discrete-mode testing are defined in 

§ 1065.514. This involves treating the 

series of modes as if it were continuous 

operation; and (4) referring to 

§ 1065.510 for idle specifications. These 

idle specifications provide more 

detailed instructions; we do not intend 

to change the way manufacturers test at 

idle. 

• §§ 1048.605 and 1048.610: 

Requiring some demonstration that the 

sales restrictions that apply for these 

sections are met, and clarifying the 

provisions related to emission credits 

for vehicles that generate or use 

emission credits under 40 CFR part 86. 

• § 1048.801: (1) Revising several 

definitions to align with updated 

definitions adopted for other programs; 

(2) Expanding the definition of smallvolume engine manufacturer to also 

include companies with annual U.S. 

production volumes of no more than 

2,000 Large SI engines. This aligns with 

the provisions already adopted by 

California ARB. (3) Revising (in 

response to comments) the provision for 

emission-data engines to specify that the 

low-hour test result should generally 

occur after no more than 125 hours of 

engine operation. The regulations 

separately specify that engines may be 

presumed stabilized after 50 hours, so 

this would allow at least 75 hours to 

perform testing on various fuels and 

configurations before the engine is no 

longer eligible for testing low-hour 

results. (4) Clarifying that an imported 

motor vehicle (or motor vehicle engine) 

that has been converted for nonroad use 

retains its original model year, but only 

if it was originally certified under part 

86. Converted vehicles and engines that 

were not certified under part 86 have an 

assigned model year based on the date 

of conversion for nonroad use and must 

therefore meet nonroad standards based 

on the new model year. 

E. Amendments Related to Recreational 

Vehicles (40 CFR Part 1051) 

We are making a variety of technical 

amendments to the regulations in 40 

CFR part 1051 for recreational vehicles, 

as described in this section. 

In the proposal we requested 

comment on revising the regulation to 

allow for manufacturers of fuel-system 

components to certify that their 

products meet emission standards. For 

mstockstill on PROD1PC66 with RULES2

59142 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

recreational vehicles we adopted a 

program in which the exhaust and 

evaporative emission standards apply to 

the vehicle so we did not set up a 

process for certifying fuel-system 

components. We continue to believe 

that evaporative emission standards 

should apply to the vehicle. However, 

we are revising the final rule to include 

a process by which manufacturers of 

fuel-system components can opt into 

this program by certifying their fuel 

tanks or fuel lines to the applicable 

standards. While this is a voluntary 

step, any manufacturer opting into the 

program in this way will be subject to 

all the requirements that apply to 

certificate holders. While manufacturers 

of recreational vehicles will continue to 

be responsible for meeting standards 

and certifying their vehicles, it may be 

appropriate to simplify their compliance 

effort by allowing them to rely on the 

certification of the fuel line 

manufacturer or fuel tank manufacturer. 

We are making several additional 

technical amendments to part 1051. 

Many of these simply correct 

typographical errors or add references to 

the regulatory cites in part 1054. Several 

changes are intended merely to align 

regulatory language with that of other 

programs, including those that are 

subject to the standards in this final 

rule. In addition, we are making the 

changes described below. Note that the 

changes being made to the productionline and other testing requirements are 

being made in response to comments. 

As noted, a few others are also being 

made in response to comments or as 

clarifications of existing text. However, 

most of these changes are being 

finalized as proposed. 

• § 1051.1: Revising the speed 

threshold for offroad utility vehicles to 

be subject to part 1051. Changing from 

‘‘25 miles per hour or higher’’ to ‘‘higher 

than 25 miles per hour’’ aligns this 

provision with the similar threshold for 

qualifying as a motor vehicle in 40 CFR 

85.1703. 

• § 1051.5: Clarifying the status of 

very small recreational vehicles to 

reflect the provisions in the current 

regulations in 40 CFR part 90 to treat 

such vehicles with a dry weight under 

20 kilograms as Small SI engines. 

• § 1051.25: Clarifying that 

manufacturers of recreational vehicles 

that use engines certified to meet 

exhaust emission standards must still 

certify the vehicle with respect to the 

evaporative emission standards. 

• § 1051.120: Clarifying that the 

emission-related warranty covers only 

those components from 40 CFR part 

1068, Appendix I, whose failure will 

increase emissions of regulated 

pollutants. 

• § 1051.125: Giving examples of 

noncritical emission-related 

maintenance, such as changing spark 

plugs and re-seating valves. 

• § 1051.135: Revising the labeling 

requirements to allow omission of the 

manufacturing date only if the date is 

stamped, engraved, or otherwise 

permanently applied on the vehicle, 

rather than allowing manufacturers to 

keep records of vehicle build dates. This 

is important for verifying that vehicles 

comply with standards based on their 

build date. This requirement takes effect 

starting with the 2010 model year. See 

Section 1.3 of the Summary and 

Analysis of Comments for further 

discussion of issues related to this 

requirement. 

• § 1051.135: Adding a requirement 

to label vehicles as described in part 

1060 for evaporative emission controls. 

Since this change may involve some 

time for manufacturers to comply, we 

are applying this requirement starting 

with the 2010 model year. 

• § 1051.137: Clarifying how the 

labeling requirements apply with 

respect to the averaging program and 

selected family emission limits. 

• § 1051.140: Allowing (in response 

to comments) for identification of 

engine displacement to the nearest 

whole cubic centimeter (rather than the 

nearest 0.5 cubic centimeter). This level 

of precision is adequate for 

implementing regulatory provisions 

related to engine displacement. 

• § 1051.145: Allowing the continued 

use of part 91 test procedures (instead 

of part 1065 procedures) for 

snowmobiles subject to Phase 2 or Phase 

2 standards. We will revisit this 

provision in the context of adopting 

revised Phase 3 standards. 

• § 1051.205: Removing detailed 

specifications for describing auxiliary 

emission control devices in the 

application for certification. This 

responds to the concern expressed by 

manufacturers that the existing, very 

prescriptive approach requires much 

more information that is needed to 

adequately describe emission control 

systems. We are leaving in place a broad 

requirement to describe emission 

control systems and parameters in 

sufficient detail to allow EPA to confirm 

that no defeat devices are employed. 

Manufacturers should be motivated to 

include substantial information to make 

such determinations in the certification 

process, rather than being subject to this 

type of investigation for emission 

control approaches that are found to be 

outside of the scope of the application 

for certification. We may require 

manufacturers to submit additional 

information if the description submitted 

with the application is not adequate for 

evaluating the appropriateness of the 

design. 

• § 1051.205: Requirements to align 

projected production volumes with 

actual production from previous years. 

This does not imply additional 

reporting or recordkeeping 

requirements. It is intended simply to 

avoid situations where manufacturers 

intentionally mis-state their projected 

production volumes to gain some 

advantage under the regulations. 

• § 1051.220: Clarifying that if 

manufacturers change their 

maintenance instructions after starting 

production for an engine family, they 

may not disqualify vehicles for warranty 

claims based on the fact that operators 

did not follow the revised maintenance 

instructions. 

• § 1051.225: Clarifying the 

terminology to refer to ‘‘new or 

modified vehicle configurations’’ rather 

than ‘‘new or modified vehicles.’’ This 

is necessary to avoid confusion with the 

term ‘‘new vehicle’’ as it relates to 

introduction into commerce. 

• § 1051.225: Clarifying the 

provisions related to changing an engine 

family’s Family Emission Limit after the 

start of production. 

• § 1051.255: Adopting a different 

SAE standard for specifying lowpermeability materials to allow for 

design-based certification of metal fuel 

tanks with gaskets made of polymer 

materials. The previous language does 

not adequately characterize the 

necessary testing and material 

specifications. 

• § 1051.230: Clarifying that engine 

families relate fundamentally to 

emission certification and that we will 

expect manufacturers to suggest a 

tailored approach to specifying engine 

families under § 1051.230(e) to occur 

only in unusual circumstances. 

• § 1051.245: Revising the 

specification for fuel lines meeting the 

specifications of SAE J 2260 to include 

the 2004 version of this standard as 

described in Section VIII.D. 

• § 1051.250: Adding a requirement 

for manufacturers to report their 

production volumes for an engine 

family separate from reports for 

production-line testing. For example, by 

excluding small-volume families from 

production-line testing, the reports of 

production volumes would otherwise 

no longer be available to us. Also, we 

are clarifying that manufacturers must 

report total production volumes for an 

engine family for any production that 

occurs after submission of the final PLT 

report for the model year. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59143 

• § 1051.301: Allowing small-volume 

emission families to be exempted from 

production-line testing requirements. 

This applies for engine families with 

production volumes below 150 units. 

This level of production does not allow 

for adequate testing to use the statistical 

techniques before exceeding specified 

maximum testing rates. 

• § 1051.301: Specifying that 

manufacturers may use an alternate 

method for production-line testing by 

using field-grade analyzers (instead of 

lab-grade) without prior approval, as 

long as they double the specified 

minimum sampling rate. 

• § 1051.305: Clarifying that tested 

vehicles should be built in a way that 

represents production vehicles. 

• § 1051.305: Revising the provision 

related to repeat testing after an 

invalidated test to specify that 

manufacturers do not need our approval 

before retesting, except that we may 

require this if we find that tests have 

been improperly invalidated. 

• § 1051.310: Clarifying the 

relationship between quarterly testing 

and compliance with the annual testing 

requirements; and clarifying the testing 

provisions that apply for engine families 

where the production period is 

substantially less than a full year. 

• § 1051.315: Correcting the equation 

for the CumSum statistic to prevent 

negative values. 

• § 1051.325: Clarifying the basis on 

which we will approve retroactive 

changes to the Family Emission Limit 

for an engine family that has failed 

under production-line testing. 

• § 1051.345: Changing the PLT 

reporting deadline from 30 to 45 days 

after the end of each calendar quarter. 

This aligns with change we are making 

in other programs. 

• § 1051.350: Allowing manufacturers 

to keep electronic records related to 

production-line testing rather than 

paper records. 

• § 1051.501: Adding a specified test 

fuel for diesel-fueled recreational 

vehicles that certify under part 1051. 

This would generally involve either 

low-sulfur diesel fuel (< 500 ppm 

sulfur) or ultra low-sulfur diesel fuel (< 

15 ppm sulfur). 

• § 1051.505: (1) Clarifying that cycle 

statistics for discrete-mode testing on an 

engine dynamometer are defined in 

§ 1065.514. This involves treating the 

series of modes as if it involved 

continuous operation. (2) Specifying 

that manufacturers may choose between 

discrete-mode and ramped-modal 

measurements for production-line 

testing if the application for certification 

includes testing conducted with both 

types of testing. (3) Referring to 

§ 1065.510 for idle specifications. These 

idle specifications provide more 

detailed instructions; we do not intend 

to change the way manufacturers test at 

idle. 

• §§ 1051.605 and 1051.610: 

Requiring a demonstration that the sales 

restrictions that apply for these sections 

are met. 

• § 1051.650: Adding a requirement 

to certify vehicles that are converted to 

run on a different fuel. We expect this 

is a rare occurrence, but one that we 

should make subject to certification 

requirements. 

• § 1051.701: Clarifying that 

manufacturers using emission credits to 

meet emission standards must base their 

credit calculations on their full product 

line-up, rather than considering only 

those engine families with Family 

Emission Limits above or below the 

emission standard. 

• §§ 1051.710–1051.735: Making 

various minor revisions to align with 

regulatory specifications in other 

programs. 

• § 1051.735: Adding a requirement 

to keep records related to banked 

emission credits for as long as a 

manufacturer intends for those credits 

to be valid. This is necessary for us to 

verify the appropriateness of credits 

used for demonstrating compliance with 

emission standards in later model years. 

• § 1051.801: Revising several 

definitions to align with updated 

definitions adopted for other programs. 

• § 1051.801: Clarifying that an 

engine’s ‘‘maximum engine power’’ 

does not change if it is installed in a 

vehicle or piece of equipment that limits 

the engine’s operation. For example, 

adding a speed limiter to a vehicle does 

not affect the engine’s ‘‘maximum 

engine power’’ as determined by the 

engine manufacturer for the engine as it 

would be tested using the specified 

procedures. 

• § 1051.801: Clarifying that an 

imported motor vehicle that has been 

converted for nonroad use retains its 

original model year, but only if it was 

originally certified under part 86. 

Converted vehicles that were not 

certified under part 86 have an assigned 

model year based on the date of 

conversion for nonroad use and must 

therefore meet nonroad standards based 

on the new model year. 

F. Amendments Related to Heavy-Duty 

Highway Engines (40 CFR Part 85) 

We proposed to make several 

adjustments to the provisions related to 

delegated assembly specified in 

§ 85.1713. These proposed adjustments 

include: 

• Removing the provision related to 

auditing outside the United States since 

equipment manufactured in other 

countries will not be subject to these 

provisions 

• Clarifying that the exemption 

expires when the equipment 

manufacturer takes possession of the 

engine, but not before it reaches the 

point of final assembly 

• Clarifying the prohibition related to 

following installation instructions to 

ensure that engines are in their certified 

configuration when installed in a piece 

of equipment. 

We are adopting these proposed 

provisions as part of a bigger effort to 

harmonize delegated-assembly across 

engine categories. See Section VIII.C.6 

for further discussion of the changes in 

delegated assembly in the harmonized 

approach we are adopting in § 1068.261. 

Note that the new labeling requirements 

we are adopting take effect for heavyduty highway engines starting in the 

2010 model year. 

Manufacturers also submitted 

comments describing technical and 

practical challenges related to the 

transition to using part 1065 test 

procedures for heavy-duty highway 

engines. We have agreed to delay the 

mandatory use of part 1065 procedures 

until July 2010. However, there are 

several areas where part 1065 specifies 

procedures or methods that are already 

well established, where those methods 

represent substantial improvements 

over the existing procedures specified in 

part 86. We are therefore not extending 

the deadline for these specific 

provisions. See § 86.1305–2010 for 

additional information. 

We have revised the final rule to 

include new provisions allowing for a 

replacement-engine exemption for 

heavy-duty highway engines under 

§ 1068.240 as described in Section 

VIII.C.5. 

G. Amendments Related to Stationary 

Spark-Ignition Engines (40 CFR part 60) 

On January 18, 2008 we promulgated 

final emission standards for stationary 

spark-ignition engines (73 FR 3567). The 

final rule specified that stationary sparkignition engines at or below 19 kW 

would be subject to all the same 

emission standards and certification 

requirements that apply to Small SI 

engines. Since we are promulgating new 

standards for Small SI engines in this 

rule, these requirements should apply 

automatically to those stationary 

engines. However, since the Phase 3 

standards are in 40 CFR part 1054, as 

described in Section V, we are revising 

the regulatory language for stationary 

spark-ignition engines in 40 CFR part 

mstockstill on PROD1PC66 with RULES2

59144 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

60, subpart JJJJ, to directly reference the 

Phase 3 standards in part 1054, as 

proposed. 

H. Amendments Related to Locomotive, 

Marine, and Other Nonroad 

Compression-Ignition Engines (40 CFR 

parts 89, 92, 94, 1033, 1039, and 1042) 

In response to comments, we are 

making a variety of technical 

amendments to regulatory provisions for 

nonroad compression-ignition engines. 

Several of these changes are intended to 

align with the changes we are adopting 

in this rule for spark-ignition engines, 

either to be consistent with those 

standard-setting parts, or to fit with 

changes we are making to the general 

compliance provisions in part 1068. 

There are also a variety of changes to 

correct paragraph references and other 

typographical errors. We are making the 

following additional adjustments and 

clarifications to the regulations: 

• Modifying the labeling statement 

for replacement engines under part 89 to 

clarify what applies when manufacturer 

replace an engine that was originally 

exempted from emission standards. 

• Correcting a typographical error to 

define the alternate emission standard 

for switch locomotives in § 1033.101(b) 

to be the same as that for line-haul 

locomotives, as described in the 

preamble to that final rule. 

• Revising the start date for the 

certification requirement for automatic 

engine stop/start in § 1033.115 to 

provide sufficient lead time following 

publication of the final rule establishing 

part 1033. Note that this revision 

addresses only administrative 

requirements and does not delay the 

introduction of the emission control 

technology. 

• Clarifying provisions related to 

assigned deterioration factors for 

locomotive remanufacturers in 

§ 1033.150 to be consistent with the 

description in the preamble to the final 

rule establishing part 1033. 

• Clarifying the need for prior 

approval of adjustments for automatic 

shutdown features to be consistent with 

the description in the preamble to the 

final rule establishing part 1033 (see 

§ 1033.530). 

• Clarifying the definition of ‘‘new’’ 

in § 1033.801 for remanufactured 

engines that have been certified. 

• Revising the definition of ‘‘hobby 

engine’’ in § 1039.5 and § 1042.5 to rely 

on vehicle characteristics (reduced-scale 

models that are not capable of 

transporting a person) rather than 

engine characteristics (less than 50 cc 

per cylinder). See Section 1.2 of the 

Summary and Analysis of Comments for 

further information. 

• Clarifying that compression-ignition 

engines used in recreational vehicles 

and certified under part 1051 are not 

required to certify under part 1039. 

• Clarifying the labeling requirements 

that apply for engines meeting the 

alternate PM standard specified in 

§ 1039.101(c) (see § 1039.102 and 

§ 1039.135). 

• Adding a provision allowing 

manufacturers to specify scheduled 

maintenance for crankcase vent filters. 

This is analogous to servicing PCV 

valves for engines that have closed 

crankcases (see § 1039.125). 

• Revising the Transition Program for 

Equipment Manufacturers in § 1039.625 

and § 1039.626 to (1) require 

manufacturers to send only a single 

report to EPA, (2) allow manufacturers 

to identify their contact information in 

their reports or on a publicly accessible 

Web site rather than on their equipment 

labels, (3) specify a notification deadline 

based on the start of using these 

provisions, rather than tying the 

deadline only to the start of the year, (4) 

allow manufacturers to omit the FEL 

from the engine label if the FEL is below 

the emission standard that would 

otherwise apply, (5) identify specific 

asset thresholds for avoiding bond 

payments for importing exempted 

products, (6) clarify the types of 

penalties and judgments that would be 

subject to payment from the posted 

bond, and (7) specify that manufacturers 

may identify an agent for service 

anywhere in the United States (rather 

than specifically in Washington, DC). 

• Correcting an error for marine 

compression-ignition engines in 

§ 1042.101 by noting that the Tier 3 

NOX+HC standards do not apply for 

engines between 2000 and 3700 kW that 

have a power density above 35 kW per 

liter. The footnote in Table 1 of this 

section denoting this distinction was 

inadvertently omitted for the high 

power-density engines. 

• Revising the requirements related to 

evaporative emissions in § 1042.105 to 

align with the new provisions that apply 

for Marine SI applications as described 

in Section VI. 

• Removing § 1042.601(g) since this 

provision is being codified in this rule 

at § 1068.101(b)(1). 

IX. Projected Impacts 

A. Emissions from Small Nonroad and 

Marine Spark-Ignition Engines 

As discussed in previous sections, 

this final rule will reduce exhaust 

emissions from specific sizes of 

nonhandheld Small SI and Marine SI 

engines. It will also reduce evaporative 

emissions from the fuel systems used on 

nonhandheld and handheld Small SI 

equipment and Marine SI vessels (for 

simplicity we collectively include the 

evaporative emission requirements from 

equipment or vessels when referring to 

Small SI or Marine SI engines in the 

remainder of this section). The new 

exhaust and evaporative emission 

standards will directly affect volatile 

organic hydrocarbon compounds (VOC), 

oxides of nitrogen (NOX), and to a lesser 

extent carbon monoxide (CO). Also, we 

anticipate that the emission control 

technology which is likely to be used to 

meet the exhaust emission standards 

will affect directly emitted particulate 

matter, most importantly particles with 

diameters of 2.5 micrometers or less 

(PM2.5). It will also incrementally 

reduce air toxic emissions. A detailed 

analysis of the effects of this final rule 

on emissions and emission inventories 

can be found in Chapter 3 of the Final 

RIA. 

The contribution of exhaust and 

evaporative emissions from Small SI 

and Marine SI engines to total 50-state 

mobile-source emission inventories is 

significant and will remain so into the 

future. Table IX–1 presents the 

nationwide inventory for these engines 

for both 2002 and 2030. (The 

inventories cover all Small SI and 

Marine SI engines including the portion 

of Small SI engines regulated by the 

California ARB.) Table IX–1 shows that 

for the primary pollutants affected by 

this final rule, these engines contribute 

about 25 to 35 percent of the nationwide 

VOC emissions from all mobile sources. 

The nationwide contribution to the total 

mobile source NOX inventory is about 5 

percent or less. Finally, for PM2.5, the 

contribution is about 10 percent. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59145 

TABLE IX–1—CONTRIBUTION OF SMALL NONROAD AND MARINE SI ENGINES TO NATIONAL (50-STATE) MOBILE SOURCE

EMISSION INVENTORIES

Pollutant 

2002 2030 

Small SI/marine SI inventory, tons Percent of mobile source inventory Small SI/marine SI inventory, tons Percent of mobile source inventory 

VOC ................................................................................................................. 2,169,000 26 1,430,000 35 

NOX .................................................................................................................. 169,700 1 311,300 6 

PM2.5 ............................................................................................................... 41,960 8 44,040 12 

CO .................................................................................................................... 19,607,000 23 15,605,000 30 

(1) VOC 

Table IX–2 shows the VOC emissions 

and emission reductions we expect both 

with and without the new standards for 

engines, equipment, and vessels affected 

by the final rule. In 2002, Small SI and 

Marine SI emitted approximately 

1,047,000 and 931,000 tons of VOC, 

respectively. Without the new 

standards, these emissions will decrease 

because of the effect of the existing 

emission control requirements to about 

958,000 and 484,000 tons by 2040, 

respectively. With the new controls, this 

pollutant will be further reduced by 34 

percent for Small SI engines and 73 

percent for Marine SI engines by 2040. 

The VOC emission inventory trends 

over time for both categories of engines 

that are subject to the final rule are 

shown in Figure IX–1. 

TABLE IX–2—NATIONAL (50-STATE) VOC EMISSIONS AND EMISSION REDUCTIONS FOR SMALL SI AND MARINE SI 

ENGINES

Year Category Without rule With rule Reduction Percent 

reduction 

Small Engine ........................................................... 1,047,374 1,047,374 ........................ ....................

Marine ..................................................................... 931,132 931,132 ........................ ....................

2002 ................................ Both ......................................................................... 1,978,506 1,978,506 ........................ ....................

Small Engine ........................................................... 675,131 488,517 186,614 28 

Marine ..................................................................... 505,981 384,108 121,873 24 

2015 ................................ Both ......................................................................... 1,181,112 872,624 308,487 26 

Small Engine ........................................................... 728,853 242,957 240,948 33 

Marine ..................................................................... 460,481 242,957 217,524 47 

2020 ................................ Both ......................................................................... 1,189,334 730,862 458,472 39 

Small Engine ........................................................... 842,970 558,094 284,876 34 

Marine ..................................................................... 458,656 139,083 319,573 70 

2030 ................................ Both ......................................................................... 1,301,626 697,177 604,449 46 

Small Engine ........................................................... 958,429 633,050 325,379 34 

Marine ..................................................................... 483,949 128,906 355,043 73 

2040 ................................ Both ......................................................................... 1,442,377 761,956 680,422 47 

mstockstill on PROD1PC66 with RULES2

59146 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(2) NOX

Table IX–3 shows the NOX emissions 

and emission reductions we expect both 

with and without the new standards for 

engines affected by the final rule. In 

2002, Small SI and Marine SI emitted 

approximately 107,000 and 46,300 tons 

of NOX, respectively. Without the new 

standards, these emissions will increase 

to about 181,000, and 132,000 tons by 

2040, respectively. With the new 

controls, this pollutant will be reduced 

by 49 percent for Small SI engines and 

48 percent for Marine SI engines by 

2040. The NOX emission inventory 

trends over time for both categories of 

engines that are subject to the final rule 

are shown in Figure IX–2. 

TABLE IX–3—NATIONAL (50-STATE) NOX EMISSIONS AND EMISSION REDUCTIONS FOR SMALL SI AND MARINE SI ENGINES

Year Category Without rule With rule Reduction Percent 

reduction 

Small Engine ........................................................... 106,804 106,804 ........................ ....................

Marine ..................................................................... 46,311 46,311 ........................ ....................

2002 ................................ Both ......................................................................... 153,115 153,115 ........................ ....................

Small Engine ........................................................... 126,395 76,412 49,983 40 

Marine ..................................................................... 101,703 85,334 16,369 16 

2015 ................................ Both ......................................................................... 228,098 161,746 66,353 29 

Small Engine ........................................................... 137,002 72,175 64,827 47 

Marine ..................................................................... 111,525 81,398 30,128 27 

2020 ................................ Both ......................................................................... 248,527 153,572 94,954 38 

Small Engine ........................................................... 158,840 81,977 76,863 48 

Marine ..................................................................... 123,335 68,639 54,696 44 

2030 ................................ Both ......................................................................... 282,175 150,616 131,559 47 

Small Engine ........................................................... 180,973 93,181 87,792 49 

Marine ..................................................................... 131,907 68,461 63,445 48 

2040 ................................ Both ......................................................................... 312,880 161,643 151,237 48 


mstockstill on PROD1PC66 with RULES2ER08OC08.064</GPH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59147 

(3) PM2.5

Table IX–4 shows the PM2.5 emissions 

and emission reductions we expect both 

with and without the new standards for 

engines affected by the final rule. In 

2002, Small SI and Marine SI emitted 

23,000 and 15,000 tons of PM2.5, 

respectively. Without the new 

standards, the PM2.5 emissions from 

Small SI engines will increase to 39,000 

by 2040, while those from Marine SI 

will decrease to about 6,000 tons in that 

year due to the effects of the existing 

emission control requirements for 

certain types of Marine SI engines, such 

as outboards. With the new controls, 

this pollutant will be reduced by 3 

percent for Small SI engines and an 

additional 84 percent for Marine SI 

engines by 2040. 

The PM2.5 emission inventory trends 

over time for both categories of engines 

that are subject to the final rule are 

shown in Figure IX–3. 

TABLE IX–4—NATIONAL (50-STATE) PM2.5 EMISSIONS AND EMISSION REDUCTIONS FOR SMALL SI AND MARINE SI 

ENGINES

Year Category Without rule With rule Reduction Percent 

reduction 

Small Engine ........................................................... 23,382 23,382 ........................ ....................

Marine ..................................................................... 15,092 15,092 ........................ ....................

2002 ................................ Both ......................................................................... 38,474 38,474 ........................ ....................

Small Engine ........................................................... 27,747 27,115 632 2 

Marine ..................................................................... 6,823 4,951 1,872 27 

2015 ................................ Both ......................................................................... 34,570 32,066 2,504 7 

Small Engine ........................................................... 30,009 29,189 820 3 

Marine ..................................................................... 5,908 2,640 3,269 55 

2020 ................................ Both ......................................................................... 35,917 31,828 4,089 11 

Small Engine ........................................................... 34,535 33,572 963 3 

Marine ..................................................................... 5,719 1,137 4,582 80 

2030 ................................ Both ......................................................................... 40,255 34,710 5,545 14 

Small Engine ........................................................... 39,079 37,979 1,100 3 

Marine ..................................................................... 6,016 989 5,027 84 

2040 ................................ Both ......................................................................... 45,095 38,968 6,127 14 


mstockstill on PROD1PC66 with RULES2ER08OC08.065</GPH>
59148 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(4) CO 

Table IX–5 shows the CO emissions 

and emission reductions we expect both 

with and without the new standards for 

engines affected by the final rule. In 

2002, Small SI and Marine SI emitted 

15,091,000 and 2,472,000 tons of CO, 

respectively. Without the new 

standards, these emissions will decrease 

because of the effect of the existing 

emission control requirements to about 

14,007,000 and 1,766,000 tons by 2040, 

respectively. With the new controls, this 

pollutant will be reduced by an 

additional 9 percent for Small SI 

engines and an additional 21 percent for 

Marine SI engines by 2040. The CO 

emission inventory trends over time for 

both categories of engines that are 

subject to the final rule are shown in 

Figure IX–4. 

TABLE IX–5—NATIONAL (50-STATE) CO EMISSIONS AND EMISSION REDUCTIONS FOR SMALL SI AND MARINE SI ENGINES

Year Category Without rule With rule Reduction Percent 

reduction 

Small Engine ........................................................... 15,091,835 15,091,835 ........................ ....................

Marine ..................................................................... 2,472,251 2,472,251 ........................ ....................

2002 ................................ Both ......................................................................... 17,564,086 17,564,086 ........................ ....................

Small Engine ........................................................... 9,879,027 9,135,515 743,512 8 

Marine ..................................................................... 1,690,755 1,587,889 102,867 6 

2015 ................................ Both ......................................................................... 11,569,782 10,723,404 846,379 7 

Small Engine ........................................................... 10,645,870 9,679,462 966,407 9 

Marine ..................................................................... 1,638,114 1,452,196 185,917 11 

2020 ................................ Both ......................................................................... 12,283,983 11,131,659 1,152,325 9 

Small Engine ........................................................... 12,310,505 11,166,921 1,143,584 9 

Marine ..................................................................... 1,671,627 1,353,989 317,638 19 

2030 ................................ Both ......................................................................... 13,982,132 12,520,910 1,461,222 10 

Small Engine ........................................................... 14,007,335 12,701,792 1,305,543 9 

Marine ..................................................................... 1,765,651 1,399,715 365,936 21 

2040 ................................ Both ......................................................................... 15,772,986 14,101,507 1,671,479 11 


mstockstill on PROD1PC66 with RULES2ER08OC08.066</GPH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59149 

B. Estimated Costs 

In assessing the economic impact of 

setting emission standards, we have 

made a best estimate of the costs 

associated with the technologies we 

anticipate manufacturers will use in 

meeting the standards. In making our 

estimates for the final rule, we have 

relied on our own technology 

assessment, which includes information 

developed by EPA’s National Vehicle 

and Fuel Emissions Laboratory 

(NVFEL). Estimated costs include 

variable costs (e.g., hardware and 

assembly time) and fixed costs (e.g., 

research and development, retooling, 

engine certification and test cell 

upgrades to 40 CFR 1065 requirements). 

We projected that manufacturers will 

redirect existing research and 

development funds to invest in the fixed 

costs associated with changes needed to 

meet the rulemaking requirements. 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 2005 dollars. Full details of 

our cost analysis can be found in 

Chapter 6 of the Final RIA. Estimated 

costs related to exhaust emissions were 

also subject to peer review, as described 

in a set of peer review reports that are 

available in the docket for this 

rulemaking. 

Cost estimates based on the current 

projected costs for our estimated 

technology packages represent an 

expected incremental cost of equipment 

in the near term. For the longer term we 

have identified a factor that will cause 

cost impacts to decrease over time. We 

expect that manufacturers will undergo 

a learning process that will lead to 

lower variable costs. For instance, the 

analysis incorporates the expectation 

that Small SI engine manufacturers will 

optimize the catalyst muffler offerings 

available and thereby streamline their 

production and reduce costs. The cost 

analysis generally incorporates this 

learning effect by decreasing estimated 

variable costs by 20 percent starting in 

the sixth year of production. The 

learning curve has not been applied to 

Small SI EFI systems due to the fact that 

the technologies are currently well 

established on similar sized engines in 

other applications. 

We project average costs to comply 

with the new exhaust emission 

standards for Small SI engines and 

equipment to range from $9–$11 per 

Class I equipment to meet the Phase 3 

standards. We anticipate the 

manufacturers will meet the emission 

standard with several technologies 

including engine improvements and 

catalysts. For Class II equipment, we 

project average costs to range from $15– 

$26 per equipment to meet the new 

emission standards. We anticipate the 

manufacturers of Class II engines will 

meet the new exhaust emission 

standards by engine improvements and 

adding catalysts and/or electronic fuel 

injection to their engines. The use of 

electronic fuel injection is estimated to 

provide a fuel savings of 10% over the 

lifetime of a Class II engine. Using an 

average garden tractor estimated lifetime 

of 5.8 years, and the estimate that 6.6% 

of Class II engines will utilize electronic 

fuel injection, this calculates to be a 

lifetime savings of 273 gallons. This 

translates to a discounted lifetime 

savings of approximately $496 per 

engine, at an average fuel price of $1.81 

per gallon. 

For Small SI equipment, we have also 

estimated a per-unit cost for the new 

evaporative emission standards. The 

average short-term costs without fuel 

savings are projected to be $0.82 for 

handheld equipment, $3.05 for Class I 

equipment, and $6.73 for Class II 

equipment. These costs are based on 

fuel tank and fuel line permeation 

control, and for non-handheld 

equipment, running loss and diffusion 

control. Because evaporative emissions 

are composed of otherwise usable fuel 

that is lost to the atmosphere, measures 

that reduce evaporative emissions will 

result in fuel savings. We estimate that 

the average fuel savings, due to 

permeation control, be about 1.4 gallons 

over the 5 year average operating 

lifetime. This translates to a discounted 

lifetime savings of more than $2 at an 

average fuel price of $1.81 per gallon. 

For marine engines, we estimated perengine costs for OB, PWC, and SD/I 

engines for meeting the new exhaust 

emission standards. The short-term cost 

estimates without fuel savings are $290 

for OB, $390 for PWC, and $360 for SD/ 


mstockstill on PROD1PC66 with RULES2ER08OC08.067</GPH>
59150 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

I engines. For OB/PWC engines, we 

anticipate that manufacturers will meet 

the standards through the expanded 

production of existing low-emission 

technologies such as four-stroke and 

direct-injection two-stroke engines. For 

most SD/I engines, we anticipate that 

manufacturers will use catalytic control 

to meet the new standards. 

For marine vessels, we have also 

estimated a per-unit cost for the new 

evaporative emission standards. The 

average short-term costs without fuel 

savings are projected to be $12 for boats 

with portable fuel tanks, $17 for PWC, 

and $74 for boats with installed fuel 

tanks. These costs are based on fuel tank 

and fuel line permeation control and 

diurnal emission control. For portable 

fuel tanks, diurnal emission control is 

based on an automatic sealing vent, for 

PWC we estimate that changes will not 

be necessary from current designs, and 

for other boats with installed fuel tanks, 

the estimated costs are based on the use 

of a passively-purged carbon canister. 

Because evaporative emissions are 

composed of otherwise usable fuel that 

is lost to the atmosphere, measures that 

reduce evaporative emissions will result 

in fuel savings. We estimate that the 

average fuel savings, due to permeation 

control, to be about 28 gallons over the 

15 year average operating lifetime. This 

translates to a discounted lifetime 

savings of more than $30 at an average 

fuel price of $1.81 per gallon. 

C. Cost per Ton 

We have calculated the cost per ton of 

the Phase 3 standards contained in this 

final rule by estimating costs and 

emission benefits for these engines. We 

made our best estimates of the 

combination of technologies that engine 

manufacturers might use to meet the 

new standards, best estimates of 

resultant changes to equipment design, 

engine manufacturer compliance 

program costs, and fuel savings in order 

to assess the expected economic impact 

of the Phase 3 emission standards for 

Small SI engines and Marine SI engines. 

Emission reduction benefits are taken 

from the results of the Inventory chapter 

of the RIA (Chapter 3). 

A summary of the annualized costs to 

Small SI and Marine SI engine 

manufacturers is presented in Table IX– 

6. These annualized costs are over a 30 

year period and presented both with a 

3 percent and a 7 percent discount rate. 

The annualized fuel savings for Small SI 

engines are due to reduced fuel costs 

from the use of electronic fuel injection 

on Class II engines as well as fuel 

savings from evaporative measures on 

all Small SI engines. The annualized 

fuel savings for Marine SI engines are 

due to reduced fuel costs from the 

expected elimination of two-stroke 

outboard motors from the new engine 

fleet as well as fuel savings from 

evaporative emission controls on all 

vessels. 

TABLE IX–6—ESTIMATED ANNUALIZED COST TO MANUFACTURERS AND ANNUALIZED FUEL SAVINGS OVER 30 YEARS DUE

TO THE PHASE 3 SMALL SI AND MARINE SI ENGINE STANDARDS

[2005$, 3 and 7 percent discount rates] 

Engine category Emissions category 

Annualized cost to 

manufacturers 

(millions/yr) 

Annualized fuel 

savings 

(millions/yr) 

3% 7% 3% 7% 

Small SI Engines .............................................. Exhaust ............................................................. $190 $182 $27 $24 

Evaporative ....................................................... 68 65 59 53 

Aggregate ......................................................... 258 247 86 77 

Marine SI Engines ............................................ Exhaust ............................................................. 123 123 67 56 

Evaporative ....................................................... 23 22 27 22 

Aggregate ......................................................... 146 144 94 78 

We have estimated the Small SI and 

Marine SI engine cost per ton of the 

Phase 3 HC+NOX standards over the 

typical lifetime of the equipment that 

are covered by this final rule. We have 

examined the cost per ton by performing 

a nationwide cost per ton analysis in 

which the net present value of the cost 

of compliance per year is divided by the 

net present value of the HC+NOX

benefits over 30 years. The resultant 

discounted cost per ton is presented in 

Table IX–7. The total (exhaust and 

evaporative) cost per ton, using a 7 

percent discount rate, with fuel savings 

is $856 for Small SI equipment and 

$360 for marine vessels. For the final 

rule as a whole, the cost per ton of 

HC+NOX reduction is $623. Reduced 

operating costs offset a portion of the 

increased cost of producing the cleaner 

Small SI and Marine SI engines. 

Reduced fuel consumption also offsets 

the costs of permeation control. Chapter 

7 of the RIA contains a more detailed 

discussion of the cost per ton analysis. 

TABLE IX–7—ESTIMATED COST PER TON OF THE HC+NOX EMISSION STANDARDS

[2005$, 3 and 7 percent discount rates] 

Category Implementation 

dates 

Discounted cost per ton 

Without fuel 

savings 

(3%/7%) 

With fuel savings 

(3%/7%) 

Small SI Exhaust ....................................................................................................... 2011–2012 $1,152/$1,264 $986/$1,097 

Small SI Evaporative ................................................................................................. 2009–2013 690/740 90/140 

Marine SI Exhaust ..................................................................................................... 2010–2013 700/830 320/450 

Marine SI Evaporative ............................................................................................... 2009–2012 500/590 (100)/(10) 

Aggregate .................................................................................................................. 2009–2013 868/974 519/623 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59151 

124U.S. Environmental Protection Agency (2006) 

Air quality criteria for ozone and related 

photochemical oxidants (second external review 

draft) Research Triangle Park, NC: National Center 

for Environmental Assessment; report no. EPA/ 

600R–05/004aB–cB, 3v.Available: http://cfpub.

epa.gov/ncea/cfm/recordisplay.cfm?deid=137307

[March 2006]. 

125Health impact functions measure the change 

in a health endpoint of interest, such as hospital 

admissions, for a given change in ambient ozone or 

PM concentration. 

126U.S. Environmental Protection Agency. March 

2008. Final Ozone NAAQS Regulatory Impact 

Analysis. Prepared by: Office of Air and Radiation, 

Office of Air Quality Planning and Standards. 127U.S. Environmental Protection Agency. 

October 2006. Final Regulatory Impact Analysis 

(RIA) for the Proposed National Ambient Air 

Quality Standards for Particulate Matter. Prepared 

by: Office of Air and Radiation. Available at 

HTTP://www.epa.gov/ttn/ecas/ria.html. 128 Industrial Economics, Incorporated (IEc). 

2006. Expanded Expert Judgment Assessment of the 

Concentration-Response Relationship Between 

PM2.5 Exposure and Mortality. Peer Review Draft. 

Prepared for: Office of Air Quality Planning and 

Standards, U.S. Environmental Protection Agency, 

Research Triangle Park, NC. August. 

129National Research Council (NRC). 2002. 

Estimating the Public Health Benefits of Proposed 

Air Pollution Regulations. The National Academies 

Press: Washington, DC. 

As is discussed above, we are also 

expecting some reduction in direct PM 

emissions and carbon monoxide. These 

reductions will come primarily as a 

product of the technology being used to 

meet HC and NOX standards and not 

directly as a result of the 

implementation of specific technology 

to achieve these gains. Thus, we have 

elected to focus our cost per ton analysis 

on HC+NOX. 

One useful purpose of cost per ton 

analysis is to compare this program to 

other programs designed to achieve 

similar air quality objectives. Toward 

that end, we made a comparison 

between the HC+NOX cost per ton 

values presented in Table C–2 and the 

HC+NOX cost per ton of other recent 

mobile source programs. Table IX–8 

summarizes the HC+NOX cost per ton of 

several recent EPA actions for 

controlled emissions from mobile 

sources. While the analyses for each 

rule were not completely identical, it is 

clear that the Small SI and Marine SI 

values compare favorably with the other 

recent actions. 

TABLE IX–8—COST PER TON OF PREVIOUSLY IMPLEMENTED HC+NOX

MOBILE SOURCE PROGRAMS

[2005$, 7 percent discount with fuel savings] 

Program Discounted 

cost per ton 

2002 HH engines Phase 2 ... 840 

2001 NHH engines Phase 2 neg* 

1998 Marine SI engines ....... 1900 

2004 Comm Marine CI ......... 200 

2007 Large SI exhaust ......... 80 

2006 ATV exhaust ................ 300 

2006 off-highway motorcycle 290 

2006 recreational marine CI 700 

2010 snowmobile .................. 1430 

2006 <50cc highway motorcycle .................................. 1860 

2010 Class 3 highway motorcycle .................................. 1650 

* fuel savings outweigh engineering/hardware costs. 

D. Air Quality Impact 

Information on the air quality impacts 

of this action can be found in Section II, 

which includes health effect 

information on ozone, PM, CO and air 

toxics. It also includes modeled 

projections of future ozone 

concentrations with and without the 

controls detailed in this final rule. The 

emission reductions will lead to 

reductions in ambient concentrations of 

ozone, PM, CO and air toxics. 

E. Benefits 

This section presents our analysis of 

the health and environmental benefits 

that are estimated to occur as a result of 

the final Small SI and Marine SI engine 

standards throughout the period from 

initial implementation through 2030. 

Nationwide, the engines that are subject 

to the emission standards in this rule 

are a significant source of mobile source 

air pollution. The standards would 

reduce exposure to hydrocarbon, CO 

and NOX emissions and help avoid a 

range of adverse health effects 

associated with ambient ozone and 

PM2.5 levels. In addition, the proposed 

standards would help reduce exposure 

to CO, air toxics, and PM2.5 for persons 

who operate or who work with or are 

otherwise active in close proximity to 

these engines. As described below, the 

reductions in PM and ozone from the 

standards are expected to result in 

significant reductions in premature 

deaths and other serious human health 

effects, as well as other important public 

health and welfare effects. 

EPA typically quantifies and 

monetizes PM- and ozone-related 

impacts in its regulatory impact 

analyses (RIAs) when possible. The RIA 

for the proposal for this rulemaking only 

quantified benefits from PM; in the 

current RIA we quantify and monetize 

the ozone-related health and 

environmental impacts associated with 

the final rule. The science underlying 

the analysis is based on the current 

ozone criteria document.124 To estimate 

the incidence and monetary value of the 

health outcomes associated with this 

final rule, we used health impact 

functions based on published 

epidemiological studies, and valuation 

functions derived from the economics 

literature.125 Key health endpoints 

analyzed include premature mortality, 

hospital and emergency room visits, 

school absences, and minor restricted 

activity days. The analytic approach to 

characterizing uncertainty is consistent 

with the analysis used in the RIA for the 

proposed O3 NAAQS. 

The benefits modeling is based on 

peer-reviewed studies of air quality and 

health and welfare effects associated 

with improvements in air quality and 

peer-reviewed studies of the dollar 

values of those public health and 

welfare effects. These methods are 

consistent with benefits analyses 

performed for the recent analysis of the 

final Ozone NAAQS and the final PM 

NAAQS analysis.126 127 They are 

described in detail in the regulatory 

impact analyses prepared for those 

rules. 

The range of PM benefits associated 

with the final standards is estimated 

based on risk reductions estimated 

using several sources of PM-related 

mortality effect estimates. In order to 

provide an indication of the sensitivity 

of the benefits estimates to alternative 

assumptions about PM mortality risk 

reductions, in Chapter 8 of the RIA we 

present a variety of benefits estimates 

based on two epidemiological studies 

(including the ACS Study and the Six 

Cities Study) and the recent PM 

mortality expert elicitation.128 EPA 

intends to ask the Science Advisory 

Board to provide additional advice as to 

which scientific studies should be used 

in future RIAs to estimate the benefits 

of reductions in PM-related premature 

mortality. 

In a recent report on the estimation of 

ozone-related premature mortality 

published by the National Research 

Council (NRC),129 a panel of experts and 

reviewers concluded that ozone-related 

mortality should be included in 

estimates of the health benefits of 

reducing ozone exposure. The report 

also recommended that the estimation 

of ozone-related premature mortality be 

accompanied by broad uncertainty 

analyses while giving little or no weight 

to the assumption that there is no causal 

association between ozone exposure and 

premature mortality. Because EPA has 

yet to develop a coordinated response to 

the NRC report’s findings and 

recommendations, however, we have 

retained the approach to estimating 

ozone-related premature mortality used 

in RIA for the final Ozone NAAQS. EPA 

will specifically address the report’s 

findings and recommendations in future 

rulemakings. 

The range of ozone benefits associated 

with the final standards is based on risk 

mstockstill on PROD1PC66 with RULES2

59152 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

130Bell, M.L., et al. 2004. Ozone and short-term 

mortality in 95 U.S. urban communities, 1987– 

2000. Jama, 2004. 292(19): p. 2372–8. 

131U.S. EPA (2007) Review of the National 

Ambient Air Quality Standards for Ozone, Policy 

Assessment of Scientific and Technical 

Information. OAQPS Staff Paper. EPA–452/R–07– 

003. This document is available in Docket EPA– 

HQ–OAR–2003–0190. This document is available 

electronically at: http:www.epa.gov/ttn/naaqs/ 

standards/ozone/s_o3_cr_sp.html. 

132CASAC (2007). Clean Air Scientific Advisory 

Committee’s (CASAC) Review of the Agency’s Final 

Ozone Staff Paper. EPA–CASAC–07–002. March 26. 133Bell, M.L., F. Dominici, and J.M. Samet. A 

meta-analysis of time-series studies of ozone and 

mortality with comparison to the national 

morbidity, mortality, and air pollution study. 

Epidemiology, 2005. 16(4): p. 436–45. 134 Ito, K., S.F. De Leon, and M. Lippmann. 

Associations between ozone and daily mortality: 

analysis and meta-analysis. Epidemiology, 2005. 

16(4): p. 446–57. 135Levy, J.I., S.M. Chemerynski, and J.A. Sarnat. 

2005. Ozone exposure and mortality: an empiric 

bayes metaregression analysis. Epidemiology, 2005. 

16(4): p. 458–68. 

reductions estimated using several 

sources of ozone-related mortality effect 

estimates. This analysis presents four 

alternative estimates for the association 

based upon different functions reported 

in the scientific literature. One estimate 

is derived from the National Morbidity, 

Mortality, and Air Pollution Study 

(NMMAPS),130 which was used as the 

primary basis for the risk analysis in the 

ozone Staff Paper 131 and reviewed by 

the Clean Air Science Advisory 

Committee (CASAC).132 We also use 

three studies that synthesize ozone 

mortality data across a large number of 

individual studies.133 134 135 This 

approach is not inconsistent with 

recommendations provided by the NRC 

in their ozone mortality report (NRC, 

2008), ‘‘The committee recommends 

that the greatest emphasis be placed on 

estimates from new systematic multicity 

analyses that use national databases of 

air pollution and mortality, such as in 

the NMMAPS, without excluding 

consideration of meta-analyses of 

previously published studies.’’ 

The range of total ozone- and PMrelated benefits associated with the final 

standards is presented in Table IX.E–1. 

We present total benefits based on the 

PM- and ozone-related premature 

mortality function used. The benefits 

ranges therefore reflect the addition of 

each estimate of ozone-related 

premature mortality (each with its own 

row in Table IX.E–1) to estimates of PMrelated premature mortality, derived 

from either the epidemiological 

literature or the expert elicitation. The 

estimates in Table IX.E–1, and all 

monetized benefits presented in this 

section, are in year 2005 dollars. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59153 

136U.S. Environmental Protection Agency. March 

2008. Final Ozone NAAQS Regulatory Impact 

Analysis. Prepared by: Office of Air and Radiation, 

Office of Air Quality Planning and Standards. 

137 Information on BenMAP, including 

downloads of the software, can be found at http: 

//www.epa.gov/air/benmap. 

(1) Quantified Human Health and 

Environmental Effects of the Final 

Standards 

In this section we discuss the ozone 

and PM2.5 health and environmental 

impacts of the final standards. We 

discuss how these impacts are 

monetized in the next section. It should 

be noted that the emission control 

scenarios used in the air quality and 

benefits modeling are slightly different 

than the final emission control program. 

The differences reflect further 

refinements of the regulatory program 

since we performed the air quality 

modeling for this rule. Emissions and 

air quality modeling decisions are made 

early in the analytical process. Chapter 

3 of the RIA describes the changes in the 

inputs and resulting emission 

inventories between the preliminary 

assumptions used for the air quality 

modeling and the final emission control 

scenario. 

Estimated Ozone and PM Impacts 

To model the ozone and PM air 

quality benefits of this rule we used the 

Community Multiscale Air Quality 

(CMAQ) model. CMAQ simulates the 

numerous physical and chemical 

processes involved in the formation, 

transport, and deposition of particulate 

matter. This model is commonly used in 

regional applications to estimate the 

ozone and PM reductions expected to 

occur from a given set of emissions 

controls. The meteorological data input 

into CMAQ are developed by a separate 

model, the Penn State University/

National Center for Atmospheric 

Research Mesoscale Model, known as 

MM5. The modeling domain covers the 

entire 48-State U.S., as modeled in final 

ozone NAAQS analysis.136 The grid 

resolution for the modeling domain was 

12 x 12 km. 

The modeled ambient air quality data 

serves as an input to the Environmental 

Benefits Mapping and Analysis Program 

(BenMAP).137 BenMAP is a computer 

program developed by EPA that 

integrates a number of the modeling 

elements used in previous Regulatory 

Impact Analyses (e.g., interpolation 

functions, population projections, 

health impact functions, valuation 

functions, analysis and pooling 


mstockstill on PROD1PC66 with RULES2ER08OC08.068</GPH>
59154 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

methods) to translate modeled air 

concentration estimates into health 

effects incidence estimates and 

monetized benefits estimates. 

Table IX.E–2 presents the estimates of 

ozone- and PM-related health impacts 

for the years 2020 and 2030, which are 

based on the modeled air quality 

changes between a baseline, pre-control 

scenario and a post-control scenario 

reflecting the final emission control 

strategy. 

The use of two sources of PM 

mortality reflects two different sources 

of information about the impact of 

reductions in PM on reduction in the 

risk of premature death, including both 

the published epidemiology literature 

and an expert elicitation study 

conducted by EPA in 2006. In 2030, 

based on the estimate provided by the 

ACS study, we estimate that PM-related 

emission reductions related to the final 

rule will result in 230 fewer premature 

fatalities annually. The number of 

premature mortalities avoided increases 

to 510 when based on the Six Cities 

study. When the range of expert opinion 

is used, we estimate between 120 and 

1,300 fewer premature mortalities in 

2030. We also estimate 220 fewer cases 

of chronic bronchitis, 530 fewer 

nonfatal heart attacks, 190 fewer 

hospitalizations (for respiratory and 

cardiovascular disease combined), 

140,000 fewer days of restricted activity 

due to respiratory illness and 

approximately 23,000 fewer work-loss 

days. This analysis projects substantial 

health improvements for children from 

reduced upper and lower respiratory 

illness, acute bronchitis, and asthma 

attacks. These results are based on an 

assumed cutpoint in the long-term 

mortality concentration-response 

functions at 10 μg/m3, and an assumed 

cutpoint in the short-term morbidity 

concentration-response functions at 10 

μg/m3. The impact using four alterative 

cutpoints (3 μg/m3 7.5 μg/m3, 12 μg/m3, 

and 14 μg/m3) has on PM2.5-related 

mortality incidence estimation is 

presented in Chapter 8 of the RIA. 

For ozone, we estimate a range of 

between 77–350 fewer premature 

mortalities as a result of the final rule 

in 2030, assuming that there is a causal 

relationship between ozone exposure 

and mortality. We also estimate that by 

2030, the final rule will result in over 

1,300 avoided respiratory hospital 

admissions and emergency room visits, 

450,000 fewer days of restricted activity 

due to respiratory illness, and 180,000 

school loss days avoided. 

BILLING CODE 6560–50–P 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59155 


mstockstill on PROD1PC66 with RULES2ER08OC08.069</GPH>
59156 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

138 Industrial Economics, Incorporated (IEc). 

2006. Expanded Expert Judgment Assessment of the 

Concentration-Response Relationship Between 

PM2.5 Exposure and Mortality. Peer Review Draft. 

Prepared for: Office of Air Quality Planning and 

Standards, U.S. Environmental Protection Agency, 

Research Triangle Park, NC. August. 

139 Industrial Economics, Incorporated (IEc). 

2006. Expanded Expert Judgment Assessment of the 

Concentration-Response Relationship Between 

PM2.5 Exposure and Mortality. Peer Review Draft. 

Prepared for: Office of Air Quality Planning and 

Standards, U.S. Environmental Protection Agency, 

Research Triangle Park, NC. August. 

(2) Monetized Benefits 

Table IX.E–3 presents the estimated 

monetary value of reductions in the 

incidence of health and welfare effects. 

Tables IX.E–4 and IX.E–5 present the 

total annual PM- and ozone-related 

health benefits, which are estimated to 

be between $1.8 and $4.4 billion in 

2030, assuming a 3 percent discount 

rate, or between $1.6 and $4.3 billion, 

assuming a 7 percent discount rate, 

using the ACS-derived estimate of PMrelated premature mortality (Pope et al., 

2002) and the range of ozone-related 

premature mortality studies derived 

from the epidemiological literature. The 

range of benefits expands to between 

$1.1 and $12 billion, assuming a 3 

percent discount rate, when the estimate 

includes the opinions of outside experts 

on PM and the risk of premature death, 

or between $1.0 and $11 billion, 

assuming a 7 percent discount rate. All 

monetized estimates are stated in 2005$. 

These estimates account for growth in 

real gross domestic product (GDP) per 

capita between the present and the years 

2020 and 2030. As the tables indicate, 

total benefits are driven primarily by the 

reduction in premature fatalities each 

year. 

The estimates of monetized benefits 

include only one example of nonhealthrelated benefits. Changes in the ambient 

level of PM2.5 are known to affect the 

level of visibility in much of the U.S. 

Individuals value visibility both in the 

places they live and work, in the places 

they travel to for recreational purposes, 

and at sites of unique public value, such 

as at National Parks. For the final 

standards, we present the recreational 

visibility benefits of improvements in 

visibility at 86 Class I areas located 

throughout California, the Southwest, 

and the Southeast. These estimated 

benefits are shown in Table IX.E–3. 

Tables IX.E–3, IX.E–4 and IX.E–5 do 

not include those additional health and 

environmental benefits of the rule that 

we were unable to quantify or monetize. 

These effects are additive to the estimate 

of total benefits, and are related to two 

primary sources. First, there are many 

human health and welfare effects 

associated with PM, ozone, and toxic air 

pollutant reductions that remain 

unquantified because of current 

limitations in the methods or available 

data. A full appreciation of the overall 

economic consequences of the final 

standards requires consideration of all 

benefits and costs projected to result 

from the new standards, not just those 

benefits and costs which could be 

expressed here in dollar terms. A list of 

the benefit categories that could not be 

quantified or monetized in our benefit 

estimates are provided in Table IX.E–6. 


mstockstill on PROD1PC66 with RULES2ER08OC08.070</GPH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59157 


mstockstill on PROD1PC66 with RULES2ER08OC08.071</GPH>
59158 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

BILLING CODE 6560–50–C 


mstockstill on PROD1PC66 with RULES2ER08OC08.072</GPH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59159 

TABLE IX.E–4—TOTAL MONETIZED BENEFITS OF THE FINAL SMALL SI AND MARINE SI ENGINE RULE—3% DISCOUNT

RATE

Ozone mortality function Reference Mean total 

benefits Ozone mortality function Reference Mean total benefits 

Total Ozone and PM Benefits (billions, 2005$)—PM Mortality Derived from the ACS Study 

2020: 2030: 

NMMAPS ................. Bell et al., 2004 .............. $1.5 NMMAPS ................. Bell et al., 2004 .............. $2.4 

Meta-analysis ........... Bell et al., 2005 ..............

Ito et al., 2005 ................

2.3 

2.7 

Meta-analysis ........... Bell et al., 2005 ..............

Ito et al., 2005 ................

3.7 

4.4 

Levy et al., 2005 ............. 2.7 Levy et al., 2005 ............. 4.4 

Assumption that association is not causal a ................. 1.2 Assumption that association is not causal a ................ 1.8 

Total Ozone and PM Benefits (billions, 2005$)—PM Mortality Derived from Expert Elicitation (Lowest and Highest Estimate) 

2020: 2030: 

NMMAPS ................. Bell et al., 2004 .............. 1.1–6.1 NMMAPS ................. Bell et al., 2004 .............. 1.7–9.7 

Meta-analysis ........... Bell et al., 2005 ..............

Ito et al., 2005 ................

1.8–6.9 

2.2–7.3 

Meta-analysis ........... Bell et al., 2005 ..............

Ito et al., 2005 ................

3.0–11 

3.7–12 

Levy et al., 2005 ............. 2.3–7.4 Levy et al., 2005 ............. 3.7–12 

Assumption that association is not causal a ................. 0.7–5.8 Assumption that association is not causal a ................ 1.1–9.1 

aA recent report published by the National Research Council (NRC, 2008) recommended that EPA ‘‘give little or no weight to the assumption 

that there is no causal association between estimated reductions in premature mortality and reduced ozone exposure.’’ 

TABLE IX.E–5—TOTAL MONETIZED BENEFITS OF THE FINAL SMALL SI AND MARINE SI ENGINE RULE—7% DISCOUNT

RATE

Ozone mortality function Reference Mean total 

benefits Ozone mortality function Reference Mean total benefits 

Total Ozone and PM Benefits (billions, 2005$)—PM Mortality Derived from the ACS Study 

2020: 2030: 

NMMAPS ................. Bell et al., 2004 .............. $1.4 NMMAPS ................. Bell et al., 2004 .............. $2.2 

Meta-analysis ........... Bell et al., 2005 ..............

Ito et al., 2005 ................

2.2 

2.67 

Meta-analysis ........... Bell et al., 2005 ..............

Ito et al., 2005 ................

3.5 

4.24 

Levy et al., 2005 ............. 2.6 Levy et al., 2005 ............. 4.3 

Assumption that association is not causal a ................. 1.1 Assumption that association is not causal a ................ * 1.6 

Total Ozone and PM Benefits (billions, 2005$)—PM Mortality Derived from Expert Elicitation (Lowest and Highest Estimate) 

2020: 2030: 

NMMAPS ................. Bell et al., 2004 .............. 1.0–5.6 NMMAPS ................. Bell et al., 2004 .............. 1.6–8.8 

Meta-analysis ........... Bell et al., 2005 ..............

Ito et al., 2005 ................

1.8–6.4 

2.2–6.8 

Meta-analysis ........... Bell et al., 2005 ..............

Ito et al., 2005 ................

2.9–10 

3.6–11 

Levy et al., 2005 ............. 2.2–6.8 Levy et al., 2005 ............. 3.7–11 

Assumption that association is not causal a ................. 0.7–5.2 Assumption that association is not causal a ................ 1.0–8.2 

aA recent report published by the National Research Council (NRC, 2008) recommended that EPA ‘‘give little or no weight to the assumption 

that there is no causal association between estimated reductions in premature mortality and reduced ozone exposure.’’ 

TABLE IX.E–6—UNQUANTIFIED AND NON-MONETIZED POTENTIAL EFFECTS OF THE FINAL SMALL SI AND MARINE SI 

ENGINE STANDARDS

Pollutant/effects Effects not included in analysis—changes in: 

Ozone Health a .................................................... Chronic respiratory damage b. 

Premature aging of the lungs b. 

Non-asthma respiratory emergency room visits. 

Exposure to UVb (+/¥) e. 

Ozone Welfare .................................................... Yields for 

—commercial forests. 

—some fruits and vegetables. 

—non-commercial crops. 

Damage to urban ornamental plants. 

Impacts on recreational demand from damaged forest aesthetics. 

mstockstill on PROD1PC66 with RULES2

59160 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

TABLE IX.E–6—UNQUANTIFIED AND NON-MONETIZED POTENTIAL EFFECTS OF THE FINAL SMALL SI AND MARINE SI 

ENGINE STANDARDS—Continued 

Pollutant/effects Effects not included in analysis—changes in: 

Ecosystem functions. 

Exposure to UVb (+/¥) e. 

PM Health c ......................................................... Premature mortality—short term exposures d. 

Low birth weight. 

Pulmonary function. 

Chronic respiratory diseases other than chronic bronchitis. 

Non-asthma respiratory emergency room visits. 

Exposure to UVb (+/¥) e. 

PM Welfare ......................................................... Residential and recreational visibility in non-Class I areas. 

Soiling and materials damage. 

Damage to ecosystem functions. 

Exposure to UVb (+/-) e. 

Nitrogen and Sulfate Deposition Welfare ............ Commercial forests due to acidic sulfate and nitrate deposition. 

Commercial freshwater fishing due to acidic deposition. 

Recreation in terrestrial ecosystems due to acidic deposition. 

Existence values for currently healthy ecosystems. 

Commercial fishing, agriculture, and forests due to nitrogen deposition. 

Recreation in estuarine ecosystems due to nitrogen deposition. 

Ecosystem functions. 

Passive fertilization. 

CO Health ........................................................... Behavioral effects. 

HC/Toxics Health f ............................................... 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). 

HC/Toxics Welfare .............................................. Direct toxic effects to animals. 

Bioaccumulation in the food chain. 

Damage to ecosystem function. 

Odor. 

aThe public health impact of biological responses such as increased airway responsiveness to stimuli, inflammation in the lung, acute inflammation and respiratory cell damage, and increased susceptibility to respiratory infection are likely partially represented by our quantified 

endpoints. bThe public health impact of effects such as chronic respiratory damage and premature aging of the lungs may be partially represented by 

quantified endpoints such as hospital admissions or premature mortality, but a number of other related health impacts, such as doctor visits and 

decreased athletic performance, remain unquantified. c In addition to primary economic endpoints, there are a number of biological responses that have been associated with PM health effects including morphological changes and altered host defense mechanisms. The public health impact of these biological responses may be partly represented by our quantified endpoints. dWhile some of the effects of short-term exposures are likely to be captured in the estimates, there may be premature mortality due to shortterm exposure to PM not captured in the cohort studies used in this analysis. However, the PM mortality results derived from the expert 

elicitation do take into account premature mortality effects of short term exposures. e May result in benefits or disbenefits. 

f Many of the key hydrocarbons related to this rule are also hazardous air pollutants listed in the Clean Air Act. 

(3) 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. 

Limitations of 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. 

These general uncertainties in the 

underlying scientific and economics 

literature, which can lead to valuations 

that are higher or lower, are discussed 

in detail in the RIA and its supporting 

references. Key uncertainties that have a 

bearing on the results of the benefit-cost 

analysis of the final standards include 

the following: 

• The exclusion of potentially 

significant and unquantified benefit 

categories (such as health, odor, and 

ecological benefits of reduction in air 

toxics, ozone, and PM); 

• Errors in measurement and 

projection for variables such as 

population growth; 

• Uncertainties in the estimation of 

future year emissions inventories and 

air quality; 

• Uncertainty in the estimated 

relationships of health and welfare 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59161 

140National Research Council (NRC). 2002. 

Estimating the Public Health Benefits of Proposed 

Air Pollution Regulations. The National Academies 

Press: Washington, DC. 

141U.S. Environmental Protection Agency. 

October 2006. Final Regulatory Impact Analysis 

(RIA) for the Proposed National Ambient Air 

Quality Standards for Particulate Matter. Prepared 

by: Office of Air and Radiation. Available at HTTP:

//www.epa.gov/ttn/ecas/ria.html. 

effects to changes in pollutant 

concentrations including the shape of 

the C–R function, the size of the effect 

estimates, and the relative toxicity of the 

many components of the PM mixture; 

• Uncertainties in exposure 

estimation; and 

• Uncertainties associated with the 

effect of potential future actions to limit 

emissions. 

As Table IX.E–3 indicates, total 

benefits are driven primarily by the 

reduction in premature mortalities each 

year. Some key assumptions underlying 

the premature mortality estimates 

include the following, which may also 

contribute to uncertainty: 

• Inhalation of fine particles is 

causally associated with premature 

death at concentrations near those 

experienced by most Americans on a 

daily basis. Although biological 

mechanisms for this effect have not yet 

been completely established, the weight 

of the available epidemiological, 

toxicological, and experimental 

evidence supports an assumption of 

causality. The impacts of including a 

probabilistic representation of causality 

were explored in the expert elicitationbased results of the recently published 

PM NAAQS RIA. Consistent with that 

analysis, we discuss the implications of 

these results in the RIA for the final 

standards. 

• All fine particles, regardless of their 

chemical composition, are equally 

potent in causing premature mortality. 

This is an important assumption, 

because PM produced via transported 

precursors emitted from Small SI and 

Marine SI engines may differ 

significantly from PM precursors 

released from electric generating units 

and other industrial sources. However, 

no clear scientific grounds exist for 

supporting differential effects estimates 

by particle type. 

• The C–R function for fine particles 

is approximately linear within the range 

of ambient concentrations under 

consideration (above the assumed 

threshold of 10 μg/m3). Thus, the 

estimates include health benefits from 

reducing fine particles in areas with 

varied concentrations of PM, including 

both regions that may be in attainment 

with PM2.5 standards and those that are 

at risk of not meeting the standards. 

• In a recent report on the estimation 

of ozone-related premature mortality 

published by the National Research 

Council (NRC), a panel of experts and 

reviewers concluded that ozone-related 

mortality should be included in 

estimates of the health benefits of 

reducing ozone exposure. The report 

also recommended that the estimation 

of ozone-related premature mortality be 

accompanied by broad uncertainty 

analyses while giving little or no weight 

to the assumption that there is no causal 

association between ozone exposure and 

premature mortality. Because EPA has 

yet to develop a coordinated response to 

the NRC report’s findings and 

recommendations, however, we have 

retained the approach to estimating 

ozone-related premature mortality used 

in RIA for the final Ozone NAAQS. EPA 

will specifically address the report’s 

findings and recommendations in future 

rulemakings. 

Despite these uncertainties, we 

believe this benefit-cost analysis 

provides a conservative estimate of the 

estimated economic benefits of the final 

standards in future years because of the 

exclusion of potentially significant 

benefit categories. Acknowledging 

benefits omissions and uncertainties, we 

present a best estimate of the total 

benefits based on our interpretation of 

the best available scientific literature 

and methods supported by EPA’s 

technical peer review panel, the Science 

Advisory Board’s Health Effects 

Subcommittee (SAB–HES). The 

National Academies of Science (NRC, 

2002) also reviewed EPA’s methodology 

for analyzing the health benefits of 

measures taken to reduce air pollution. 

EPA addressed many of these comments 

in the analysis of the final PM 

NAAQS.140, 141 The analysis of the final 

standards incorporates this most recent 

work to the extent possible. 

(4) Benefit-Cost Analysis 

In estimating the net benefits of the 

final standards, the appropriate cost 

measure is ‘‘social costs.’’ Social costs 

represent the welfare costs of a rule to 

society. These costs do not consider 

transfer payments (such as taxes) that 

are simply redistributions of wealth. 

Table XII.E–7 contains the estimates of 

monetized benefits and estimated social 

welfare costs for the final rule and each 

of the final control programs. The 

annual social welfare costs of all 

provisions of this final rule are 

described more fully in Section IX.F. 

The results in Table IX.E–7 suggest 

that the 2020 monetized benefits of the 

final standards are greater than the 

expected social welfare costs. 

Specifically, the annual benefits of the 

total program will range between $1.2 to 

$4.0 billion annually in 2020 using a 

three percent discount rate, or between 

$1.1 to $3.8 billion assuming a 7 percent 

discount rate, compared to estimated 

social costs of approximately $210 

million in that same year. These benefits 

are expected to increase to between $1.8 

and $6.4 billion annually in 2030 using 

a three percent discount rate, or 

between $1.6 and $6.1 billion assuming 

a 7 percent discount rate, while the 

social costs are estimated to be 

approximately $190 million. Though 

there are a number of health and 

environmental effects associated with 

the final standards that we are unable to 

quantify or monetize (see Table IX.E–6), 

the benefits of the final standards 

outweigh the projected costs. When we 

examine the benefit-to-cost comparison 

for the rule standards separately, we 

also find that the benefits of the specific 

engine standards outweigh their 

projected costs. 

TABLE IX.E–7—SUMMARY OF ANNUAL BENEFITS, COSTS, AND NET BENEFITS OF THE FINAL SMALL SI AND MARINE SI 

ENGINE STANDARDS (MILLIONS, 2005$)a

Description 2020 2030 

Estimated Social Costs:b

Small SI ............................................................................................................................................. $163 ...................... $185 

Marine SI ........................................................................................................................................... $44 ........................ 0.8 

Total Social Costs ...................................................................................................................... $210 ...................... 190 

Estimated Health Benefits of the Final Standards:c, d, e, f

Small SI: 

mstockstill on PROD1PC66 with RULES2

59162 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

142U.S. Environmental Protection Agency, 2000. 

Gidelines for Preparing Economic Analyses. 

www.yosemite1.epa.gov/ee/epa/eed/hsf/pages/

Guideline.html. 

143Office of Management and Budget, The 

Executive Office of the President, 2003. Circular 

A–4. http://www.whitehouse.gov/omb/circulars. 

144EPA Guidelines for Preparing Economic 

Analyses, EPA 240–R–00–003, September 2000, p 

113. A copy of this document can be found at 

http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/ 

Guidelines.html 

145U.S. Environmental Protection Agency, Office 

of Air Quality Planning and Standards, Innovative 

Strategies and Economics Group, OAQPS Economic 

Analysis Resource Document, April 1999. A copy 

of this document can be found at http:// 

www.epa.gov/ttn/ecas/econdata/Rmanual2/. 

TABLE IX.E–7—SUMMARY OF ANNUAL BENEFITS, COSTS, AND NET BENEFITS OF THE FINAL SMALL SI AND MARINE SI 

ENGINE STANDARDS (MILLIONS, 2005$)a—Continued 

Description 2020 2030 

3 percent discount rate .............................................................................................................. $860 to $2,600 ...... $820 to $2,900 

7 percent discount rate .............................................................................................................. $790 to $2,500 ...... $710 to $2,800 

Marine SI: 

3 percent discount rate .............................................................................................................. $340 to $1,400 ...... $980 to $3,500 

7 percent discount rate .............................................................................................................. $310 to $1,300 ...... $890 to $3,300 

Total Benefits: 

3 percent discount rate ...................................................................................................................... $1,200 to $4,000 ... $1,800 to $6,400 

7 percent discount rate ...................................................................................................................... $1,100 to $3,800 ... $1,600 to $6,100 

Annual Net Benefits (Total Benefits—Total Costs) 

3 percent discount rate ...................................................................................................................... $990 to $3,800 ...... $1,600 to $6,200 

7 percent discount rate ...................................................................................................................... $890 to $3,600 ...... $1,400 to $5,900 

aAll estimates represent annualized benefits and costs anticipated for the years 2020 and 2030. Totals may not sum due to rounding. bThe calculation of annual costs does not require amortization of costs over time. Therefore, the estimates of annual cost do not include a discount rate or rate of return assumption (see Chapter 9 of the RIA). In Chapter 9, however, we use both a 3 percent and 7 percent social discount rate to calculate the net present value of total social costs consistent with EPA and OMB guidelines for preparing economic analyses (US 

EPA, 2000 and OMB, 2003). cTotal includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the ozone premature mortality function, including an assumption that the association is not causal, to PM2.5-related premature mortality derived from the ACS (Pope et al., 2002) and Six Cities (Laden et al., 2006) studies. dAnnual benefits analysis results reflect the use of a 3 percent and 7 percent discount rate in the valuation of premature mortality and nonfatal 

myocardial infarctions, consistent with EPA and OMB guidelines for preparing economic analyses (US EPA, 2000 and OMB, 2003).142, 143

eValuation of premature mortality based on long-term PM exposure assumes discounting over the SAB recommended 20-year segmented lag 

structure described in the Regulatory Impact Analysis for the Final Clean Air Interstate Rule (March, 2005). f 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–6. 

F. Economic Impact Analysis 

We prepared an Economic Impact 

Analysis (EIA) to estimate the economic 

impacts of the final emission control 

program on the Small SI and Marine SI 

engine and equipment markets. In this 

section we briefly describe the 

Economic Impact Model (EIM) we 

developed to estimate the market-level 

changes in price and outputs for 

affected markets, the social costs of the 

program, and the expected distribution 

of those costs across affected 

stakeholders. As defined in EPA’s 

Guidelines for Preparing Economic 

Analyses, social costs are the value of 

the goods and services lost by society 

resulting from a) the use of resources to 

comply with and implement a 

regulation and b) reductions in 

output.144

A quantitative Economic Impact 

Model (EIM) was developed to estimate 

price and quantity changes and total 

social costs associated with the 

emission control program. The EIM is a 

computer model comprised of a series of 

spreadsheet modules that simulate the 

supply and demand characteristics of 

each of the markets under 

consideration. The model methodology 

is firmly rooted in applied 

microeconomic theory and was 

developed following the methodology 

set out in OAQPS’s Economic Analysis 

Resource Document. 145 Chapter 9 of the 

RIA contains a detailed description of 

the EIM, including the economic theory 

behind the model and the data used to 

construct it, the baseline equilibrium 

market conditions, and the model’s 

behavior parameters. The EIM and the 

estimated compliance costs presented 

above are used to estimate the economic 

impacts of the program. The results of 

this analysis are summarized below. 

(1) Market Analysis Results 

In the market analysis, we estimate 

how prices and quantities of goods and 

services affected by the emission control 

program can be expected to change once 

the program goes into effect. 

The compliance costs associated with 

the new Small SI and Marine SI engine 

and equipment standards are expected 

to lead to price and quantity changes in 

these markets. A summary of the market 

analysis results is presented in Table 

XII.F–1 for 2014, 2018, and 2030. These 

years were chosen because 2014 is the 

year with the highest compliance cost; 

2018, the year in which the compliance 

costs are reduced due to the learning 

curve, and the market impacts reflect 

variable costs as well as growth in 

equipment population; and 2030 

illustrates the long-term impacts of the 

program. Results for all years can be 

found in Chapter 9 of the RIA. 

For all markets, the market impacts 

for the early years are driven by either 

the fixed cost or the combination of the 

fixed and variable costs associated with 

different standards. This leads to a small 

increase in estimated price impacts for 

the years 2008 through 2014, the period 

during which the costs change over time 

reflecting the phase-in of different costs 

(variable and fixed costs) for each 

standard or the phase-in of different 

standards. The increase is small because 

the annual per unit compliance costs 

from these new standards are relatively 

smaller than the engine or equipment 

per unit price. 

The Small SI exhaust standards begin 

in 2011 for Class II and 2012 for Class 

I. The marine exhaust standards 

generally begin in 2010. The Small SI 

evaporative emission standards are 

staggered beginning in 2008, with 

regulatory flexibility providing some 

small delays until 2013. The marine 

evaporative emission standards are 

staggered beginning in 2009, with 

regulatory flexibility providing some 

small delays until 2015. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59163 

In the Marine SI market, the average 

price increase for Marine SI engines in 

2014, the high cost year, is estimated to 

be about 2.4 percent, or $266. In the 

long term (by 2030), the average price 

increase is expected to decline to about 

1.9 percent, or $213. On the vessel side, 

the average price change reflects the 

direct equipment compliance costs plus 

the portion of the engine costs that are 

passed on to the equipment purchaser 

(via higher engine prices). The average 

price increase in 2014 is expected to be 

about 1.6 percent, or $285. By 2030, this 

average price increase is expected to 

decline to about 1.3 percent, or $231. 

These price increases are expected to 

vary across vessel categories. The 

category with the largest price increase 

is expected to be personal watercraft 

engines, with an estimated price 

increase of about 3.0 percent in 2014; 

this is expected to decrease to 2.4 

percent in 2030. The smallest expected 

change in 2014 is expected to be for 

sterndrive/inboards vessels, which are 

expected to see price increases of about 

0.9 percent. 

In the Small SI market, the average 

price increase for Small SI engines in 

2014, the high cost year, is estimated to 

be about 8.3 percent, or $14. By 2030, 

this average price increase is expected 

to decline to about 7.4 percent, or $12. 

On the equipment side, the average 

price change reflects the direct 

equipment compliance costs plus the 

portion of the engine costs that are 

passed on to the equipment purchaser 

(via higher engine prices). The average 

price increase for all Small SI 

equipment in 2014 is expected to be 

about 2.6 percent, or $10. By 2030, this 

average price increase is expected to 

decline to about 2.3 percent, or $8. The 

average price increase and quantity 

decrease differs by category of 

equipment. For Class I equipment, the 

price increase is estimated to be about 

6.2 percent ($17) in 2014, decreasing to 

5.6 percent ($15) in 2030. For Class II 

equipment, a higher price increase is 

expected, about 2.6 percent ($24) in 

2014, decreasing to 2.2 percent ($20) in 

2030. 

For the handheld equipment market, 

prices are expected to increase about 0.2 

percent or $0.3 for all years, and 

quantities are expected to decrease 

about 0.3 percent. 

BILLING CODE 6560–50–P 

mstockstill on PROD1PC66 with RULES2

59164 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(2) Economic Welfare Analysis 

In the economic welfare analysis we 

look at the total social costs associated 

with the program and their distribution 

across key stakeholders. 

The total estimated social costs of the 

program are about $444 million, $399 

million, and 459 million for 2014, 2018 

and 2030. These estimated social costs 

are a slight less than the total 

compliance costs for those years. The 

slight reduction in social costs when 

compared to compliance costs occurs 

because the total engineering costs do 

not reflect the decreased sales of the 

Small SI and Marine SI engines and 

equipment that are incorporated in the 

total social costs. Results for all years 

are presented in Chapter 9 of the RIA. 

Table XII.F–2 shows how total social 

costs are expected to be shared across 

stakeholders, for selected years. 

We estimate the total social costs of 

the program to be approximately $459 

million in 2030. The Marine SI sector is 

expected to bear about 33.5 percent of 

the social costs of the programs in 2030, 

and the Small SI sector is expected to 

bear 66.5 percent. In each of these two 

sectors, these social costs are expected 

to be born primarily by end-users of 

Marine SI and Small SI equipment 

(about 86 percent). This will also be 

offset by the fuel savings. The remaining 

14 percent is expected to be borne by 

Small SI or Marine SI engine and 

equipment manufacturers. 


mstockstill on PROD1PC66 with RULES2ER08OC08.073</GPH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59165 

146EPA has historically presented the present 

value of cost and benefits estimates using both a 3 

percent and a 7 percent social discount. The 3 

percent rate represents a demand-side approach and 

reflects the time preference of consumption (the 

rate at which society is willing to trade current 

consumption for future consumption). The 7 

percent rate is a cost-side approach and reflects the 

shadow price of capital. 

TABLE XII.F–2—SUMMARY OF ESTIMATED SOCIAL COSTS FOR 2014, 2018, 2030 (2005$, $MILLION) 

Stakeholder group 

2014 2018 2030 

Surplus 

change Percent Surplus change Percent Surplus change Percent 

Marine SI: 

Engine Manufacturers ....................................................................... ¥$10.5 2.4 ¥$8.7 2.2 ¥$9.4 2.1 

Equipment Manufacturers ................................................................. ¥$29.7 6.7 ¥$25.0 6.3 ¥$27.1 5.9 

End User (Households) .................................................................... ¥$130.0 29.3 ¥$108.2 27.1 ¥$117.2 25.6 

Subtotal ...................................................................................... ¥$170.2 38.4 ¥$142.0 35.6 ¥$153.7 33.5 

Small SI: 

Engine Manufacturers ....................................................................... ¥$5.4 1.2 ¥$5.0 1.2 ¥$5.9 1.3 

Equipment Manufacturers ................................................................. ¥$18.1 4.1 ¥$16.9 4.2 ¥$20.0 4.4 

End User (Households) .................................................................... ¥$250.2 56.4 ¥$235.0 58.9 ¥$278.9 60.8 

Subtotal ...................................................................................... ¥$273.6 61.6 ¥$256.8 64.4 ¥$304.9 66.5 

Total .................................................................................... ¥$443.8 ................ ¥$398.8 ................ ¥$458.6 ................

Table XII.F–3 contains the 

distribution of the total surplus losses 

for the program from 2008 through 

2037. This table shows that Small SI 

and Marine SI equipment manufacturers 

are expected to bear more of the burden 

of the program than engine 

manufacturers. The present value of net 

social costs of the final standards 

through 2037 at a 3 percent discount 

rate, shown in Table XII.F–3, is 

estimated to be $4.2 billion, taking the 

fuel savings into account. We also 

performed an analysis using a 7 percent 

social discount rate.146 Using that 

discount rate, the present value of the 

net social costs through 2037 is 

estimated to be $2.7 billion, including 

the fuel savings. 

TABLE XII.F–3—ESTIMATED NET SOCIAL COSTS THROUGH 2037 BY STAKEHOLDER (2005$, $MILLION) 

Stakeholder group Surplus 

change 

Percent of 

total surplus 

Surplus 

change 

Percent of 

total surplus 

NPV 3% NPV 7% 

Marine SI: 

Engine Manufacturers .............................................................................. ¥$167.0 2.2 ¥$100.8 2.2 

Equipment Manufacturers ........................................................................ ¥$474.5 6.2 ¥$285.2 6.3 

End User (Households) ............................................................................ ¥$2,079.0 27.3 ¥$1,257.1 27.9 

Subtotal ............................................................................................. ¥$2,720.5 35.7 ¥$1,643.2 36.5 

Small SI: 

Engine Manufacturers .............................................................................. ¥$94.1 1.2 ¥$54.8 1.2 

Equipment Manufacturers ........................................................................ ¥$329.9 7.4 ¥$195.4 7.5 

End User (Households) ............................................................................ ¥$4,472.1 58.7 ¥$2,612.8 58.0 

Subtotal ............................................................................................. ¥$4,896.1 64.3 ¥$2,863.0 63.5 

Total Social Costs ............................................................................................ ¥$7,616.6 ........................ ¥$4,506.2 ........................

Fuel Savings .................................................................................................... $3,374.6 ........................ $1,774.7 ........................

Net Social Costs .............................................................................................. ¥$4,242.0 ........................ ¥$2,731.5 ........................

(3) What Are the Significant Limitations 

of the Economic Impact Analysis? 

Every economic impact analysis 

examining the market and social welfare 

impacts of a regulatory program is 

limited to some extent by limitations in 

model capabilities, deficiencies in the 

economic literatures with respect to 

estimated values of key variables 

necessary to configure the model, and 

data gaps. In this EIA, there are three 

potential sources of uncertainty: (1) 

Uncertainty resulting from the way the 

EIM is designed, particularly from the 

use of a partial equilibrium model; (2) 

uncertainty resulting from the values for 

key model parameters, particularly the 

price elasticity of supply and demand; 

and (3) uncertainty resulting from the 

values for key model inputs, 

particularly baseline equilibrium price 

and quantities. 

Uncertainty associated with the 

economic impact model structure arises 

from the use of a partial equilibrium 

approach, the use of the national level 

of analysis, and the assumption of 

competitive market structure. These 

features of the model mean it does not 

take into account impacts on secondary 

markets or the general economy, and it 

does not consider regional impacts. The 

results may also be biased to the extent 

that firms have some control over 

market prices, which would result in 

the modeling over-estimating the 

impacts on producers of affected goods 

and services. 

The values used for the price 

elasticities of supply and demand are 

critical parameters in the EIM. The 

values of these parameters have an 

impact on both the estimated change in 

price and quantity produced expected 

as a result of compliance with the final 

mstockstill on PROD1PC66 with RULES2

59166 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

standards and on how the burden of the 

social costs will be shared among 

producer and consumer groups. In 

selecting the values to use in the EIM it 

is important that they reflect the 

behavioral responses of the industries 

under analysis. 

Finally, uncertainty in measurement 

of data inputs can have an impact on the 

results of the analysis. This includes 

measurement of the baseline 

equilibrium prices and quantities and 

the estimation of future year sales. In 

addition, there may be uncertainty in 

how similar engines and equipment 

were combined into smaller groups to 

facilitate the analysis. There may also be 

uncertainty in the compliance cost 

estimations. 

While variations in the above model 

parameters may affect the distribution of 

social costs among stakeholders and the 

estimated market impacts, they will not 

affect the total social costs of the 

program. This is because the total social 

costs are directly related to the total 

compliance costs. To explore the effects 

of key sources of uncertainty, we 

performed a sensitivity analysis in 

which we examine the results of using 

alternative values for the price elasticity 

of supply and demand, and alternative 

baseline prices for certain equipment 

markets. The results of these analyses 

are contained in Appendix 9H of the 

RIA prepared for this rule. 

Despite these uncertainties, we 

believe this economic impact analysis 

provides a reasonable estimate of the 

expected market impacts and social 

welfare costs of the final standards in 

future. Acknowledging benefits 

omissions and uncertainties, we present 

a best estimate of the social costs based 

on our interpretation of the best 

available scientific literature and 

methods supported by EPA’s Guidelines 

for Preparing Economic Analyses and 

the OAQPS Economic Analysis 

Resource Document. 

X. Public Participation 

We published the proposed rule on 

May 18, 2007 (72 FR 28098) and held 

a public hearing on June 5, 2007 in 

Reston, Virginia. The public comment 

period continued until August 3, 2007. 

We received written comments from 

over 100 entities, including 

manufacturers, state and environmental 

groups, and individual citizens. The 

comments covered a wide range of 

issues, many of which were very 

specific recommendations related to test 

procedures and certification and 

compliance provisions. The comments 

and our responses are described in the 

Summary and Analysis of Comments 

document which has been placed in the 

docket for this rulemaking. Commenters 

also raised a variety of broader issues 

that we highlight in this section. 

Diffusion and running loss control for 

nonhandheld Small SI engines and 

equipment. We proposed diffusion and 

running loss standards for nonhandheld 

Small SI engines and equipment. The 

diffusion standard included a simple 

measurement procedure and a 

corresponding standard that could be 

met with basic technology to limit 

venting from fuel tanks. We proposed a 

variety of methods for controlling 

running losses. The most common 

approach expected is for equipment 

manufacturers to install a vent line to 

route running loss vapors to the engine’s 

intake. We proposed an alternative 

approach that would allow equipment 

manufacturers to demonstrate that fuel 

temperatures would increase only a 

small amount during operation, which 

would minimize the source of running 

loss vapors. Manufacturers objected to 

the proposed measurement procedure 

and standard for diffusion emissions. 

They also commented that they thought 

the temperature-based option for 

controlling running losses was 

impractical based on the measurement 

procedures and other implementation 

provisions. We are therefore removing 

the temperature-based option for 

running loss control. Manufacturers 

must generally either run a vapor line 

from the fuel tank to the engine’s intake 

or find a way to use a sealed fuel tank. 

Under any remaining technology 

scenario for controlling running loss 

emissions, manufacturers would be 

designing and producing their fuel tanks 

with inherently low diffusion 

emissions. We therefore anticipate that 

diffusion emissions will be controlled 

even though we are not adopting 

standards or measurement requirements 

for diffusion. 

SHED testing for nonhandheld 

engines and equipment. We proposed to 

allow certification based on California 

ARB’s SHED testing on an interim basis 

to ease the transition to EPA’s Phase 3 

standards. The SHED procedure is 

intended to measure all evaporative 

emissions from a piece of equipment 

rather than separately measuring 

emissions from fuel lines and fuel tanks. 

It is also intended to capture diurnal 

emissions. As described in the proposal, 

we chose not to apply diurnal emission 

standards. Manufacturers requested that 

we include a long-term allowance for 

SHED testing so they could choose to 

sell California-certified products 

nationwide without repeating their 

certification efforts to comply with 

EPA’s different standards and testing 

protocol. While there is some chance 

that manufacturers could concentrate 

their emission controls, for example, on 

diurnal and fuel tank permeation such 

that they would not need lowpermeation fuel lines, we believe that 

on balance a SHED-certified product 

will invariably be at least as lowemitting as equipment that uses only 

certified low-permeation fuel lines and 

fuel tanks. As a result, we are including 

in the regulations a long-term allowance 

for manufacturers to meet EPA 

requirements based on an overall 

measurement of evaporative emissions 

from equipment with complete fuel 

systems. 

Bonding requirements for Small SI 

engines. We described in the proposal 

that we were considering bonding 

requirements for Small SI engines. We 

described our concerns that low-cost 

products were being sold without the 

necessary commitment to following 

through on any obligations that may 

arise over an engine’s operating life, 

such as warranty, recall, or some other 

finding of noncompliance with the 

regulations. Several commenters 

strongly supported the bonding 

requirements. No commenters objected 

to the bonding requirements. We 

requested comment on defining a 

threshold for determining which 

companies had a sufficient presence in 

the United States and a good 

compliance history that would allow us 

to conclude that bonding requirements 

were not needed. Subsequent 

discussions with manufacturers led us 

to narrow our approach to focus on 

multiple thresholds tailored to specific 

types of companies. A baseline 

threshold of $10 million in long-term 

assets applies for engine manufacturers. 

A mid-level threshold of $6 million 

applies to secondary engine 

manufacturers. These are generally 

smaller companies with smaller sales 

volumes. We are also including a 

reduced threshold of $3 million for 

companies that have had U.S.-certified 

engines for at least ten years without 

any violations. We believe bonding 

requirements should still apply for 

companies with a long-term market 

presence, but a lower asset threshold for 

these companies is appropriate. 

A noteworthy change from the 

proposal is the inclusion of 

domestically produced engines. While 

the proposal focused on imported 

engines, we concluded that trade rules 

and good practice dictate that the 

bonding requirements should apply 

equally to companies producing product 

in the United States. Manufacturers of 

any substantial size would easily meet 

the asset threshold, so the only 

additional companies likely to be 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59167 

affected by this change would be very 

small domestic manufacturers. We may 

conclude that these companies too 

should meet bonding requirements if we 

have reason to believe that they will be 

unable to meet their obligations related 

to in-use engines. On the other hand, we 

believe there will be cases where 

manufacturers can use something other 

than a posted bond to demonstrate that 

they will meet these obligations. We are 

therefore including provisions for a 

process by which small manufacturers 

would be able to request that a different 

asset threshold (or a different bond 

value) would apply. We would evaluate 

these requests on a case-by-case basis 

and approve changes to the specified 

approach only if it was clear that 

manufacturers would meet their in-use 

obligations. 

Transition to exhaust emission 

standards for sterndrive/inboard 

engines. Manufacturers expressed 

concerns before the proposed rule that 

they were anticipating a change in 

engine models from General Motors, 

which supplies most companies with 

partially complete engines for making 

sterndrive/inboard engines. With the 

approaching obsolescence of two of 

these engine models, engine 

manufacturers did not want to put in 

the effort to redesign those engines for 

one or two years of production before 

they made the transition to the 

replacement engine models. We 

described several possible approaches 

for addressing this in the proposal. We 

are adopting a provision to specify 

directly in the regulation that we are 

approving a one-year hardship for the 

affected engine models, which allows 

the engine manufacturers to produce 

these engines in the 2010 model year 

without meeting emission standards. 

Starting in the 2011 model year, 

manufacturers would need to meet the 

new emission standards for their full 

product line. 

Phase-in for marine diurnal 

requirements. We proposed to apply the 

diurnal emission standards for marine 

vessels starting in 2010. Manufacturers 

recommended delaying this standard 

until 2011 to allow time for the industry 

to establish consensus standards related 

to installation parameters for carbon 

canisters and other elements of diurnal 

emission control systems. 

Manufacturers also pointed out that a 

one-year delay would be preferable to a 

phase-in, which would be problematic 

for boat builders. The U.S. Coast Guard 

agreed that an extra year would be 

helpful to ensure that manufacturers 

had enough time to design and build 

systems that would not have safety 

problems. We agreed that starting the 

diurnal emission standards in 2011 

would be appropriate. Late in the 

rulemaking process, the marine 

manufacturers raised a concern that 

small boat builders might need 

additional time to learn about the 

regulatory requirements and make the 

necessary design changes for complying 

with standards. We agreed to consider a 

staged approach, similar to what we are 

adopting for Small SI equipment 

manufacturers under the Phase 3 

standards, in which boat builders would 

be able to make a certain number of 

noncompliant boats over the first year or 

two. Manufacturers emphasized that the 

best approach was to phase in the 

diurnal standard (30 percent of boats the 

first year, 60 percent the second year, 

100 percent the third year), including 

large businesses. We believe a more 

limited transition will be sufficient to 

meet the need to modify vessels to 

comply with the new standards. We are 

adopting approach that would allow 

companies to make up to 50 percent of 

their products between July 2011 and 

July 2012 that do not yet comply with 

diurnal emission standards. All boats 

would need to comply after July 2012. 

A separate provision for small-volume 

boat builders would allow for up to 

1200 noncompliant boats over the first 

two years that the standards apply (July 

2011 to July 2013). 

Definition of ‘‘engine’’ We proposed 

to define the point at which engines 

became subject to emission standards as 

the point at which any component was 

attached to an engine block. This was 

intended to clarify the relationship 

between primary and secondary engine 

manufacturers and to prevent 

circumvention of the regulations by 

allowing the importation or other sale of 

partially complete engines that needed 

neither certification nor an exemption. 

Manufacturers pointed out that there 

were several incidental components 

added to engines early in the process, 

many times by the company that cast 

and/or machined the engine block for 

shipment to the engine manufacturer. 

We objected to the idea that an engine 

should not be subject to emission 

standards until it reached a running 

configuration because this would make 

it difficult or impossible to enforce our 

requirements. We chose to identify the 

best point early in the assembly process 

for making engines subject to standards 

to be the point of crankshaft installation. 

This is generally the first major 

assembly procedure and it involves 

most of the engine’s moving parts. 

Setting up the regulations to clearly 

prohibit the sale of partially complete 

engines without a certificate or an 

exemption led us to adopt provisions to 

accommodate the several legitimate 

business practices in which 

manufacturers ship engines before they 

have reached a certified configuration. 

First, we proposed a process by which 

original engine manufacturers could 

ship partially complete engines to 

secondary engine manufacturers, 

including requirements for labeling 

engines and for secondary engine 

manufacturers to first obtain a certificate 

for the engine in question. Commenters 

objected to the labeling requirements 

and pointed out that there would 

sometimes be a need for shipping 

engines before the secondary engine 

manufacturer had an approved 

certificate. We agreed to simplify the 

labeling requirement such that the 

primary engine manufacturer would be 

able to use a single label for all its 

engines, identifying only its company 

name and the basis for the exemption, 

and referring to the bill of lading, which 

would identify the secondary engine 

manufacturer. We are also adopting 

regulatory provisions to clarify that 

these shipments may occur during the 

time that we are reviewing an 

application for certification from the 

secondary engine manufacturer, subject 

to certain requirements that are similar 

to those that apply for traditional engine 

manufacturers in building up inventory 

before their certification is approved. 

We also allow shipment of these engines 

when the secondary engine 

manufacturer has a valid exemption; 

this may occur for example, if the 

secondary engine manufacturer is 

developing a new model or is 

assembling engines only for export. 

Second, we proposed and are 

finalizing a provision to allow 

manufacturers broad discretion to ship 

partially complete engines between two 

of their own facilities. Manufacturers 

would only need to get our approval by 

describing their plans for this type of 

shipment in their application for 

certification. We may set certain 

reasonable conditions to ensure that 

manufacturers do not use these 

provisions to circumvent the 

regulations, but we would generally not 

require any specific labeling or 

recordkeeping steps for this practice. 

Third, we proposed to include 

partially complete engines sold as 

replacement components under the 

replacement-engine exemption in 

§ 1068.240. Manufacturers expressed a 

concern that these engines were needed 

as replacement components and should 

therefore not be subject to standards. We 

noted that the existing replacementengine exemption does not fit well with 

partially complete engines that are 

identical to engines currently being 

mstockstill on PROD1PC66 with RULES2

59168 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

produced under a valid certificate of 

conformity (up to that stage of 

completion). As a result, we have 

included language in § 1068.240 

describing a streamlined path for these 

engines. The more difficult question 

relates to partially complete engines 

specially produced for replacement or 

repower where the old engine is subject 

to a previous tier of emission standards. 

We are concerned, as described above, 

that manufacturers could exploit this as 

a loophole if we did not specify that 

these engines are subject to emission 

standards. We are modifying the 

replacement-engine exemption to allow 

for very limited use of replacement 

engines without the administrative 

requirements and oversight provisions 

that currently apply under § 1068.240. 

Under this approach we specify that 

manufacturers may produce and sell a 

certain number of replacement engines, 

including partially complete engines, 

based on production volumes from 

preceding years without making a 

determination that a new engine 

meeting current standards is unavailable 

to repower the equipment. 

Manufacturers would also not need to 

take possession of the old engine block 

(or confirm that it has been destroyed). 

For any number of noncompliant 

replacement engines exceeding the 

specified threshold, manufacturers 

would need to meet all the requirements 

that currently apply under § 1068.240. 

See Section VIII above and Chapter 1 of 

the Summary and Analysis of 

Comments for further information and 

discussion related to replacement 

engines. 

XI. Statutory and Executive Order 

Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review 

Under section 3(f)(1) of Executive 

Order (EO) 12866 (58 FR 51735, October 

4, 1993), this action is an ‘‘economically 

significant regulatory action’’ because it 

is likely to have an annual effect on the 

economy of $100 million or more. 

Accordingly, EPA submitted this action 

to the Office of Management and Budget 

(OMB) for review under EO 12866 and 

any changes made in response to OMB 

recommendations have been 

documented in the docket for this 

rulemaking. 

In addition, EPA prepared an analysis 

of the potential costs and benefits 

associated with this action. This 

analysis is contained in the Final 

Regulatory Impact Analysis, which is 

available in the docket and is 

summarized in Section IX. 

B. Paperwork Reduction Act 

The information collection 

requirements in this final rule have been 

submitted for approval to the Office of 

Management and Budget (OMB) under 

the Paperwork Reduction Act, 44 U.S.C. 

3501 et seq. The Information Collection 

Request (ICR) documents prepared by 

EPA have been assigned EPA ICR 

numbers 2251.02 and 1722.06. 

The Agency will collect information 

to ensure compliance with the 

provisions in this rule. This includes a 

variety of requirements, both for engine 

manufacturers, equipment 

manufacturers and manufacturers of 

fuel system components. Section 208(a) 

of the Clean Air Act requires that 

manufacturers provide information the 

Administrator may reasonably require to 

determine compliance with the 

regulations; submission of the 

information is therefore mandatory. 

As shown in Table XIV–1, the total 

annual burden associated with this final 

rule is about 131,000 hours and $17 

million based on a projection of 1,031 

respondents. The estimated burden for 

engine manufacturers is a total estimate 

for both new and existing reporting 

requirements. Most information 

collection is based on annual reporting. 

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. 

TABLE XIV–1—ESTIMATED BURDEN FOR REPORTING AND RECORDKEEPING REQUIREMENTS

Industry sector Number of 

respondents 

Average 

burden per 

respondent 

Annual burden 

hours 

Annualized 

capital costs 

Annual labor 

costs 

Annual 

operation and 

maintenance 

costs 

Small SI engine manufacturers ............... 58 885 51,301 $4,829,036 $2,065,643 $3,268,306 

Small SI equipment (evaporative) ........... 500 19 9,500 0 412,500 120,500 

Tank and hose component mfr’s. (evaporative) .................................................... 53 68 3,615 0 97,670 12,773 

Marine SI engine manufacturers ............. 38 1,596 60,640 0 3,110,584 6,462,307 

Marine SI equipment & fuel system component mfr. (evaporative) ..................... 343 29 10,020 0 730,450 120,232 

TOTAL .............................................. 992 2,597 135,076 5,829,036 6,416,847 9,984,118 

Total Annual Cost = 16,400,965 

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 in 40 

CFR are listed in 40 CFR part 9. 

C. Regulatory Flexibility Act 

(1) Overview 

The Regulatory Flexibility Act (RFA) 

generally requires an agency to prepare 

a regulatory flexibility analysis of any 

rule subject to notice and comment 

rulemaking requirements under the 

Administrative Procedure Act or any 

other statute unless the agency certifies 

that the rule will not have a significant 

economic impact on a substantial 

number of small entities. Small entities 

include small businesses, small 

organizations, and small governmental 

jurisdictions. 

For purposes of assessing the impacts 

of this action on small entities, small 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59169 

147 ‘‘Panel Report of the Small Business Advocacy 

Review Panel on EPA’s Planned Proposed Rule, 

Control of Emissions from Nonroad Spark-Ignition 

Engines and Equipment,’’ October 10, 2006, Docket 

EPA–HQ–OAR–2004–0008–0562. 

entity is defined as: (1) A small business 

as defined by the Small Business 

Administration’s (SBA) regulations at 13 

CFR 121.201 (see Table XIV–2, below); 

(2) a small governmental jurisdiction 

that is a government of a city, county, 

town, school district or special district 

with a population of smaller 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. The 

following table provides an overview of 

the primary SBA small business 

categories potentially affected by this 

regulation. 

TABLE XIV–2—SMALL BUSINESS DEFINITIONS FOR ENTITIES AFFECTED BY THIS RULE

Industry NAICSa

Codes 

Threshold Definitions for 

Small Business b

Small SI and Marine SI Engine Manufacturers .................................................................................. 333618 1,000 employees. 

Equipment Manufacturers: 

Farm Machinery ........................................................................................................................... 333111 500 employees. 

Lawn and Garden ........................................................................................................................ 333112 500 employees. 

Construction ................................................................................................................................. 333120 750 employees. 

Sawmill and Woodworking .......................................................................................................... 333210 500 employees. 

Pumps .......................................................................................................................................... 333911 500 employees. 

Air and Gas Compressors ........................................................................................................... 333912 500 employees. 

Generators ................................................................................................................................... 335312 1,000 employees. 

Boat Builders ...................................................................................................................................... 336612 500 employees. 

Fuel Tank Manufacturers: 

Other Plastic Products ................................................................................................................. 326199 500 employees. 

Metal Stamping ............................................................................................................................ 332116 500 employees. 

Metal Tank (Heavy Gauge) ......................................................................................................... 332420 500 employees. 

Fuel Line Manufacturers: 

Rubber and Plastic Fuel Lines .................................................................................................... 326220 500 employees. 

a North American Industry Classification System. 

bAccording to SBA’s regulations (13 CFR 121), businesses with no more than the listed number of employees are considered ‘‘small entities’’ 

for RFA purposes. 

After considering the economic 

impacts of this final rule on small 

entities, I certify that this action will not 

have a significant economic impact on 

a substantial number of small entities. 

The small entities directly regulated by 

this final rule cover a wide range of 

small businesses including engine 

manufacturers, equipment 

manufacturers, boat manufacturers, fuel 

tank manufacturers, and fuel hose 

manufacturers. Small governmental 

jurisdictions and small organizations as 

described above will not be impacted. 

We have determined that the estimated 

effect of the rule is to impact 43 

companies with costs between one and 

three percent of revenues, and 18 

additional companies with costs over 

three percent of revenues. These 61 

companies represent less than 5 percent 

of the total number of small businesses 

impacted by the new regulations. All 

remaining companies (over 1,000 of 

them) would be impacted with costs by 

less than one percent of revenues. It 

should be noted that this estimate is 

based on the highest level of estimated 

cost in the first years of the program. We 

estimate substantially lower long-term 

costs as manufacturers learn to produce 

compliant products at a lower cost over 

time. 

Pursuant to section 603 of the RFA, 

EPA prepared an initial regulatory 

flexibility analysis (IRFA) for the May 

18, 2007 proposed rule (72 FR 28098). 

Pursuant to section 609(b) of the RFA, 

EPA convened a Small Business 

Advocacy Review Panel to obtain advice 

and recommendations from 

representatives of small entities that 

would potentially be regulated by the 

rule. A detailed discussion of the 

Panel’s advice and recommendations is 

found in the Panel Reports, which have 

been placed in the docket for this 

rule.147 A summary of the Panel’s 

recommendations is presented in the 

May 2007 proposal (72 FR 28245). 

In the final rule, EPA has made some 

changes to the proposal that reduced the 

level of impact to small entities directly 

regulated by the rule. As described in 

Section III.C.1, EPA is adopting less 

stringent standards for SD/I highperformance engines than originally 

proposed, based in part on the 

comments from SD/I engine 

manufacturers, most of which are small 

businesses. This change has resulted in 

a reduction in the number of entities 

projected to be impacted by more than 

1 percent. 

Despite the determination that this 

rule will not have a significant 

economic impact on a substantial 

number of small entities, EPA prepared 

a Small Business Flexibility Analysis 

that has all the components of a final 

regulatory flexibility analysis (FRFA). A 

FRFA examines the impact of the rule 

on small businesses along with 

regulatory alternatives that could reduce 

that impact. The Small Business 

Flexibility Analysis (which is presented 

in Chapter 10 of the Final RIA) is 

available for review in the docket, and 

is summarized below. 

(2) Need for and Objective of the 

Rulemaking 

Air pollution is a serious threat to the 

health and well-being of millions of 

Americans and imposes a large burden 

on the U.S. economy. Ground-level 

ozone and carbon monoxide are linked 

to potentially serious respiratory health 

problems, especially respiratory effects 

and environmental degradation, 

including visibility impairment in and 

around our national parks. (Section II 

and Chapter 2 of the Final RIA for this 

rule describe these pollutants and their 

health effects.) Over the past quarter 

century, state and federal 

representatives have established 

emission control programs that 

significantly reduce emissions from 

individual sources. Many of these 

sources now pollute at only a small 

fraction of their pre-control rates. 

This final rule includes standards that 

will require manufacturers to 

substantially reduce exhaust emissions 

and evaporative emissions from Marine 

SI engines and vessels and from Small 

SI engines and equipment. We are 

promulgating the standards under 

mstockstill on PROD1PC66 with RULES2

59170 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

section 213(a)(3) of the Clean Air Act, 

which directs EPA to set emission 

standards that ‘‘achieve the greatest 

degree of emission reduction achievable 

through the application of technology’’ 

giving appropriate consideration to cost, 

noise, energy, safety, and lead time. In 

addition to the general authority to 

regulate nonroad engines under the 

Clean Air Act, section 428 of the 2004 

Consolidated Appropriations Act 

requires EPA to propose and finalize 

regulations for new nonroad sparkignition engines below 50 horsepower. 

(3) Summary of Significant Public 

Comments 

In the proposal, EPA proposed 

provisions consistent with each of the 

Panel’s recommendations and sought 

comments on all the small business 

provisions (see 72 FR 28245, May 18, 

2007). We received a number of 

comments during the comment period 

after we issued the proposal. The 

following section summarizes the most 

significant comments received. A 

summary of all comments pertaining to 

the small business provisions can be 

found in our Summary and Analysis of 

Comments document contained in the 

public docket for this rulemaking. 

With regard to marine exhaust 

emission standards, NMMA and several 

SD/I engine manufacturers commented 

on EPA’s proposed criteria for which 

SD/I engine manufacturers would be 

eligible for the small business 

flexibilities. They recommended that 

EPA should base the criteria on number 

of employees rather than engine 

production level. They recommended a 

500 employee threshold for small 

businesses with the option to qualify as 

a small-volume manufacturer if the 

5,000 unit level is not exceeded. 

With regard to marine evaporative 

emission standards, NMMA, which 

represents many vessel manufacturers, 

noted that EPA acknowledged the 

challenges faced by the small boat 

builders and even requested comment 

on a three-year phase-in (33–66–100 

percent) for the diurnal emission 

standards over model years 2010–2012. 

Rather than a phase-in, NMMA 

supported an additional two years of 

lead time for compliance (i.e., until 

model year 2013) for small businesses to 

allow for sufficient time for these 

businesses to gain experience with 

carbon canisters. 

(4) Type and Numbers of Small Entities 

Affected 

The standards being promulgated for 

Small SI engines and equipment will 

affect manufacturers of both handheld 

equipment and nonhandheld 

equipment. Based on EPA certification 

records, the Small SI nonhandheld 

engine industry is made up primarily of 

large manufacturers including Briggs 

and Stratton, Tecumseh, Honda, Kohler 

and Kawasaki. The Small SI handheld 

engine industry is also made up 

primarily of large manufacturers 

including Electrolux Home Products, 

MTD, Homelite, Stihl and Husqvarna. 

EPA has identified 10 Small SI engine 

manufacturers that qualify as a small 

business under SBA definitions. Half of 

these small manufacturers certify 

gasoline engines and the other half 

certify liquefied petroleum gas (LPG) 

engines. 

The Small SI equipment market is 

dominated by a few large businesses 

including Toro, John Deere, MTD, 

Briggs and Stratton, and Electrolux 

Home Products. While the Small SI 

equipment market may be dominated by 

just a handful of companies, there are 

many small businesses in the market; 

however these small businesses account 

for less than 10 percent of equipment 

sales. We have identified over three 

hundred equipment manufacturers that 

qualify as a small business under the 

SBA definitions. More than 90 percent 

of these small companies manufacture 

fewer than 5,000 pieces of equipment 

per year. The median employment level 

is 65 employees for nonhandheld 

equipment manufacturers and 200 

employees for handheld equipment 

manufacturers. The median sales 

revenue is approximately $9 million for 

nonhandheld equipment manufacturers 

and $20 million for handheld 

equipment manufacturers. 

EPA has identified 25 manufacturers 

that produce fuel tanks for the Small SI 

equipment market that meet the SBA 

definition of a small business. Fuel tank 

manufacturers rely on three different 

processes for manufacturing plastic 

tanks—rotational molding, blow 

molding and injection molding. EPA has 

identified small business fuel tank 

manufacturers using the rotational 

molding and blow molding processes 

but has not identified any small 

business manufacturers using injection 

molding. In addition, EPA has identified 

two manufacturers that produce fuel 

lines for the Small SI equipment market 

that meet the SBA definition of a small 

business. The majority of fuel line in the 

Small SI market is made by large 

manufacturers including Avon 

Automotive and Dana Corporation. 

The standards being promulgated for 

Marine SI engines and vessels will affect 

manufacturers in the OB/PWC market 

and the SD/I market. Based on EPA 

certification records, the OB/PWC 

market is made up primarily of large 

manufacturers including, Brunswick 

(Mercury), Bombardier Recreational 

Products, Yamaha, Honda, Kawasaki, 

Polaris, Briggs & Stratton, and Nissan. 

Two companies qualify as a small 

business under the SBA definition. 

Tohatsu makes outboard engines. The 

other small business is Surfango which 

makes a small number of motorized 

surfboards and has certified their 

product as a PWC. 

The SD/I market is made up mostly of 

small businesses; however, these 

businesses account for less than 20 

percent of engine sales. Two large 

manufacturers, Brunswick (Mercruiser) 

and Volvo Penta, dominate the market. 

We have identified 28 small entities 

manufacturing SD/I marine engines. The 

third largest company is Indmar, which 

has much fewer than the SBA threshold 

of 1,000 employees. Based on sales 

estimates, number of employees 

reported by Thomas Register, and 

typical engine prices, we estimate that 

the average revenue for the larger small 

SD/I manufacturers is about $50–60 

million per year. However, the vast 

majority of the SD/I engine 

manufacturers produce low production 

volumes of engines and typically have 

fewer than 50 employees. 

The two largest boat building 

companies are Brunswick and Genmar. 

Brunswick owns approximately 25 boat 

companies and Genmar owns 

approximately 12 boat companies. 

Based on a manufacturer list maintained 

by the U.S. Coast Guard, there are over 

1,600 boat builders in the United States. 

We estimate that, based on 

manufacturer identification codes, more 

than 1,000 of these companies produce 

boats using gasoline marine engines. 

According to the National Marine 

Manufacturers Association (NMMA), 

most of these boat builders are small 

businesses. These small businesses 

range from individuals building one 

boat per year to businesses near the SBA 

small business threshold of 500 

employees. 

We have identified 14 marine fuel 

tank manufacturers in the United States 

that qualify as small businesses under 

the SBA definition. These 

manufacturers include five rotational 

molders, two blow molders, six 

aluminum fuel tank manufacturers, and 

one specialty fuel tank manufacturer. 

The small rotational molders average 

fewer than 50 employees while the 

small blow-molders average over 100 

employees. 

We have only identified one small 

fuel line manufacturer that produces for 

the Marine SI market. Novaflex 

primarily distributes fuel lines made by 

other manufacturers but does produce 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59171 

its own filler necks. Because we expect 

vessel manufacturers will design their 

fuel systems such that there will not be 

standing liquid fuel in the fill neck (and 

therefore the new low-permeation fuel 

line requirements will not apply to the 

fill neck), we have not included this 

manufacturer in our analysis. The 

majority of fuel line in the Marine SI 

market is made by large manufacturers 

including Goodyear and ParkerHannifin. 

To gauge the impact of the new 

standards on small businesses, EPA 

employed a cost-to-sales ratio test to 

estimate the number of small businesses 

that will be impacted by less than one 

percent, between one and three percent, 

and above three percent. For this 

analysis, EPA assumed that the costs of 

complying with the final standards are 

completely absorbed by the regulated 

entity. Overall, EPA projects that 43 

small businesses will be impacted by 

one to three percent, 18 small 

businesses will be impacted by over 

three percent, and the remaining 

companies (over 1,000 small businesses) 

will be impacted by less than one 

percent. Table XIV–3 summarizes the 

impacts on small businesses from the 

new exhaust and evaporative emission 

standards for Small SI engines and 

equipment and Marine SI engines and 

vessels. A more detailed description of 

the inputs used for each affected 

industry sector and the methodology 

used to develop the estimated impact on 

small businesses in each industry sector 

is included in the Small Business 

Flexibility Analysis as presented in 

Chapter 10 of the Final RIA for this 

rulemaking. 

TABLE XIV–3—SUMMARY OF IMPACTS ON SMALL BUSINESSES

Industry sector 0–1 percent 1–3 

percent 

>3 

percent 

Manufacturers of Marine OB/PWC engines ............................................ 2 ......................................................................... 0 0 

Manufacturers of Marine SD/I engines < 373 kW ................................... 4 ......................................................................... 5 0 

Manufacturers of Marine SD/I engines ≥ 373 kW (high-performance) ... 19 ....................................................................... 0 0 

Boat Builders ........................................................................................... >1,000 ............................................................... 0 0 

Manufacturers of Fuel Lines and Fuel Tanks for Marine SI Vessels ..... 14 ....................................................................... 0 0 

Small SI engines and equipment ............................................................ 314 ..................................................................... 38 18 

Manufacturers of Fuel Lines and Fuel Tanks for Small SI Applications 27 ....................................................................... 0 0 

Total .................................................................................................. 380 plus >1,000 boat builders .......................... 43 18 

(5) Reporting, Recordkeeping, and 

Compliance Requirements 

For any emission control program, 

EPA must have assurances that the 

regulated products will meet the 

standards. Historically, EPA’s programs 

for Small SI engines and Marine SI 

engines have included provisions 

requiring that engine manufacturers be 

responsible for providing these 

assurances. The program that EPA is 

adopting for manufacturers subject to 

this final rule include testing, reporting, 

and recordkeeping requirements for 

manufacturers of engines, equipment, 

vessels, and fuel system components 

including fuel tanks, fuel lines, and fuel 

caps. 

For Small SI engine manufacturers 

and OB/PWC engine manufacturers, 

EPA is continuing the same reporting, 

recordkeeping, and compliance 

requirements prescribed in the current 

regulations. For SD/I engine 

manufacturers, which are not currently 

subject to EPA regulation, EPA is 

applying similar reporting, 

recordkeeping, and compliance 

requirements to those for OB/PWC 

engine manufacturers. Testing 

requirements for engine manufacturers 

will include certification emission 

(including deterioration factor) testing 

and production-line testing. Reporting 

requirements will include emission test 

data and technical data on the engines. 

Manufacturers will also need to keep 

records of this information. 

Because of the new evaporative 

emission requirements, there will be 

new reporting, recordkeeping and 

compliance requirements for Small SI 

equipment manufacturers. Small SI 

equipment manufacturers participating 

in the transition program will also be 

subject to reporting, recordkeeping and 

compliance requirements. There will 

also be new reporting, recordkeeping 

and compliance requirements for fuel 

tank manufacturers, fuel line 

manufacturers, fuel cap manufacturers 

and marine vessel manufacturers 

choosing to certify their products with 

EPA. Testing requirements for these 

manufacturers would include 

certification emission testing. Reporting 

requirements would include emission 

test data and technical data on the 

designs. Manufacturers will also need to 

keep records of this information. 

(6) Steps Taken To Minimize the 

Impact on Small Entities 

The Panel recommended that EPA 

consider and seek comment on a wide 

range of regulatory alternatives to 

mitigate the impacts of the rulemaking 

on small businesses, including those 

flexibility options described below. A 

copy of the Final Panel Report is 

included in the docket for this final 

rule. A summary of the Panel’s 

recommendations for the various groups 

of small businesses affected by the rule 

is presented in the May 2007 proposal 

(72 FR 28245). 

In response to the Panel’s 

recommendations, we proposed a range 

of small business flexibilities for the 

various groups of small businesses 

affected by the proposed standards. As 

noted earlier, we received a number of 

comments during the comment period 

after we issued the proposal. A 

complete summary of the comments 

pertaining to the small business 

provisions can be found in our 

Summary and Analysis of Comments 

document contained in the public 

docket for this rulemaking. 

EPA is adopting several small 

business flexibilities as part of this rule. 

A few changes have been made to some 

of the proposed flexibilities in response 

to the comments received on the 

proposal as well as other changes made 

in the rulemaking. The flexibilities 

available to small businesses affected by 

the new exhaust emission standards for 

SD/I engines are summarized in Section 

III.F. The flexibilities available to small 

businesses affected by the new exhaust 

emission standards for OB/PWC engines 

are summarized in Section IV.G. The 

flexibilities available to small 

businesses affected by the new exhaust 

emission standards for Small SI engines 

are summarized in Section V.F. Finally, 

the flexibilities available to small 

businesses affected by the new 

evaporative emission standards for both 

Marine SI engines and vessels and 

mstockstill on PROD1PC66 with RULES2

59172 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

Small SI engines and equipment are 

summarized in Section VI.G. 

D. Unfunded Mandates Reform Act 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA), Public 

Law 104–4, establishes requirements for 

federal agencies to assess the effects of 

their regulatory actions on state, local, 

and tribal governments and the private 

sector. Under section 202 of the UMRA, 

EPA generally must prepare a written 

statement, including a cost-benefit 

analysis, for proposed and final rules 

with ‘‘federal mandates’’ that may result 

in expenditures to state, local, and tribal 

governments, in the aggregate, or to the 

private sector, of $100 million or more 

in any one year. Before promulgating an 

EPA rule for which a written statement 

is needed, section 205 of the UMRA 

generally requires that EPA identify and 

consider a reasonable number of 

regulatory alternatives and adopt the 

least costly, most cost-effective, or least 

burdensome alternative that achieves 

the objectives of the rule. The 

provisions of section 205 do not apply 

when they are inconsistent with 

applicable law. Moreover, section 205 

allows EPA to adopt an alternative other 

than the least costly, most cost-effective, 

or least burdensome alternative if the 

Administrator publishes with the final 

rule an explanation of why that 

alternative was not adopted. 

Before EPA establishes any regulatory 

requirements that may significantly or 

uniquely affect small governments, 

including tribal governments, it must 

have developed under section 203 of the 

UMRA a small government agency plan. 

The plan must provide for notifying 

potentially affected small governments, 

enabling officials of affected small 

governments to have meaningful and 

timely input in the development of EPA 

regulatory proposals with significant 

federal intergovernmental mandates, 

and informing, educating, and advising 

small governments on compliance with 

the regulatory requirements. 

This rule contains no federal 

mandates for state, local, or tribal 

governments as defined by the 

provisions of Title II of the UMRA. The 

rule imposes no enforceable duties on 

any of these governmental entities. 

Nothing in the rule will 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 a 

single year. EPA believes that the final 

rule represents the least costly, most 

cost-effective approach to achieve the 

air quality goals of the rule. The costs 

and benefits associated with the final 

rule are discussed in Section IX and in 

the Final Regulatory Impact Analysis as 

required by the UMRA. 

E. Executive Order 13132: Federalism 

Executive Order 13132, entitled 

‘‘Federalism’’ (64 FR 43255, August 10, 

1999), requires EPA to develop an 

accountable process to ensure 

‘‘meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications.’’ ‘‘Policies that have 

federalism implications’’ is defined in 

the Executive Order to include 

regulations that have ‘‘substantial direct 

effects on the States, on the relationship 

between the national government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government.’’ 

Under section 6 of Executive Order 

13132, EPA may not issue a regulation 

that has federalism implications, that 

imposes substantial direct compliance 

costs, and that is not required by statute, 

unless the Federal government provides 

the funds necessary to pay the direct 

compliance costs incurred by State and 

local governments, or EPA consults with 

State and local officials early in the 

process of developing the proposed 

regulation. EPA also may not issue a 

regulation that has federalism 

implications and that preempts State 

law, unless the Agency consults with 

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. 

This final rule has federalism 

implications because it preempts State 

law. It does not include any significant 

revisions from current statutory and 

regulatory requirements, but it codifies 

existing statutory requirements. Prior to 

the passage of Public Law 108–199, the 

various states could adopt and enforce 

nonroad emission control standards 

previously adopted by the state of 

California under section 209(e) of the 

Clean Air Act, once California had 

received authorization from EPA to 

enforce such standards. As part of 

directing EPA to undertake this 

rulemaking, section 428 of Public Law 

108–199 has taken away the authority of 

states’ to adopt California standards for 

any nonroad spark-ignition engine 

under 50 horsepower that they had not 

already adopted by September 1, 2003. 

No state had done so by that date. No 

current state law is affected by the 

provisions of Public Law 108–199 

mentioned above. This rule codifies the 

statutory provision prohibiting other 

states from adopting California 

standards for nonroad spark-ignition 

engines under 50 horsepower. It does 

not affect the independent authority of 

California. 

EPA did consult with representatives 

of various State and local governments 

in developing this rule. EPA has also 

consulted representatives from the 

National Association of Clean Air 

Agencies (NACAA), which represents 

state and local air pollution officials. 

These officials participated in two EPA 

workshops regarding the Small SI safety 

study in which they expressed concern 

about the language of section 428 of 

Public Law 108–199 limiting the states’ 

ability to adopt the California standards 

for nonroad spark-ignition engines 

under 50 horsepower and urged EPA to 

move expeditiously in adopting new 

Federal emission standards for this 

category. 

As required by section 8(a) of 

Executive Order 13132, EPA included a 

certification from its Federalism Official 

stating that EPA had met the Executive 

Order’s requirements in a meaningful 

and timely manner, when it sent the 

draft of this final rule to OMB for review 

pursuant to Executive Order 12866. A 

copy of this certification has been 

included in the public version of the 

official record for this final rule. 

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 9, 2000), requires EPA 

to develop an accountable process to 

ensure ‘‘meaningful and timely input by 

tribal officials in the development of 

regulatory policies that have tribal 

implications.’’ 

This final rule does not have tribal 

implications as specified in Executive 

Order 13175. This rule will be 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59173 

implemented at the Federal level and 

impose compliance costs only on engine 

and equipment manufacturers. Tribal 

governments will be affected only to the 

extent they purchase and use equipment 

with regulated engines. Thus, Executive 

Order 13175 does not apply to this rule. 

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 final rule is not subject to the 

Executive Order because it does not 

involve decisions on environmental 

health or safety risks that may 

disproportionately affect children. 

The effects of ozone on children’s 

health were addressed in detail in EPA’s 

rulemaking to establish the NAAQS for 

these pollutants, and EPA is not 

revisiting those issues here. EPA 

believes, however, that the emission 

reductions from the strategies in this 

rulemaking will further reduce air toxic 

emissions and the related adverse 

impacts on children’s health. 

H. Executive Order 12898: Federal 

Actions To Address Environmental 

Justice in Minority Populations and 

Low-Income Populations 

Executive Order (EO) 12898 (59 FR 

7629 (Feb. 16, 1994)) establishes federal 

executive policy on environmental 

justice. Its main provision directs 

federal agencies, to the greatest extent 

practicable and permitted by law, to 

make environmental justice part of their 

mission by identifying and addressing, 

as appropriate, disproportionately high 

and adverse human health or 

environmental effects of their programs, 

policies, and activities on minority 

populations and low-income 

populations in the United States. 

EPA has determined that this final 

rule will not have disproportionately 

high and adverse human health or 

environmental effects on minority or 

low-income populations because it 

increases the level of environmental 

protection for all affected populations 

without having any disproportionately 

high and adverse human health or 

environmental effects on any 

population, including any minority or 

low-income population. This final rule 

will reduce air pollution from mobile 

sources in general and thus decrease the 

amount of such emissions to which all 

affected populations are exposed. 

I. Executive Order 13211: Actions That 

Significantly Affect Energy Supply, 

Distribution, or Use 

This rule is not a ‘‘significant energy 

action’’ as defined in Executive Order 

13211, ‘‘Actions Concerning Regulations 

That Significantly Affect Energy Supply, 

Distribution, or Use’’ (66 FR 28355, May 

22, 2001), because it is not likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy. If 

promulgated, this final rule is expected 

to result in the use of emission control 

technologies that are estimated to 

reduce nationwide fuel consumption by 

around 100 million gallons per year by 

2020. 

J. National Technology Transfer 

Advancement Act 

Section 12(d) of the National 

Technology Transfer and Advancement 

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 will be 

inconsistent with applicable law or 

otherwise impractical. Voluntary 

consensus standards are technical 

standards (e.g., materials specifications, 

test methods, sampling procedures, and 

business practices) that are developed or 

adopted by voluntary consensus 

standards bodies. NTTAA directs EPA 

to provide Congress, through OMB, 

explanations when the Agency decides 

not to use available and applicable 

voluntary consensus standards. 

This final rulemaking involves 

technical standards. EPA will use the 

test procedures specified in 40 CFR part 

1065. While the Agency identified the 

test procedures specified by the 

International Organization for 

Standardization (ISO 8178) as being 

potentially applicable, we are not 

adopting them in this final rulemaking. 

The use of this voluntary consensus 

standard will be impractical because we 

have been working with engine 

manufacturers and other interested 

parties in comprehensive improvements 

to test procedures for measuring engine 

emissions, as reflected by the provisions 

in part 1065. We expect these 

procedures to form the basis for 

internationally harmonized test 

procedures that will be adopted by ISO, 

other testing organizations, and other 

national governments. 

K. 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. A Major rule 

cannot take effect until 60 days after it 

is published in the Federal Register. 

This action is a ‘‘major rule’’ as defined 

by 5 U.S.C. 804(2). This rule will be 

effective December 8, 2008. 

List of Subjects 

40 CFR Part 9 

Reporting and recordkeeping 

requirements. 

40 CFR Part 60 

Administrative practice and 

procedure, Air pollution control, 

Incorporation by reference, 

Intergovernmental relations, Reporting 

and recordkeeping requirements. 

40 CFR Part 80 

Environmental protection, Air 

pollution control, Fuel additives, 

Gasoline, Imports, Incorporation by 

reference, Labeling, Motor vehicle 

pollution, Penalties, Reporting and 

recordkeeping requirements. 

40 CFR Part 85 

Confidential business information, 

Imports, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements, Research, Warranties. 

40 CFR Part 86 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Reporting and 

recordkeeping requirements, Motor 

vehicle. 

40 CFR Part 89 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements, Research, Vessels, 

Warranty. 

mstockstill on PROD1PC66 with RULES2

59174 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

40 CFR Part 90 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Labeling, Reporting and 

recordkeeping requirements, Research, 

Warranty. 

40 CFR Part 91 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 92 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Railroads, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Part 94 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Vessels, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Part 1027 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Imports, 

Reporting and recordkeeping 

requirements. 

40 CFR Parts 10333 and 1039 

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 1042 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Vessels, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Parts 1045, 1048, 1051, 1054, 

and 1060 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 1065 

Environmental protection, 

Administrative practice and procedure, 

Incorporation by reference, Reporting 

and recordkeeping requirements, 

Research. 

40 CFR Part 1068 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Incorporation by reference, 

Motor vehicle pollution, Penalties, 

Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 1074 

Environmental protection, 

Administrative practice and procedure, 

Motor vehicle pollution. 

Dated: September 4, 2008. 

Stephen L. Johnson, 

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 9—OMB APPROVALS UNDER 

THE PAPERWORK REDUCTION ACT 

■ 1. The authority citation for part 9 

continues to read as follows: 

Authority: 7 U.S.C. 135 et seq., 136–136y; 

15 U.S.C. 2001, 2003, 2005, 2006, 2601–2671; 

21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33 

U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318 

1321, 1326, 1330, 1342 1344, 1345 (d) and 

(e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 

1971–1975 Comp. p. 973; 42 U.S.C. 241, 

242b, 243, 246, 300f, 300g, 300g–1, 300g–2, 

300g–3, 300g–4, 300g–5, 300g–6, 300j–1, 

300j–2, 300j–3, 300j–4, 300j–9, 1857 et seq., 

6901–6992k, 7401–7671q, 7542, 9601–9657, 

11023, 11048. 

■ 2. In § 9.1 the table is amended as 

follows: 

■ a. By adding a new center heading and 

entry in numerical order for ‘‘1027.140’’. 

■ b. By adding a new center heading 

and entry in numerical order for 

‘‘1045.825’’. 

■ c. By removing ‘‘1048.20’’, ‘‘1048.201– 

250’’, ‘‘1048.345’’, ‘‘1048.350’’, 

‘‘1048.420’’, and ‘‘1048.425’’ and adding 

a new entry in numerical order under 

that center heading for ‘‘1048.825’’. 

■ d. By removing ‘‘1051.201–255’’, 

‘‘1051.345’’, ‘‘1051.350’’, ‘‘1051.725’’, 

and ‘‘1051.730’’ and adding a new entry 

in numerical order under that center 

heading for ‘‘1051.825’’. 

■ e. By adding a new center heading and 

entry in numerical order for ‘‘1054.825’’. 

■ f. By adding a new center heading and 

entry in numerical order for ‘‘1060.825’’. 

§ 9.1 OMB approvals under the Paperwork 

Reduction Act. 

* * * * * 

40 CFR citation OMB control No. 

* * * * * * * 

Fees for Engine, Vehicle, and Equipment Compliance Programs 

1027.140 ................................................................................................... 2060–0104, 2060–0545

* * * * * * * 

Control of Emissions from Spark-ignition Propulsion Marine Engines 

1045.825 ................................................................................................... 2060–0321 

Control of Emissions from New, Large Nonroad Spark-ignition Engines 

1048.825 ................................................................................................... 2060–0338 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59175 

40 CFR citation OMB control No. 

Control of Emissions from Recreational Engines and Vehicles 

1051.825 ................................................................................................... 2060–0338 

Control of Emissions from New, Small Nonroad Spark-ignition Engines and Equipment 

1054.825 ................................................................................................... 2060–0338 

Control of Evaporative Emissions from New and In-use Nonroad and Stationary Equipment 

1060.825 ................................................................................................... 2060–0321, 2060–0338

******

* * * * * 

PART 60—STANDARDS OF 

PERFORMANCE FOR NEW 

STATIONARY SOURCES 

■ 3. The authority citation for part 60 

continues to read as follows: 

Authority: 42 U.S.C. 7401, et seq. 

Subpart JJJJ—[Amended] 

■ 4. Section 60.4231 is amended as 

follows: 

■ a. By revising the section heading. 

■ b. By revising paragraph (a). 

■ c. By revising paragraph (b). 

■ d. By revising paragraph (c). 

■ e. By revising paragraph (d). 

■ f. By adding paragraph (f). 

§ 60.4231 What emission standards must I 

meet if I am a manufacturer of stationary SI 

internal combustion engines or equipment 

containing such engines? 

(a) Stationary SI internal combustion 

engine manufacturers must certify their 

stationary SI ICE with a maximum 

engine power less than or equal to 19 

KW (25 HP) manufactured on or after 

July 1, 2008 to the certification emission 

standards and other requirements for 

new nonroad SI engines in 40 CFR part 

90 or 1054, as follows: 

If engine replacement is . . . and manufacturing dates are . . . 

the engine must meet emission standards and 

related requirements for nonhandheld engines 

under . . . 

(1) below 225 cc .................................. July 1, 2008 to December 31, 2011 ....................... 40 CFR part 90. 

(2) below 225 cc .................................. January 1, 2012 or later .......................................... 40 CFR part 1054. 

(3) at or above 225 cc ......................... July 1, 2008 to December 31, 2010 ....................... 40 CFR part 90. 

(4) at or above 225 cc ......................... January 1, 2011 or later .......................................... 40 CFR part 1054. 

(b) Stationary SI internal combustion 

engine manufacturers must certify their 

stationary SI ICE with a maximum 

engine power greater than 19 KW (25 

HP) (except emergency stationary ICE 

with a maximum engine power greater 

than 25 HP and less than 130 HP) that 

use gasoline and that are manufactured 

on or after the applicable date in 

§ 60.4230(a)(2), or manufactured on or 

after the applicable date in 

§ 60.4230(a)(4) for emergency stationary 

ICE with a maximum engine power 

greater than or equal to 130 HP, to the 

certification emission standards and 

other requirements for new nonroad SI 

engines in 40 CFR part 1048. Stationary 

SI internal combustion engine 

manufacturers must certify their 

emergency stationary SI ICE with a 

maximum engine power greater than 25 

HP and less than 130 HP that are 

manufactured on or after the applicable 

date in § 60.4230(a)(4) to the Phase 1 

emission standards in 40 CFR 90.103, 

applicable to class II engines, and other 

requirements for new nonroad SI 

engines in 40 CFR part 90. Stationary SI 

internal combustion engine 

manufacturers may certify their 

stationary SI ICE with a maximum 

engine power less than or equal to 30 

KW (40 HP) with a total displacement 

less than or equal to 1,000 cubic 

centimeters (cc) to the certification 

emission standards and other 

requirements for new nonroad SI 

engines in 40 CFR part 90 or 1054, as 

appropriate. 

(c) Stationary SI internal combustion 

engine manufacturers must certify their 

stationary SI ICE with a maximum 

engine power greater than 19 KW (25 

HP) (except emergency stationary ICE 

with a maximum engine power greater 

than 25 HP and less than 130 HP) that 

are rich burn engines that use LPG and 

that are manufactured on or after the 

applicable date in § 60.4230(a)(2), or 

manufactured on or after the applicable 

date in § 60.4230(a)(4) for emergency 

stationary ICE with a maximum engine 

power greater than or equal to 130 HP, 

to the certification emission standards 

and other requirements for new nonroad 

SI engines in 40 CFR part 1048. 

Stationary SI internal combustion 

engine manufacturers must certify their 

emergency stationary SI ICE with a 

maximum engine power greater than 25 

HP and less than 130 HP that are 

manufactured on or after the applicable 

date in § 60.4230(a)(4) to the Phase 1 

emission standards in 40 CFR 90.103, 

applicable to class II engines, and other 

requirements for new nonroad SI 

engines in 40 CFR part 90. Stationary SI 

internal combustion engine 

manufacturers may certify their 

stationary SI ICE with a maximum 

engine power less than or equal to 30 

KW (40 HP) with a total displacement 

less than or equal to 1,000 cc to the 

certification emission standards and 

other requirements for new nonroad SI 

engines in 40 CFR part 90 or 1054, as 

appropriate. 

(d) Stationary SI internal combustion 

engine manufacturers who choose to 

certify their stationary SI ICE with a 

maximum engine power greater than 19 

KW (25 HP) and less than 75 KW (100 

HP) (except gasoline and rich burn 

engines that use LPG and emergency 

mstockstill on PROD1PC66 with RULES2

59176 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

stationary ICE with a maximum engine 

power greater than 25 HP and less than 

130 HP) under the voluntary 

manufacturer certification program 

described in this subpart must certify 

those engines to the certification 

emission standards for new nonroad SI 

engines in 40 CFR part 1048. Stationary 

SI internal combustion engine 

manufacturers who choose to certify 

their emergency stationary SI ICE 

greater than 25 HP and less than 130 

HP, must certify those engines to the 

Phase 1 emission standards in 40 CFR 

90.103, applicable to class II engines, for 

new nonroad SI engines in 40 CFR part 

90. Stationary SI internal combustion 

engine manufacturers may certify their 

stationary SI ICE with a maximum 

engine power less than or equal to 30 

KW (40 HP) with a total displacement 

less than or equal to 1,000 cc to the 

certification emission standards for new 

nonroad SI engines in 40 CFR part 90 

or 1054, as appropriate. For stationary 

SI ICE with a maximum engine power 

greater than 19 KW (25 HP) and less 

than 75 KW (100 HP) (except gasoline 

and rich burn engines that use LPG and 

emergency stationary ICE with a 

maximum engine power greater than 25 

HP and less than 130 HP) manufactured 

prior to January 1, 2011, manufacturers 

may choose to certify these engines to 

the standards in Table 1 to this subpart 

applicable to engines with a maximum 

engine power greater than or equal to 

100 HP and less than 500 HP. 

* * * * * 

(f) Manufacturers of equipment 

containing stationary SI internal 

combustion engines meeting the 

provisions of 40 CFR part 1054 must 

meet the provisions of 40 CFR part 

1060, to the extent they apply to 

equipment manufacturers. 

■ 5. Section 60.4238 is revised to read 

as follows: 

§ 60.4238 What are my compliance 

requirements if I am a manufacturer of 

stationary SI internal combustion engines 

≤19 KW (25 HP) or a manufacturer of 

equipment containing such engines? 

Stationary SI internal combustion 

engine manufacturers who are subject to 

the emission standards specified in 

§ 60.4231(a) must certify their stationary 

SI ICE using the certification procedures 

required in 40 CFR part 90, subpart B, 

or 40 CFR part 1054, subpart C, as 

applicable, and must test their engines 

as specified in those parts. 

Manufacturers of equipment containing 

stationary SI internal combustion 

engines meeting the provisions of 40 

CFR part 1054 must meet the provisions 

of 40 CFR part 1060, subpart C, to the 

extent they apply to equipment 

manufacturers. 

■ 6. Section 60.4239 is revised to read 

as follows: 

§ 60.4239 What are my compliance 

requirements if I am a manufacturer of 

stationary SI internal combustion engines 

>19 KW (25 HP) that use gasoline or a 

manufacturer of equipment containing such 

engines? 

Stationary SI internal combustion 

engine manufacturers who are subject to 

the emission standards specified in 

§ 60.4231(b) must certify their stationary 

SI ICE using the certification procedures 

required in 40 CFR part 1048, subpart C, 

and must test their engines as specified 

in that part. Stationary SI internal 

combustion engine manufacturers who 

certify their stationary SI ICE with a 

maximum engine power less than or 

equal to 30 KW (40 HP) with a total 

displacement less than or equal to 1,000 

cc to the certification emission 

standards and other requirements for 

new nonroad SI engines in 40 CFR part 

90 or 40 CFR part 1054, and 

manufacturers of stationary SI 

emergency engines that are greater than 

25 HP and less than 130 HP who meet 

the Phase 1 emission standards in 40 

CFR 90.103, applicable to class II 

engines, must certify their stationary SI 

ICE using the certification procedures 

required in 40 CFR part 90, subpart B, 

or 40 CFR part 1054, subpart C, as 

applicable, and must test their engines 

as specified in those parts. 

Manufacturers of equipment containing 

stationary SI internal combustion 

engines meeting the provisions of 40 

CFR part 1054 must meet the provisions 

of 40 CFR part 1060, subpart C, to the 

extent they apply to equipment 

manufacturers. 

■ 7. Section 60.4240 is revised to read 

as follows: 

§ 60.4240 What are my compliance 

requirements if I am a manufacturer of 

stationary SI internal combustion engines 

>19 KW (25 HP) that are rich burn engines 

that use LPG or a manufacturer of 

equipment containing such engines? 

Stationary SI internal combustion 

engine manufacturers who are subject to 

the emission standards specified in 

§ 60.4231(c) must certify their stationary 

SI ICE using the certification procedures 

required in 40 CFR part 1048, subpart C, 

and must test their engines as specified 

in that part. Stationary SI internal 

combustion engine manufacturers who 

certify their stationary SI ICE with a 

maximum engine power less than or 

equal to 30 KW (40 HP) with a total 

displacement less than or equal to 1,000 

cc to the certification emission 

standards and other requirements for 

new nonroad SI engines in 40 CFR part 

90 or 40 CFR part 1054, and 

manufacturers of stationary SI 

emergency engines that are greater than 

25 HP and less than 130 HP who meet 

the Phase 1 emission standards in 40 

CFR 90.103, applicable to class II 

engines, must certify their stationary SI 

ICE using the certification procedures 

required in 40 CFR part 90, subpart B, 

or 40 CFR part 1054, subpart C, as 

applicable, and must test their engines 

as specified in those parts. 

Manufacturers of equipment containing 

stationary SI internal combustion 

engines meeting the provisions of 40 

CFR part 1054 must meet the provisions 

of 40 CFR part 1060, subpart C, to the 

extent they apply to equipment 

manufacturers. 

■ 8. Section 60.4241 is amended by 

revising the section heading, paragraph 

(b) and adding paragraph (i) to read as 

follows: 

§ 60.4241 What are my compliance 

requirements if I am a manufacturer of 

stationary SI internal combustion engines 

participating in the voluntary certification 

program or a manufacturer of equipment 

containing such engines? 

* * * * * 

(b) Manufacturers of engines other 

than those certified to standards in 40 

CFR part 90 or 40 CFR part 1054 must 

certify their stationary SI ICE using the 

certification procedures required in 40 

CFR part 1048, subpart C, and must 

follow the same test procedures that 

apply to large SI nonroad engines under 

40 CFR part 1048, but must use the D– 

1 cycle of International Organization of 

Standardization 8178–4: 1996(E) 

(incorporated by reference, see 40 CFR 

60.17) or the test cycle requirements 

specified in Table 5 to 40 CFR 1048.505, 

except that Table 5 of 40 CFR 1048.505 

applies to high load engines only. 

Stationary SI internal combustion 

engine manufacturers who certify their 

stationary SI ICE with a maximum 

engine power less than or equal to 30 

KW (40 HP) with a total displacement 

less than or equal to 1,000 cc to the 

certification emission standards and 

other requirements for new nonroad SI 

engines in 40 CFR part 90 or 40 CFR 

part 1054, and manufacturers of 

emergency engines that are greater than 

25 HP and less than 130 HP who meet 

the Phase 1 standards in 40 CFR 90.103, 

applicable to class II engines, must 

certify their stationary SI ICE using the 

certification procedures required in 40 

CFR part 90, subpart B, or 40 CFR part 

1054, subpart C, as applicable, and must 

test their engines as specified in those 

parts. Manufacturers of equipment 

containing stationary SI internal 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59177 

combustion engines meeting the 

provisions of 40 CFR part 1054 must 

meet the provisions of 40 CFR part 

1060, subpart C, to the extent they apply 

to equipment manufacturers. 

* * * * * 

(i) For engines being certified to the 

voluntary certification standards in 

Table 1 of this subpart, the VOC 

measurement shall be made by 

following the procedures in 40 CFR 

1065.260 and 1065.265 in order to 

determine the total NMHC emissions by 

using a flame-ionization detector and 

non-methane cutter. As an alternative to 

the nonmethane cutter, manufacturers 

may use a gas chromatograph as allowed 

under 40 CFR 1065.267 and may 

measure ethane, as well as methane, for 

excluding such levels from the total 

VOC measurement. 

■ 9. Section 60.4242 is amended by 

revising the section heading, paragraphs 

(a) and (b) and adding paragraph (f) to 

read as follows: 

§ 60.4242 What other requirements must I 

meet if I am a manufacturer of stationary SI 

internal combustion engines or equipment 

containing stationary SI internal 

combustion engines or a manufacturer of 

equipment containing such engines? 

(a) Stationary SI internal combustion 

engine manufacturers must meet the 

provisions of 40 CFR part 90, 40 CFR 

part 1048, or 40 CFR part 1054, as 

applicable, as well as 40 CFR part 1068 

for engines that are certified to the 

emission standards in 40 CFR part 1048 

or 1054, except that engines certified 

pursuant to the voluntary certification 

procedures in § 60.4241 are subject only 

to the provisions indicated in § 60.4247 

and are permitted to provide 

instructions to owners and operators 

allowing for deviations from certified 

configurations, if such deviations are 

consistent with the provisions of 

paragraphs § 60.4241(c) through (f). 

Manufacturers of equipment containing 

stationary SI internal combustion 

engines meeting the provisions of 40 

CFR part 1054 must meet the provisions 

of 40 CFR part 1060, as applicable. 

Labels on engines certified to 40 CFR 

part 1048 must refer to stationary 

engines, rather than or in addition to 

nonroad engines, as appropriate. 

(b) An engine manufacturer certifying 

an engine family or families to 

standards under this subpart that are 

identical to standards applicable under 

40 CFR part 90, 40 CFR part 1048, or 40 

CFR part 1054 for that model year may 

certify any such family that contains 

both nonroad and stationary engines as 

a single engine family and/or may 

include any such family containing 

stationary engines in the averaging, 

banking and trading provisions 

applicable for such engines under those 

parts. This provision also applies to 

equipment or component manufacturers 

certifying to standards under 40 CFR 

part 1060. 

* * * * * 

(f) For manufacturers of gaseousfueled stationary engines required to 

meet the warranty provisions in 40 CFR 

90.1103 or 1054.120, we may establish 

an hour-based warranty period equal to 

at least the certified emissions life of the 

engines (in engine operating hours) if 

we determine that these engines are 

likely to operate for a number of hours 

greater than the applicable useful life 

within 24 months. We will not approve 

an alternate warranty under this 

paragraph (f) for nonroad engines. An 

alternate warranty period approved 

under this paragraph (f) will be the 

specified number of engine operating 

hours or two years, whichever comes 

first. The engine manufacturer shall 

request this alternate warranty period in 

its application for certification or in an 

earlier submission. We may approve an 

alternate warranty period for an engine 

family subject to the following 

conditions: 

(1) The engines must be equipped 

with non-resettable hour meters. 

(2) The engines must be designed to 

operate for a number of hours 

substantially greater than the applicable 

certified emissions life. 

(3) The emission-related warranty for 

the engines may not be shorter than any 

published warranty offered by the 

manufacturer without charge for the 

engines. Similarly, the emission-related 

warranty for any component shall not be 

shorter than any published warranty 

offered by the manufacturer without 

charge for that component. 

■ 10. Section 60.4245 is amended by 

revising paragraph (a)(3) to read as 

follows: 

§ 60.4245 What are my notification, 

reporting, and recordkeeping requirements 

if I am an owner or operator of a stationary 

SI internal combustion engine? 

* * * * * 

(a) * * * 

(3) If the stationary SI internal 

combustion engine is a certified engine, 

documentation from the manufacturer 

that the engine is certified to meet the 

emission standards and information as 

required in 40 CFR parts 90, 1048, 1054, 

and 1060, as applicable. 

* * * * * 

■ 11. Section 60.4247 is amended by 

revising the section heading, paragraphs 

(a) and (b) to read as follows: 

§ 60.4247 What parts of the mobile source 

provisions apply to me if I am a 

manufacturer of stationary SI internal 

combustion engines or a manufacturer of 

equipment containing such engines? 

(a) Manufacturers certifying to 

emission standards in 40 CFR part 90, 

including manufacturers certifying 

emergency engines below 130 HP, must 

meet the provisions of 40 CFR part 90. 

Manufacturers certifying to emission 

standards in 40 CFR part 1054 must 

meet the provisions of 40 CFR part 

1054. Manufacturers of equipment 

containing stationary SI internal 

combustion engines meeting the 

provisions of 40 CFR part 1054 must 

meet the provisions of 40 CFR part 1060 

to the extent they apply to equipment 

manufacturers. 

(b) Manufacturers required to certify 

to emission standards in 40 CFR part 

1048 must meet the provisions of 40 

CFR part 1048. Manufacturers certifying 

to emission standards in 40 CFR part 

1048 pursuant to the voluntary 

certification program must meet the 

requirements in Table 4 to this subpart 

as well as the standards in 40 CFR 

1048.101. 

* * * * * 

■ 12. Section 60.4248 is amended by 

revising the definitions for ‘‘Certified 

emissions life’’ and ‘‘Certified stationary 

internal combustion engine’’ to read as 

follows: 

§ 60.4248 What definitions apply to this 

subpart? 

* * * * * 

Certified emissions life means the 

period during which the engine is 

designed to properly function in terms 

of reliability and fuel consumption, 

without being remanufactured, specified 

as a number of hours of operation or 

calendar years, whichever comes first. 

The values for certified emissions life 

for stationary SI ICE with a maximum 

engine power less than or equal to 19 

KW (25 HP) are given in 40 CFR 90.105, 

40 CFR 1054.107, and 40 CFR 1060.101, 

as appropriate. The values for certified 

emissions life for stationary SI ICE with 

a maximum engine power greater than 

19 KW (25 HP) certified to 40 CFR part 

1048 are given in 40 CFR 1048.101(g). 

The certified emissions life for 

stationary SI ICE with a maximum 

engine power greater than 75 KW (100 

HP) certified under the voluntary 

manufacturer certification program of 

this subpart is 5,000 hours or 7 years, 

whichever comes first. 

Certified stationary internal 

combustion engine means an engine that 

belongs to an engine family that has a 

certificate of conformity that complies 

with the emission standards and 

mstockstill on PROD1PC66 with RULES2

59178 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

requirements in this part, or of 40 CFR 

part 90, 40 CFR part 1048, or 40 CFR 

part 1054, as appropriate. 

* * * * * 

PART 80—REGULATION OF FUELS 

AND FUEL ADDITIVES 

■ 13. The authority citation for part 80 

continues to read as follows: 

Authority: 42 U.S.C. 7414, 7521(1), 7545 

and 7601(a). 

Subpart B—[Amended] 

■ 14. Section 80.22 is amended by 

revising paragraph (f) and adding 

paragraph (g) to read as follows: 

§ 80.22 Controls and prohibitions. 

* * * * * 

(f) Every retailer and wholesale 

purchaser-consumer shall equip all 

gasoline pumps from which gasoline is 

dispensed into motor vehicles with a 

nozzle spout that meets all the following 

specifications: 

(1) The outside diameter of the 

terminal end shall not be greater than 

0.840 inches (2.134 centimeters). 

(2) The terminal end shall have a 

straight section of at least 2.5 inches 

(6.34 centimeters). 

(3) The retaining spring shall 

terminate at least 3.0 inches (7.6 

centimeters) from the terminal end. 

(g) The specifications in this 

paragraph (g) apply for any new nozzle 

installations used primarily for 

dispensing gasoline into marine vessels 

beginning January 1, 2009. (Note that 

nozzles meeting the specifications of 

this paragraph (g) also meet the 

specifications of paragraph (f) of this 

section. Note also that the additional 

specifications in this paragraph (g) do 

not apply for nozzles used primarily for 

dispensing gasoline into motor vehicles 

rather than marine vessels.) Every 

retailer and wholesale purchaserconsumer shall use nozzles meeting 

these specifications for any new 

construction or for nozzle replacements. 

This does not require replacement of 

existing nozzles for refueling marine 

vessels before they would be replaced 

for other reasons. The following 

specifications apply to spouts on new or 

replacement nozzles intended for 

dispensing gasoline into marine vessels: 

(1) The outside diameter of the 

terminal end shall have a diameter of 

0.824 ± 0.017 inches (2.093 ± 0.043 

centimeters). 

(2) The spout shall include an 

aspirator hole for automatic shutoff 

positioned with a center that is 0.67 ± 

0.05 inches (1.70 ± 0.13 centimeters) 

from the terminal end of the spout. 

(3) The terminal end shall have a 

straight section of at least 2.5 inches 

(6.34 centimeters) with no holes or 

grooves other than the aspirator hole. 

(4) The retaining spring (if applicable) 

shall terminate at least 3.0 inches (7.6 

centimeters) from the terminal end. 

* * * * * 

PART 85—CONTROL OF AIR 

POLLUTION FROM MOBILE SOURCES 

■ 15. The authority citation for part 85 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart Q—[Removed and reserved] 

■ 16. Remove and reserve Subpart Q, 

consisting of §§ 85.1601 through 

85.1606. 

Subpart R—[Amended] 

§ 85.1703 [Amended] 

■ 17. Section 85.1703 is amended by 

removing and reserving paragraph (b). 

■ 18. Section 85.1713 is revised to read 

as follows: 

§ 85.1713 Delegated-assembly exemption. 

The provisions of 40 CFR 1068.261 

related to shipping engines that are not 

yet in their certified configuration apply 

for manufacturers of heavy-duty 

highway engines starting in the 2010 

model year, with the following 

exceptions and clarifications: 

(a) The relevant prohibitions are in 

Clean Air Act section 203 (42 U.S.C. 

7522), rather than 40 CFR 1068.101. 

(b) References to equipment should be 

understood as references to vehicles. 

(c) The provisions related to reduced 

auditing rates in 40 CFR 

1068.261(d)(3)(iii) apply starting with 

the 2014 model year. 

(d) The provisions related to 

supplemental labeling described in 40 

CFR 1068.261(c)(7)(i) and (ii) apply 

starting with the 2010 model year. 

(e) The engine’s model year does not 

change based on the date the vehicle 

manufacturer adds the aftertreatment 

device. 

■ 19. A new § 85.1714 is added to 

subpart R to read as follows: 

§ 85.1714 Replacement-engine exemption. 

(a) Engine manufacturers may use the 

provisions of 40 CFR 1068.240 to 

exempt new replacement heavy-duty 

highway engines as specified in this 

section. 

(b) The following provisions from 40 

CFR part 1068 apply for all complete 

and partially complete engines 

produced by an engine manufacturer 

choosing to produce any exempt 

replacement engines under this section: 

(1) The definition of engine in 40 CFR 

1068.30. 

(2) The provisions of 40 CFR 1068.260 

and 1068.262. 

(c) Notify us in writing that you 

intend to use the provisions of this 

section prior to producing such engines. 

An authorized representative of your 

company must approve and sign the 

notification. Your notification is 

considered to be your agreement to 

comply with all the requirements of this 

section. 

(d) Engine manufacturers choosing to 

use the provisions of this section may 

opt out by sending us written notice that 

they will no longer introduce into U.S. 

commerce engines exempted under this 

section. 

■ 20. Subpart Y is revised to read as 

follows: 

Subpart Y—Fees for the Motor Vehicle 

and Engine Compliance Program 

§ 85.2401 Assessment of fees. 

See 40 CFR part 1027 for the 

applicable fees associated with 

certifying engines, vehicles, and 

equipment under this chapter. 

PART 86—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE HIGHWAY 

VEHICLES AND ENGINES 

■ 21. The authority citation for part 86 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart N—[Amended] 

■ 22. Section 86.1305–2010 is amended 

by adding paragraph (h) to read as 

follows: 

§ 86.1305–2010 Introduction; structure of 

subpart. 

* * * * * 

(h) This paragraph (h) describes how 

testing performed prior to July 1, 2010 

may be conducted using the test 

procedures of this subpart N rather than 

the corresponding provisions of 40 CFR 

part 1065 otherwise required by this 

section. You must use good engineering 

judgment when testing under this 

paragraph (h), and must comply with 

the following provisions of 40 CFR part 

1065: 

(1) Generate a map of your engine 

according to 40 CFR 1065.510(b)(5)(ii) 

and generate test cycles according to 40 

CFR 1065.610. Validate your cycle 

according to 40 CFR 1065.514. 

(2) Follow the provisions of 40 CFR 

1065.342 to verify the performance of 

any sample dryers in your system. 

Correct your measurements according to 

40 CFR 1065.659, except use the value 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59179 

of Kw in § 1342–90(i) as the value of (1 

¥ xH2Oexh) in Equation 1065.659–1. 

(3) Verify your NO2-to-NO converter 

according to 40 CFR 1065.378. 

(4) For diesel engine testing, correct 

NOX emissions for intake-air humidity 

according to 40 CFR 1065.670. 

(5) You must comply with the 

provisions related to analyzer range and 

drift in 40 CFR 1065.550. If drift 

correction is required, correct your 

measurements according to 40 CFR 

1065.672, but use the emission 

calculations specified in this subpart N 

rather than those specified in 40 CFR 

1065.650. 

(6) You must comply with 40 CFR 

1065.125, 1065.127, and 1065.130, 

except for references to 40 CFR 

1065.530(a)(1)(i), 1065.640, and 

1065.655. 

(7) Follow the provisions of 40 CFR 

1065.370 to verify the performance of 

your CLD analyzer with respect to CO2

and H2O quench. You are not required 

to follow 40 CFR 1065.145(d)(2), 

1065.248, or 1065.750, which are 

referenced in 40 CFR 1065.370. 

PART 89—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES 

■ 23. The authority citation for part 89 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart G—[Amended] 

§ 89.614 [Removed] 

■ 24. Section 89.614 is removed. 

Subpart K—[Amended] 

■ 25. Section 89.1003 is amended by 

revising paragraphs (b)(7)(iii), (b)(7)(iv), 

and (b)(7)(v) to read as follows: 

§ 89.1003 Prohibited acts. 

* * * * * 

(b) * * * 

(7) * * * 

(iii) If the engine being replaced was 

not subject to any emission standards 

under this part, the replacement engine 

must have a permanent label with your 

corporate name and trademark and the 

following language, or similar alternate 

language approved by the 

Administrator: THIS ENGINE DOES 

NOT COMPLY WITH FEDERAL 

NONROAD OR ON-HIGHWAY 

EMISSION REQUIREMENTS. SALE OR 

INSTALLATION OF THIS ENGINE FOR 

ANY PURPOSE OTHER THAN AS A 

REPLACEMENT ENGINE FOR AN 

ENGINE MANUFACTURED PRIOR TO 

JANUARY 1 [INSERT APPROPRIATE 

YEAR] IS A VIOLATION OF FEDERAL 

LAW SUBJECT TO CIVIL PENALTY. 

(iv) If the engine being replaced was 

subject to emission standards less 

stringent than those in effect when you 

produce the replacement engine, the 

replacement engine must have a 

permanent label with your corporate 

name and trademark and the following 

language, or similar alternate language 

approved by the Administrator: 

THIS ENGINE COMPLIES WITH U.S. 

EPA NONROAD EMISSION 

REQUIREMENTS FOR [Identify the 

appropriate emission standards (by 

model year, tier, or emission levels) for 

the replaced engine] ENGINES UNDER 

40 CFR 89.1003(b)(7). SELLING OR 

INSTALLING THIS ENGINE FOR ANY 

PURPOSE OTHER THAN TO REPLACE 

A [Identify the appropriate emission 

standards (by model year, tier, or 

emission levels) for the replaced engine] 

ENGINE MAY BE A VIOLATION OF 

FEDERAL LAW SUBJECT TO CIVIL 

PENALTY. 

(v) If the old engine was subject to 

emission standards less stringent than 

those in effect when you produce the 

replacement engine, you must make the 

replacement engine in a configuration 

identical in all material respects to the 

old engine. You may alternatively make 

the replacement engine in a 

configuration identical in all material 

respects to another certified engine of 

the same or later model year, as long as 

the engine is not certified with a family 

emission limit higher than that of the 

engine being replaced. 

* * * * * 

PART 90—CONTROL OF EMISSIONS 

FROM NONROAD SPARK-IGNITION 

ENGINES AT OR BELOW 19 

KILOWATTS 

■ 26. The authority citation for part 90 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 27. Section 90.1 is amended by 

revising paragraphs (d)(1) and (d)(5) and 

adding paragraph (d)(8) to read as 

follows: 

§ 90.1 Applicability. 

* * * * * 

(d) * * * 

(1) Engines that are certified to meet 

the requirements of 40 CFR part 1051 or 

are otherwise subject to 40 CFR part 

1051 (for example, engines used in 

snowmobiles and all-terrain vehicles). 

This part nevertheless applies to 

engines used in recreational vehicles if 

the manufacturer uses the provisions of 

40 CFR 1051.145(a)(3) to exempt them 

from the requirements of 40 CFR part 

1051. Compliance with the provisions of 

this part is a required condition of that 

exemption. 

* * * * * 

(5) Engines certified to meet the 

requirements of 40 CFR part 1048 or are 

otherwise subject to 40 CFR part 1048, 

subject to the provisions of § 90.913. 

* * * * * 

(8) Engines that are subject to 

emission standards under 40 CFR part 

1054. See 40 CFR 1054.1 to determine 

when part 1054 applies. Note that 

certain requirements and prohibitions 

apply to engines built on or after 

January 1, 2010 if they are installed in 

equipment that will be used solely for 

competition, as described in 40 CFR 

1054.1 and 40 CFR 1068.1; those 

provisions apply instead of the 

provisions of this part 90. 

* * * * * 

■ 28. Section 90.2 is amended by adding 

paragraphs (d) and (e) to read as follows: 

§ 90.2 Effective dates. 

* * * * * 

(d) Engines used in emergency and 

rescue equipment as described in 

§ 90.1(d)(7) are subject to the provisions 

of this part through December 31, 2009. 

Starting January 1, 2010 the provisions 

in 40 CFR 1054.660 apply instead of 

those in § 90.1(d)(7). 

(e) Engines imported for personal use 

are subject to the provisions of § 90.611 

through December 31, 2009. Starting 

January 1, 2010 the provisions in 40 

CFR 1054.630 apply instead of those in 

§ 90.611. 

■ 29. Section 90.3 is amended by adding 

a definition for ‘‘Fuel line’’ in 

alphabetical order to read as follows: 

§ 90.3 Definitions. 

* * * * * 

Fuel line has the meaning given in 40 

CFR 1054.801. 

* * * * * 

Subpart B—[Amended] 

■ 30. Section 90.101 is revised to read 

as follows: 

§ 90.101 Applicability. 

(a) The requirements of this subpart B 

are applicable to all nonroad engines 

and vehicles subject to the provisions of 

subpart A of this part. 

(b) In a given model year, you may ask 

us to approve the use of procedures for 

certification, labeling, reporting and 

recordkeeping, or other administrative 

requirements specified in 40 CFR part 

1054 or 1068 instead of the comparable 

procedures specified in this part 90. We 

may approve the request as long as it 

does not prevent us from ensuring that 

mstockstill on PROD1PC66 with RULES2

59180 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

you fully comply with the intent of this 

part. 

■ 31. Section 90.107 is amended as 

follows: 

■ a. By revising paragraph (d)(11)(ii). 

■ b. By revising paragraph (d)(12). 

■ c. By adding paragraphs (d)(13) and 

(d)(14) to read as follows: 

§ 90.107 Application for certification. 

* * * * * 

(d) * * * 

(11) * * * 

(ii) Provide the applicable useful life 

as determined under § 90.105; 

(12) A statement indicating whether 

you expect the engine family to contain 

only nonroad engines, only stationary 

engines, or both; 

(13) Identification of an agent for 

service located in the United States. 

Service on this agent constitutes service 

on you or any of your officers or 

employees for any action by EPA or 

otherwise by the United States related to 

the requirements of this part; and 

(14) For imported engines, 

identification of the following starting 

with the 2010 model year: 

(i) The port(s) at which the 

manufacturer has imported engines over 

the previous 12 months. 

(ii) The names and addresses of the 

agents authorized to import the engines. 

(iii) The location of test facilities in 

the United States where the 

manufacturer can test engines if EPA 

selects them for testing under a selective 

enforcement audit, as specified in 

subpart F of this part. 

* * * * * 

■ 32. Section 90.114 is amended by 

revising paragraph (g) to read as follows: 

§ 90.114 Requirement of certification— 

engine information label. 

* * * * * 

(g) Manufacturers may add 

appropriate features to prevent 

counterfeit labels. For example, 

manufacturers may include the engine’s 

unique identification number on the 

label. 

■ 33. Section 90.116 is amended by 

revising paragraph (d)(5) and removing 

and reserving paragraph (e)(1) to read as 

follows: 

§ 90.116 Certification procedure— 

determining engine displacement, engine 

class, and engine families. 

* * * * * 

(d) * * * 

(5) The engine class. Engines of 

different displacements that are within 

15 percent of the largest displacement 

may be included within the same engine 

family as long as all the engines are in 

the same class; 

* * * * * 

(e) * * * 

(1) [Reserved] 

* * * * * 

■ 34. Section 90.120 is amended by 

adding paragraph (b)(3) to read as 

follows: 

§ 90.120 Certification procedure—use of 

special test procedures. 

* * * * * 

(b) * * * 

(3) A manufacturer may elect to use 

the test procedures in 40 CFR part 1065 

as an alternate test procedure without 

getting advance approval by the 

Administrator or meeting the other 

conditions of paragraph (b)(1) of this 

section. The manufacturer must identify 

in its application for certification that 

the engines were tested using the 

procedures in 40 CFR part 1065. For any 

EPA testing with Phase 1 or Phase 2 

engines, EPA will use the 

manufacturer’s selected procedures for 

mapping engines, generating duty 

cycles, and applying cycle-validation 

criteria. For any other parameters, EPA 

may conduct testing using either of the 

specified procedures. 

* * * * * 

■ 35. A new § 90.127 is added to subpart 

B to read as follows: 

§ 90.127 Fuel line permeation from 

nonhandheld engines and equipment. 

The following permeation standards 

apply to new nonhandheld engines and 

equipment with respect to fuel lines: 

(a) Emission standards and related 

requirements. New nonhandheld 

engines and equipment with a date of 

manufacture of January 1, 2009 or later 

that run on a volatile liquid fuel (such 

as gasoline) must meet the emission 

standards specified in paragraph (a)(1) 

or (a)(2) of this section as follows: 

(1) New nonhandheld engines and 

equipment must use only fuel lines that 

meet a permeation emission standard of 

15 g/m2/day when measured according 

to the test procedure described in 40 

CFR 1060.515. 

(2) Alternatively, new nonhandheld 

engines and equipment must use only 

fuel lines that meet standards that apply 

for these engines and equipment in 

California for the same model year (see 

40 CFR 1060.810). This may involve 

SHED-based measurements for 

equipment or testing with fuel lines 

alone. If this involves SHED-based 

measurements, all elements of the 

emission control system must remain in 

place for fully assembled engines and 

equipment. 

(3) The emission standards in this 

section apply with respect to discrete 

fuel line segments of any length. 

Compliance may also be demonstrated 

using aggregated systems that include 

multiple sections of fuel line with 

connectors, and fittings. The standard 

applies with respect to the total 

permeation emissions divided by the 

wetted internal surface area of the 

assembly. Where it is not practical to 

determine the wetted internal surface 

area of the assembly, the internal 

surface area per unit length of the 

assembly may be assumed to be equal to 

the ratio of internal surface area per unit 

length of the hose section of the 

assembly. 

(4) The emission standards in this 

section apply over a useful life of five 

years. 

(5) Starting with the 2010 model year, 

fuel lines must be labeled in a 

permanent and legible manner with one 

of the following approaches: 

(i) By meeting the labeling 

requirements that apply for these 

engines and equipment in California. 

(ii) By identifying the certificate 

holder’s corporate name or trademark, 

or the fuel line manufacturer’s corporate 

name or trademark, and the fuel line’s 

permeation level. For example, the fuel 

line may identify the emission standard 

from this section, the applicable SAE 

classification, or the family number 

identifying compliance with California 

standards. A continuous stripe or other 

pattern may be added to help identify 

the particular type or grade of fuel line. 

(6) The requirements of this section 

do not apply to auxiliary marine 

engines. 

(b) Certification requirements. Fuel 

lines subject to the requirements in this 

section must be covered by a certificate 

of conformity. Fuel line manufacturers 

or equipment manufacturers may apply 

for certification. Certification under this 

section must be based on emission data 

using the appropriate procedures that 

demonstrate compliance with the 

standard, including any of the 

following: 

(1) Emission data demonstrating 

compliance with fuel line permeation 

requirements for model year 2008 

equipment sold in California. You may 

satisfy this requirement by presenting 

an approved Executive Order from the 

California Air Resources Board showing 

that the fuel lines meet the applicable 

standards in California. This may 

include an Executive Order from the 

previous model year if a new 

certification is pending. 

(2) Emission data demonstrating a 

level of permeation control that meets 

any of the following industry standards: 

(i) R11A specifications in SAE J30 as 

described in 40 CFR 1060.810. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59181 

(ii) R12 specifications in SAE J30 as 

described in 40 CFR 1060.810. 

(iii) Category 1 specifications in SAE 

J2260 as described in 40 CFR 1060.810. 

(iv) Emission data demonstrating 

compliance with the fuel line 

permeation standards in 40 CFR 

1051.110. 

(c) Prohibitions. (1) Except as 

specified in paragraph (c)(2) of this 

section, introducing engines or 

equipment into U.S. commerce without 

meeting all the requirements of this 

section violates § 90.1003(a)(1). 

(2) It is not a violation to introduce 

your engines into U.S. commerce if 

equipment manufacturers add fuel lines 

when installing your engines in their 

equipment. However, you must give 

equipment manufacturers any 

appropriate instructions so that fully 

assembled equipment will meet all the 

requirements in this section, as 

described in § 90.128. 

■ 36. A new § 90.128 is added to subpart 

B to read as follows: 

§ 90.128 Installation instructions. 

(a) If you sell an engine for someone 

else to install in a piece of nonroad 

equipment, give the engine installer 

instructions for installing it consistent 

with the requirements of this part. 

Include all information necessary to 

ensure that an engine will be installed 

in its certified configuration. In 

particular, describe the steps needed to 

control evaporative emissions, as 

described in § 90.127. This may include 

information related to the delayed 

requirements for small-volume 

equipment manufacturers. 

(b) You do not need installation 

instructions for engines you install in 

your own equipment. 

(c) Provide instructions in writing or 

in an equivalent format. For example, 

you may post instructions on a publicly 

available Web site for downloading or 

printing. If you do not provide the 

instructions in writing, explain in your 

application for certification how you 

will ensure that each installer is 

informed of the installation 

requirements. 

(d) Equipment manufacturers failing 

to follow the engine manufacturer’s 

emission-related installation 

instructions will be considered in 

violation of § 90.1003. 

■ 37. A new § 90.129 is added to subpart 

B to read as follows: 

§ 90.129 Fuel tank permeation from 

handheld engines and equipment. 

The permeation standards of this 

section apply to certain new handheld 

engines and equipment with respect to 

fuel tanks. For the purposes of this 

section, fuel tanks do not include fuel 

caps. 

(a) Emission standards and related 

requirements. (1) New handheld engines 

and equipment with a date of 

manufacture of January 1, 2009 or later 

that run on a volatile liquid fuel (such 

as gasoline) and have been certified to 

meet applicable fuel tank permeation 

standards in California must meet one of 

the following emission standards: 

(i) Engines and equipment must use 

only fuel tanks that meet a permeation 

emission standard of 2.0 g/m2/day 

when measured according to the 

applicable test procedure specified by 

the California Air Resources Board. 

(ii) Engines and equipment must use 

only fuel tanks that meet the fuel tank 

permeation standards in 40 CFR 

1060.103. 

(iii) Engines and equipment must use 

only fuel tanks that meet standards that 

apply for these engines in California for 

the same model year. This may involve 

SHED-based measurements for 

equipment or testing with fuel tanks 

alone. If this involves SHED-based 

measurements, all elements of the 

emission-control system must remain in 

place for fully assembled engines and 

equipment. 

(2) Engine and equipment 

manufacturers may generate or use 

emission credits to show compliance 

with the requirements of this section 

under the averaging program as 

described in 40 CFR part 1054, subpart 

H. 

(3) The emission standards in this 

section apply over a useful life of two 

years. 

(4) Equipment must be labeled in a 

permanent and legible manner with one 

of the following approaches: 

(i) By meeting the labeling 

requirements that apply for equipment 

in California. 

(ii) By identifying the certificate 

holder’s corporate name or trademark, 

or the fuel tank manufacturer’s 

corporate name or trademark. Also 

include the family number identifying 

compliance with California standards or 

state: ‘‘THIS FUEL TANK COMPLIES 

WITH U.S. EPA STANDARDS.’’ This 

label may be applied to the fuel tank or 

it may be combined with the emission 

control information label required in 

§ 90.114. If the label information is not 

on the fuel tank, the label must include 

a part identification number that is also 

permanently applied to the fuel tank. 

(5) The requirements of this section 

do not apply to engines or equipment 

with structurally integrated nylon fuel 

tanks (as defined in 40 CFR 1054.801). 

(b) Certification requirements. Fuel 

tanks subject to the requirements in this 

section must be covered by a certificate 

of conformity. Fuel tank manufacturers 

or equipment manufacturers may apply 

for certification. Certification under this 

section must be based on emission data 

using the appropriate procedures that 

demonstrate compliance with the 

standard. You may satisfy this 

requirement by presenting an approved 

Executive Order from the California Air 

Resources Board showing that the fuel 

tanks meet the applicable standards in 

California. This may include an 

Executive Order from the previous 

model year for cases where new 

certification based on carryover of 

emission data from the previous model 

year is pending. 

(c) Prohibitions. Introducing 

equipment into U.S. commerce without 

meeting all the requirements of this 

section violates § 90.1003(a)(1). 

Subpart C—[Amended] 

■ 38. Section 90.201 is revised to read 

as follows: 

§ 90.201 Applicability. 

(a) The requirements of this subpart C 

are applicable to all Phase 2 sparkignition engines subject to the 

provisions of subpart A of this part 

except as provided in § 90.103(a). These 

provisions are not applicable to any 

Phase 1 engines. Participation in the 

averaging, banking and trading program 

is voluntary, but if a manufacturer elects 

to participate, it must do so in 

compliance with the regulations set 

forth in this subpart. The provisions of 

this subpart are applicable for HC+NOX

(NMHC+NOX) emissions but not for CO 

emissions. 

(b) See 40 CFR 1054.740 for special 

provisions for using emission credits 

generated under this part 90 from Phase 

2 engines to demonstrate compliance 

with engines certified under 40 CFR 

part 1054. 

(c) To the extent specified in 40 CFR 

part 60, subpart JJJJ, stationary engines 

certified under this part and subject to 

the standards of 40 CFR part 60, subpart 

JJJJ, may participate in the averaging, 

banking and trading program described 

in this subpart. 

■ 39. Section 90.210 is amended by 

adding paragraph (i) to read as follows: 

§ 90.210 End-of-year and final reports. 

* * * * * 

(i) For 2007 and later model years, 

include in your end-of-year and final 

reports an accounting to show a separate 

balance of emission credits for handheld 

and nonhandheld engines. Use your 

best judgment to differentiate your 

current balance of banked credits for 

mstockstill on PROD1PC66 with RULES2

59182 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

handheld and nonhandheld engines. 

You may exchange handheld and 

nonhandheld credits to demonstrate 

compliance with the requirements of 

this part 90. However, emission credits 

you generate for banking under this part 

90 will be restricted for engines subject 

to the requirements of 40 CFR part 1054. 

Subpart E—[Amended] 

■ 40. Section 90.426 is amended as 

follows: 

■ a. By revising paragraph (b). 

■ b. By revising paragraph (c)(1). 

■ c. By revising paragraph (d). 

■ d. By revising paragraph (i). 

■ e. By adding paragraph (j). 

§ 90.426 Dilute emission sampling 

calculations—gasoline fueled engines. 

* * * * * 

(b) The mass flow rate, Wi in g/hr, of 

an emission for mode i is determined 

from the following equation: 

W Q Density C C

DF i i

Di Bi

i

= ⋅ ⋅ − ⋅− 



 



 











 10 10 

1 1 6 6

Where: 

QI = Volumetric flow rate [m3/HR at stp]. 

Density = Density of a specific emission 

(DensityHC, DensityCO, DensityCO2, 

Density NOX) [g/m3]. 

DFi = Dilution factor of the dilute exhaust 

during mode i. 

CDi = Concentration of the emission (HC, CO, 

NOX) in dilute exhaust extracted from 

the CVS during mode i [ppm]. 

CBi = Concentration of the emission (HC, CO, 

NOX) in the background sample during 

mode i [ppm]. 

STP = Standard temperature and pressure. 

All volumetric calculations made for the 

equations in this section are to be 

corrected to a standard temperature of 20 

°C and a standard pressure of 101.3 kPa. 

(c) * * * 

(1) The value of DensityHC above is 

calculated based on the assumption that 

the fuel used has a hydrogen to carbon 

ratio of 1:1.85. For other fuels DensityHC

can be calculated from the following 

formula: 

Density M

R HC

HC

STP

=

Where: 

MHC = The molecular weight of the 

hydrocarbon molecule divided by the 

number of carbon atoms in the molecule 

[g/mole]. 

RSTP = Ideal gas constant for a gas at STP = 

0.024065 [m3·mole] 

* * * * * 

(d) The dilution factor, DF, is teh ratio of 

the volumetric flow rate of the background 

air to that of the raw engine exhaust. The 

following formula is used to determine DF: 

DF

CCC DHC DCO DCO

= ( ) ⋅

( ) + +

13 4 104

2

.

Where: 

CDHC = Concentration of HC in the dilute 

sample [ppm]. 

CDCO = Concentration of CO in the dilute 

sample [ppm]. 

CDCO2 = Concentration of CO2 in the dilute 

sample [ppm]. 

* * * * * 

(i) The mass of fuel consumed during 

the mode smpling period, MFUEL, can be 

calculated from the following equation: 

M G

R FUEL

S =

2

Where: 

GS = Mass of carbon measured during the 

mode sampling period [g]. 

R2 = The fuel carbon weight fraction, which 

is the mass of carbon in fuel per mass of 

fuel [g/g]. 

(j) The grams of carbon measured 

during the mode, GS, can be calculated 

from the following equation: 

G

HC S CO CO mass = mass m

( ) ⋅

( ) + ⋅

+⋅ +⋅

12 011

12 011 1 008

0 429 0 273 2

.

. . . . α ass

Where: 

HCmass = mass of hydrocarbon emissions for 

the mode sampling period [grams]. 

COmass mass of carbon monoxide emissions 

for the mode sample period [grams]. 

CO2mass = mass of carbon dioxide emissions 

for the mode sample period [grams]. 

a = The atomic hydrogen-to-carbon ratio of 

the fuel. 

Subpart G—[Amended] 

■ 41. Section 90.601 is amended by 

adding paragraph (c) to read as follows: 

§ 90.601 Applicability. 

* * * * * 

(c) Importers must complete the 

appropirate EPA declaration form before 

importing an engine. These forms are 

available on the Internet at http:// 

www.epa.gov/OTAQ/imports/ or by 

phone at 734–214–4100. Importers must 

keep the forms for five years and make 

them available promptly upon request. 

■ 42. Section 90.615 is revised to read 

as follows: 

§ 90.615 Model year restrictions related to 

imported engines and equipment. 

The provisions of 40 CFR 1068.360 

apply starting January 1, 2009. These 

provisions limit the importation of 

engines or equipment after new 

emission standards have started to 

apply if the engines or equipment were 

built before the emission standards took 

effect. 

Subpart K—[Amended] 

■ 43. Section 90.1003 is amended by 

revising paragraph (b)(3) to read as 

follows: 

§ 90.1003 Prohibited acts. 

* * * * * 

(b) * * * 

(3) The followiong provisions apply 

for converting nonroad engines to use 

alternative fuels. 

(i) Until December 31, 2009, 

converting an engine to use a clean 

alternative fuel (as defined in Title II of 

the Act) is not considered a prohibited 

act under paragraph (a) of this section 

if the engine complies with the 

applicable standard when operating on 

the alternative fuel. Also, in the case of 

engines converted to dual fuel or 

flexible use, the action must result in 

the proper functioning of the nonroad 

engine when it operates on conventional 

fuel. 

(ii) The provisions of 40 CFR 

1054.645 apply starting January 1, 2010. 

* * * * * 

■ 44. A new § 90.1007 is added to 

subpart K to read as follows: 

§ 90.1007 Bonding requirements related to 

compliance, enforcement, and warranty 

assurance. 

The bonding provisions of 40 CFR 

1054.120(f)(4) and 1054.690 apply for 

all 2010 and later model year engines 

starting January 1, 2010. These 

provisions include measures to ensure 

that certifying manufacturers are able to 

cover any potential compliance or 

enforcement actions under the Clean Air 

Act and to meet their warranty 

obligations. 

Subpart L—[Amended] 

■ 45. Section 90.1103 is amended by 

adding paragraph (e) to read as follows: 

§ 90.1103 Emission warranty, warranty 

period. 

* * * * * 


mstockstill on PROD1PC66 with RULES2ER08OC08.081</MATH> ER08OC08.082</MATH> ER08OC08.083</MATH> ER08OC08.084</MATH> ER08OC08.085</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59183 

(e) Starting with the 2010 model year, 

you must meet the conditions specified 

in 40 CFR 1054.120(f) to ensure that 

owners will be able to promptly obtain 

warranty repairs. 

Describe in your application for 

certification how you will meet these 

conditions. 

PART 91—CONTROL OF EMISSIONS 

FROM MARINE SPARK-IGNITION 

ENGINES 

■ 46. The authority citation for part 91 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 47. Section 91.1 is amended by adding 

paragraph (d) to read as follows: 

§ 91.1 Applicability. 

* * * * * 

(d) This part does not apply to 

engines that are subject to emission 

standards under 40 CFR part 1045. See 

40 CFR 1045.1 to determine when that 

part 1045 applies. Note that certain 

requirements and prohibitions apply to 

engines built on or after January 1, 2010 

if they are installed in equipment that 

will be used solely for competition, as 

described in 40 CFR 1045.1 and 40 CFR 

1068.1; those provisions apply instead 

of the provisions of this part 91. 

Subpart B—[Amended] 

■ 48. Section 91.101 is revised to read 

as follows: 

§ 91.101 Applicability. 

(a) The requirements of this subpart B 

are applicable to all engines subject to 

the provisions of subpart A of this part. 

(b) In a given model year, you may ask 

us to approve the use of procedures for 

certification, labeling, reporting and 

recordkeeping, or other administrative 

requirements specified in 40 CFR part 

1045 or 1068 instead of the comparable 

procedures specified in this part 91. We 

may approve the request as long as it 

does not prevent us from ensuring that 

you fully comply with the intent of this 

part. 

■ 49. Section 91.107 is amended by 

adding paragraph (d)(12) to read as 

follows: 

§ 91.107 Application for certification. 

* * * * * 

(d) * * * 

(12) Identification of an agent for 

service located in the United States. 

Service on this agent constitutes service 

on you or any of your officers or 

employees for any action by EPA or 

otherwise by the United States related to 

the requirements of this part. 

* * * * * 

■ 50. Section 91.119 is amended by 

adding paragraph (b)(3) to read as 

follows: 

§ 91.119 Certification procedure—use of 

special test procedures. 

* * * * * 

(b) * * * 

(3) A manufacturer may elect to use 

the test procedures in 40 CFR part 1065 

as an alternate test procedure without 

getting advance approval by the 

Administrator or meeting the other 

conditions of paragraph (b)(1) of this 

section. The manufacturer must identify 

in its application for certification that 

the engines were tested using the 

procedures in 40 CFR part 1065. For any 

EPA testing with engines subject to 

standards under this part, EPA will use 

the manufacturer’s selected procedures 

for mapping engines, generating duty 

cycles, and applying cycle-validation 

criteria. For any other parameters, EPA 

may conduct testing using either of the 

specified procedures. 

* * * * * 

Subpart H—[Amended] 

§ 91.707 [Removed] 

■ 51. Section 91.707 is removed. 

Subpart K—[Amended] 

■ 52. A new § 91.1013 is added to 

subpart K to read as follows: 

§ 91.1013 Exemption for certified Small SI 

engines. 

The provisions of 40 CFR 1045.605 

and 1045.610 apply for engines subject 

to the standards of this part 91. This 

generally allows manufacturers to use 

marine engines that have been certified 

to emission standards for nonroad 

spark-ignition engines below 19 kW 

without recertifying those engines under 

this part 91. 

Subpart L—[Amended] 

■ 53. Section 91.1103 is amended by 

revising paragraph (b)(3) to read as 

follows: 

§ 91.1103 Prohibited acts. 

* * * * * 

(b) * * * 

(3) The following provisions apply for 

converting marine SI engines to use 

alternative fuels: 

(i) Until December 31, 2009, 

converting an engine to use a clean 

alternative fuel (as defined in Title II of 

the Act) is not considered a prohibited 

act under paragraph (a) of this section 

if the engine complies with the 

applicable standard when operating on 

the alternative fuel. Also, in the case of 

engines converted to dual fuel or 

flexible use, the action must result in 

the proper functioning of the engine 

when it operates on conventional fuel. 

(ii) The provisions of 40 CFR 

1045.645 apply starting January 1, 2010. 

* * * * * 

PART 92—CONTROL OF AIR 

POLLUTION FROM LOCOMOTIVES 

AND LOCOMOTIVE ENGINES 

■ 54. The authority citation for part 92 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 55. Section 92.9 is amended by 

revising paragraph (b)(1)(ii) to read as 

follows: 

§ 92.9 Compliance with emission 

standards. 

* * * * * 

(b) * * * 

(1) * * * 

(ii) The emission values to compare 

with the standards shall be the emission 

values of a low mileage locomotive, or 

development engine, or low hour 

locomotive engine, adjusted by the 

deterioration factors developed in 

accordance with the provisions of 

paragraph (b)(2) of this section. Before 

any emission value is compared with 

the standard, it shall be rounded, in 

accordance with ASTM E 29–93a 

(incorporated by reference at § 92.5), to 

the same number of decimal places as 

contained in the applicable standard. 

* * * * * 

Subpart D—[Amended] 

■ 56. Section 92.304 is amended by 

revising paragraph (n)(1) to read as 

follows: 

§ 92.304 Compliance requirements. 

* * * * * 

(n) * * * 

(1) All locomotives that are certified 

to an FEL that is different from the 

emission standard that would otherwise 

apply to the locomotive or locomotive 

engine are required to comply with that 

FEL for the remainder of their service 

lives, except as allowed by 

§ 92.8(a)(4)(iii) and this subpart. 

* * * * * 

Subpart I—[Amended] 

§ 92.806 [Removed] 

■ 57. Section 92.806 is removed. 

mstockstill on PROD1PC66 with RULES2

59184 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

PART 94—CONTROL OF EMISSIONS 

FROM MARINE COMPRESSIONIGNITION ENGINES 

■ 58. The authority citation for part 94 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart C—[Amended] 

■ 59. Section 94.201 is revised to read 

as follows: 

§ 94.201 Applicability. 

(a) The requirements of this subpart 

are applicable to manufacturers of 

engines subject to the standards of 

subpart A of this part. 

(b) In a given model year, you may ask 

us to approve the use of procedures for 

certification, labeling, reporting and 

recordkeeping, or other administrative 

requirements specified in 40 CFR part 

1042 or 1068 instead of the comparable 

procedures specified in this part 94. We 

may approve the request as long as it 

does not prevent us from ensuring that 

you fully comply with the intent of this 

part. 

Subpart I—[Amended] 

§ 94.806 [Removed] 

■ 60. Section 94.806 is removed. 

■ 61. A new part 1027 is added to 

subchapter U of chapter I to read as 

follows: 

PART 1027—FEES FOR ENGINE, 

VEHICLE, AND EQUIPMENT 

COMPLIANCE PROGRAMS 

Sec. 

1027.101 To whom do these requirements 

apply? 

1027.105 How much are the fees? 

1027.110 What special provisions apply for 

certification related to motor vehicles? 

1027.115 What special provisions apply for 

certification related to nonroad and 

stationary engines? 

1027.120 Can I qualify for reduced fees? 

1027.125 Can I get a refund? 

1027.130 How do I make a fee payment? 

1027.135 What provisions apply to a 

deficient filing? 

1027.140 What reporting and recordkeeping 

requirements apply under this part? 

1027.150 What definitions apply to this 

subpart? 

1027.155 What abbreviations apply to this 

subpart? 

Authority: 42 U.S.C. 7401–7671q. 

§ 1027.101 To whom do these 

requirements apply? 

(a) This part prescribes fees 

manufacturers must pay for activities 

related to EPA’s engine, vehicle, and 

equipment compliance program 

(EVECP). This includes activities related 

to approving certificates of conformity 

and performing tests and taking other 

steps to verify compliance with 

emission standards. You must pay fees 

as described in this part if you are a 

manufacturer of any of the following 

products: 

(1) Motor vehicles and motor vehicle 

engines we regulate under 40 CFR part 

86. This includes light-duty vehicles, 

light-duty trucks, medium-duty 

passenger vehicles, highway 

motorcycles, and heavy-duty highway 

engines and vehicles. 

(2) The following nonroad engines 

and equipment: 

(i) Locomotives and locomotive 

engines we regulate under 40 CFR part 

92 or 1033. 

(ii) Nonroad compression-ignition 

engines we regulate under 40 CFR part 

89 or 1039. 

(iii) Marine compression-ignition 

engines we regulate under 40 CFR part 

94 or 1042. 

(iv) Marine spark-ignition engines and 

vessels we regulate under 40 CFR part 

91, 1045, or 1060. We refer to these as 

Marine SI engines. 

(v) Nonroad spark-ignition engines 

above 19 kW we regulate under 40 CFR 

part 1048. We refer to these as Large SI 

engines. 

(vi) Recreational vehicles we regulate 

under 40 CFR part 1051. 

(vii) Nonroad spark-ignition engines 

and equipment at or below 19 kW we 

regulate under 40 CFR part 90, 1054, or 

1060. We refer to these as Small SI 

engines. 

(3) The following stationary internal 

combustion engines: 

(i) Stationary compression-ignition 

engines we certify under 40 CFR part 

60, subpart IIII. 

(ii) Stationary spark-ignition engines 

we certify under 40 CFR part 60, subpart 

JJJJ. 

(b) This part applies to applications 

for certification that we receive on or 

after December 8, 2008. Earlier 

applications are subject to the 

provisions of 40 CFR part 85, subpart Y, 

as that provision read before December 

8, 2008. 

(c) Nothing in this part limits our 

authority to conduct testing or to require 

you to conduct testing as provided in 

the Act, including our authority to 

require you to conduct in-use testing 

under section 208 of the Act (42 U.S.C. 

7542). 

(d) Paragraph (a) of this section 

identifies the parts of the CFR that 

define emission standards and other 

requirements for particular types of 

engines and vehicles. This part 1027 

refers to each of these other parts 

generically as the ‘‘standard-setting 

part.’’ For example, 40 CFR part 1051 is 

always the standard-setting part for 

recreational vehicles. For some nonroad 

engines, we allow for certification 

related to evaporative emissions 

separate from exhaust emissions. In this 

case, 40 CFR part 1060 is the standardsetting part for the equipment or fuel 

system components you produce. 

§ 1027.105 How much are the fees? 

(a) Fees are determined based on the 

date we receive a complete application 

for certification. Each reference to a year 

in this subpart refers to the calendar 

year, unless otherwise specified. 

Paragraph (b) of this section specifies 

baseline fees, which applied for 

certificates received in 2005. For engine 

and vehicles not yet subject to standards 

in 2005, these values represent the fees 

that apply initially based on available 

information to characterize what the 

fees would have been in 2005. See 

paragraph (c) of this section for 

provisions describing how we calculate 

fees for future years. 

(b) The following baseline fees for 

each application for certification: 

(1) Except as specified in paragraph 

(b)(2) of this section for Independent 

Commercial Importers, the following 

fees apply for motor vehicles and motor 

vehicle engines: 

Category Certificate type Fee 

(i) Light-duty vehicles and trucks ................................................................................. Federal ...................................................... $33,883 

(ii) Light-duty vehicles and trucks ................................................................................ California-only ........................................... 16,944 

(iii) Medium-duty passenger vehicles ........................................................................... Federal ...................................................... 33,883 

(iv) Medium-duty passenger vehicles .......................................................................... California-only ........................................... 16,944 

(v) Highway motorcycle ................................................................................................ All .............................................................. 2,414 

(vi) Heavy-duty highway engine ................................................................................... Federal ...................................................... 21,578 

(vii) Heavy-duty highway engine .................................................................................. California-only ........................................... 826 

(viii) Complete heavy-duty highway vehicles ............................................................... Federal ...................................................... 33,883 

(ix) Complete heavy-duty highway vehicles ................................................................. California-only ........................................... 16,944 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59185 

Category Certificate type Fee 

(x) Heavy-duty vehicle .................................................................................................. Evap .......................................................... 826 

(2) A fee of $8,387 applies for 

Independent Commercial Importers 

with respect to the following motor 

vehicles: 

(i) Light-duty vehicles and light-duty 

trucks. 

(ii) Medium-duty passenger vehicles. 

(iii) Complete heavy-duty highway 

vehicles. 

(3) The following fees apply for 

nonroad and stationary engines, 

vehicles, equipment, and components: 

Category Certificate type Fee 

(i) Locomotives and locomotive engines ...................................................................... All .............................................................. $826 

(ii) Marine compression-ignition engines and stationary compression-ignition engines with per-cylinder displacement at or above 10 liters.All, including Annex VI .............................. 826 

(iii) Other nonroad compression-ignition engines and stationary compression-ignition engines with per-cylinder displacement below 10 liters.All .............................................................. 1,822 

(iv) Large SI engines .................................................................................................... All .............................................................. 826 

(v) Stationary spark-ignition engines above 19 kW ..................................................... All .............................................................. 826 

(vi) Marine SI engines and Small SI engines .............................................................. Exhaust only ............................................. 826 

(vii) Stationary spark-ignition engines at or below 19 kW ........................................... Exhaust only ............................................. 826 

(viii) Recreational vehicles ........................................................................................... Exhaust (or combined exhaust and evap) 826 

(ix) Equipment and fuel system components associated with nonroad and stationary spark-ignition engines.Evap (where separate certification is required).241 

(c) We will calculate adjusted fees for 

later years based on changes in the 

Consumer Price Index and the number 

of certificates. We will announce 

adjusted fees for a given year by January 

31 of the preceding year. 

(1) We will adjust the values specified 

in paragraph (b) of this section for later 

years as follows: 

(i) Use the fee identified in 

§ 1027.105(b)(3) through 2014 for 

certification related to evaporative 

emissions from nonroad and stationary 

engines when a separate fee applies for 

certification to evaporative emission 

standards. Use the following equation 

starting with 2015: 

Certificate FeeCY = +⋅ 



 



 















⋅ − Op L CPI

CPI

CY ) . 2

2006

1 169

cert cert MY MY # #. ( ) − − + ⋅   2 3  0 5

Where: 

Certificate FeeCY = Fee per certificate for a 

given year. 

Op = operating costs are all of EPA’s 

nonlabor costs for each category’s 

compliance program, including any fixed 

costs associated with EPA’s testing 

laboratory, as described in paragraph 

(d)(1) of this section. 

L = the labor costs, to be adjusted by the 

Consumer Price Index, as described in 

paragraph (d)(1) of this section. 

CPICY–2 = the Consumer Price Index for the 

month of November two years before the 

applicable calendar year, as described in 

paragraph (d)(2) of this section. 

CPI2006 = 201.8. This is based on the October 

2006 value of the Consumer Price Index. 

OH = 1.169. This is based on EPA overhead, 

which is applied to all costs. 

cert#MY–2 = the total number of certificates 

issued for a fee category in the model 

year two years before the calendar year 

for the applicable fees as described in 

paragraph (d)(3) of this section. 

cert#MY–3 = the total number of certificates 

issued for a fee category in the model 

year three years before the calendar year 

for the applicable fees as described in 

paragraph (d)(3) of this section. 

(ii) Use the following equation for all 

other certificates for 2006 and later: 

Certificate FeeCY = +⋅ 



 



 















⋅ − Op L CPI

CPI

CY ) . 2

2002

1 169

cert cert MY MY # #. ( ) − − + ⋅   2 3  0 5

Where: 

CPI2002 = 180.9. This is based on the 

December 2002 value of the Consumer 

Price Index as described in paragraph 

(d)(2) of this section. 

(2) The fee for any year will remain 

at the previous year’s amount until the 

value calculated in paragraph (c)(1) of 

this section differs by at least $50 from 

the amount specified for the previous 

year. 

(d) Except as specified in 

§ 1027.110(a) for motor vehicles and 

motor vehicle engines, we will use the 

following values to determine adjusted 

fees using the equation in paragraph (c) 

of this section: 

(1) The following values apply for 

operating costs and labor costs: 

Engine or Vehicle Category Op L 

(i) Light-duty, medium-duty passenger, and complete heavy-duty highway vehicle certification ........................... $3,322,039 $2,548,110 


mstockstill on PROD1PC66 with RULES2ER08OC08.086</MATH> ER08OC08.087</MATH>
59186 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

Engine or Vehicle Category Op L 

(ii) Light-duty, medium-duty passenger, and complete heavy-duty highway vehicle in-use testing ....................... 2,858,223 2,184,331 

(iii) Independent Commercial Importers identified in § 1027.105(b)(2) ................................................................... 344,824 264,980 

(iv) Highway motorcycles ......................................................................................................................................... 225,726 172,829 

(v) Heavy-duty highway engines ............................................................................................................................. 1,106,224 1,625,680 

(vi) Nonroad compression-ignition engines that are not locomotive or marine engines, and stationary compression-ignition engines with per-cylinder displacement below 10 liters .................................................................. 486,401 545,160 

(vii) Evaporative certificates related to nonroad and stationary engines ................................................................ 5,039 236,670 

(viii) All other ............................................................................................................................................................ 177,425 548,081 

(2) The applicable Consumer Price 

Index is based on the values published 

by the Bureau of Labor Statistics for all 

U.S. cities using the ‘‘U.S. city average’’ 

area, ‘‘all items,’’ and ‘‘not seasonally 

adjusted’’ numbers (see ftp://ftp.bls.gov/ 

pub/special.requests/cpi/cpiai.txt). For 

example, we calculated the 2006 fees 

using the Consumer Price Index for 

November 2004, which is 191.0. 

(3) Fee categories for counting the 

number of certificates issued are based 

on the grouping shown in paragraph 

(d)(1) of this section. 

(e) The following example for 

calculating the 2006 complete federal 

heavy duty highway vehicle fee 

illustrates the fee adjustment: 

Op = $1,106,224 

L = $1,625,680 

CPI2002 = 180.9 

CPI2004 = 191.0 

cert #2004 = 131 

cert#2003 = 95 

Fee06 = [$1,106,224 + $1,625,680 . 

(191.0/180.9)] . 1.169/[(131+95) . 0.5] = 

$29,200.88 

Assessed Fee = $29,201 

§ 1027.110 What special provisions apply 

for certification related to motor vehicles? 

(a) We will adjust fees for 2006 and 

later years for light-duty, medium-duty 

passenger, and complete heavy-duty 

highway vehicles as follows: 

(1) California-only certificates. 

Calculate adjusted fees for Californiaonly certificates by applying the lightduty, medium-duty passenger, and 

complete heavy-duty highway vehicle 

certification Op and L values to the 

equation in § 1027.105(c). The total 

number of certificates issued will be the 

total number of California-only and 

federal light-duty, medium-duty 

passenger, and complete heavy-duty 

highway vehicle certificates issued 

during the appropriate model years. 

(2) Federal certificates. Calculate 

adjusted fees for federal certificates with 

the following three steps: 

(i) Apply the light-duty, medium-duty 

passenger, and complete heavy-duty 

highway vehicle certification Op and L 

values to the equation in § 1027.105(c) 

to determine the certification portion of 

the light-duty fee. The total number of 

certificates issued will be the total 

number of California-only and federal 

light-duty, medium-duty passenger and 

complete heavy-duty highway vehicle 

certificates issued during the 

appropriate model years. 

(ii) Apply the light-duty, mediumduty passenger, and complete heavyduty highway vehicle in-use testing Op 

and L values to the equation in 

§ 1027.105(c) to determine the in-use 

testing portion of the fee. The total 

number of certificates issued will be the 

total number of federal light-duty, 

medium-duty passenger, and complete 

heavy-duty highway vehicle certificates 

issued during the appropriate model 

years. 

(iii) Add the certification and in-use 

testing portions determined in 

paragraphs (a)(2)(i) and (ii) of this 

section to determine the total light-duty, 

medium-duty passenger, and complete 

heavy-duty highway vehicle fee for each 

federal certificate. 

(b) For light-duty vehicles, light-duty 

trucks, medium-duty passenger 

vehicles, highway motorcycles, and 

complete heavy-duty highway vehicles 

subject to exhaust emission standards, 

the number of certificates issued as 

specified in § 1027.105(d)(3) is based 

only on engine families with respect to 

exhaust emissions. A separate fee 

applies for each evaporative family for 

heavy-duty engines. 

(c) If you manufacture a heavy-duty 

vehicle that another company has 

certified as an incomplete vehicle such 

that you exceed the maximum fuel tank 

size specified by the original 

manufacturer in the applicable 

certificate of conformity, you must 

submit a new application for 

certification and certification fee for the 

vehicle. 

§ 1027.115 What special provisions apply 

for certification related to nonroad and 

stationary engines? 

(a) For spark-ignition engines above 

19 kW that we regulate under 40 CFR 

part 1048 and for all compressionignition engines, the applicable fee is 

based only on engine families with 

respect to exhaust emissions. 

(b) For manufacturers certifying 

recreational vehicles with respect to 

both exhaust and evaporative emission 

standards, fees are determined using 

one of the following approaches: 

(1) If your engine family includes 

demonstration of compliance with both 

exhaust and evaporative emission 

standards, the applicable fee is based on 

certification related to the combined 

family. No separate fee applies for 

certification with respect to evaporative 

emission standards. These are all 

considered engine families complying 

with exhaust emissions for determining 

the number of certificates for calculating 

fees for later years. 

(2) If you have separate families for 

demonstrating compliance with exhaust 

and evaporative emission standards, a 

separate fee from the appropriate fee 

category applies for each unique family. 

Also, the number of certificates issued 

as specified in § 1027.105(d)(3) is based 

on a separate count of emission families 

for exhaust and evaporative emissions 

for each respective fee category. 

(c) For manufacturers certifying other 

spark-ignition engines or equipment 

with respect to exhaust and evaporative 

emission standards, a separate fee from 

the appropriate fee category applies for 

each unique family. A single engine or 

piece of equipment may involve 

separate emission families and 

certification fees for exhaust and 

evaporative emissions. Also, the number 

of certificates issued as specified in 

§ 1027.105(d)(3) is based on a separate 

count of emission families for exhaust 

and evaporative emissions for each 

respective fee category. 

(d) For any certification related to 

evaporative emissions from engines, 

equipment, or components not covered 

by paragraph (a) through (c) of this 

section, the fee applies for each certified 

product independent of certification for 

exhaust emissions, as illustrated in the 

following examples: 

(1) A fuel tank certified to meet 

permeation and diurnal emission 

standards would count as a single 

family for assessing the certification fee 

and for calculating fee amounts for 

future years. 

(2) If an equipment manufacturer 

applies for certification to generate or 

use emission credits for fuel tanks and 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59187 

fuel lines, each affected fuel-tank and 

fuel-line family would count as a single 

family for assessing the certification fee 

and for calculating fee amounts for 

future years. This fee applies whether or 

not the equipment manufacturer is 

applying for certification to demonstrate 

compliance with another emission 

standard, such as running losses. 

(e) If you certify fuel system 

components under 40 CFR part 1060, a 

single fee applies for each emission 

family even if those components are 

used with different types of nonroad or 

stationary engines. 

(f) If your application for certification 

relates to emission standards that apply 

only in California, you must pay the 

same fee identified for meeting EPA 

standards. 

(g) For marine compression-ignition 

engines, if you apply for a federal 

certificate and an Annex VI certificate 

for the same engine family, a single fee 

applies for the engine family (see 40 

CFR parts 94 and 1042). 

(h) If you produce engines for 

multiple categories in a single engine 

family, a single fee applies for the 

engine family. For example, 40 CFR 

60.4210 allows you to produce 

stationary and nonroad compressionignition engines in a single engine 

family. If the certification fee for the 

different types of engines is different, 

the fee that applies for these engines is 

based on the emission standards to 

which you certify the engine family. For 

example, if you certify marine diesel 

engines to the standards that apply to 

land-based nonroad diesel engines 

under 40 CFR 94.912, the certification 

fee is based on the rate that applies for 

land-based nonroad diesel engines. 

§ 1027.120 Can I qualify for reduced fees? 

(a) Eligibility requirements. Both of 

the following conditions must be met 

before you are eligible for a reduced fee: 

(1) The certificate is to be used for 

sale of vehicles or engines within the 

United States. 

(2) The full fee for an application for 

certification for a model year exceeds 

1.0% of the aggregate projected retail 

sales price of all vehicles or engines 

covered by the certificate. 

(b) Initial reduced fee calculation. (1) 

If the conditions of paragraph (a) of this 

section are met, the initial fee paid must 

be $750 or 1.0% of the aggregate 

projected retail sales price of all the 

vehicles or engines to be covered by the 

certificate, whichever is greater. 

(2) For vehicles or engines that are 

converted to operate on an alternative 

fuel using as the basis for the conversion 

a vehicle or engine that is covered by an 

existing certificate of conformity, the 

cost basis used in this section must be 

the aggregate projected retail valueadded to the vehicle or engine by the 

conversion rather than the full cost of 

the vehicle or engine. For this provision 

to apply, the existing certificate must 

cover the same sales area and model 

year as the requested certificate for the 

converted vehicle or engine. 

(3) For remanufacturing systems, the 

cost basis used in this section must be 

the aggregate projected retail cost of a 

complete remanufacture, including the 

cost of the replacement components, 

software, and assembly. 

(4) For ICI certification applications, 

the cost basis of this section must be the 

aggregate projected retail cost of the 

entire vehicle(s) or engine(s), not just 

the value added by the conversion. If 

the vehicles/engines covered by an ICI 

certificate are not being offered for sale, 

the manufacturer shall use the fair retail 

market value of the vehicles/engines as 

the retail sale price required in this 

section. For an ICI application for 

certification, the retail sales price (or 

fair retail market value) must be based 

on the applicable National Automobile 

Dealer’s Association (NADA) appraisal 

guide and/or other evidence of the 

actual market value. 

(5) The aggregate cost used in this 

section must be based on the total 

projected sales of all vehicles and 

engines under a certificate, including 

vehicles and engines modified under 

the modification and test option in 40 

CFR 85.1509 and 89.609. The projection 

of the number of vehicles or engines to 

be covered by the certificate and their 

projected retail selling price must be 

based on the latest information available 

at the time of the fee payment. 

(6) You may submit a reduced fee as 

described in this section if it is 

accompanied by a calculation of the fee 

based on the number of vehicles 

covered and the projected aggregate 

retail sales price as specified on the fee 

filing form. Your reduced fee 

calculation shall be deemed approved 

unless we determine that the criteria of 

this section have not been met. We may 

make such a determination either before 

or after issuing a certificate of 

conformity. If we determine that the 

requirements of this section have not 

been met, we may deny future reduced 

fee applications and require submission 

of the full fee payment until you 

demonstrate to our satisfaction that your 

reduced fee submissions are based on 

accurate data and that final fee 

payments are made within 45 days of 

the end of the model year. 

(7) If we deny your request for a 

reduced fee, you must send us the 

appropriate fee within 30 days after we 

notify you. 

(c) Revision of the number of vehicles 

or engines covered by the certificate. (1) 

You must take both of the following 

steps if the number of vehicles or 

engines to be produced or imported 

under the certificate exceeds the 

number indicated on the certificate 

(including a certificate under which 

modification and test vehicles are 

imported under 40 CFR 85.1509 and 

89.609): 

(i) Request that we revise the 

certificate with a number that indicates 

the new projection of the vehicles or 

engines to be covered by the certificate. 

We must issue the revised certificate 

before the additional number of vehicles 

or engines may be sold or finally 

imported into the United States. 

(ii) Submit payment of 1.0% of the 

aggregate projected retail sales price of 

all the additional vehicles or engines. 

(2) You must receive a revised 

certificate before the sale or final 

importation of any vehicles or engines, 

including modification and test 

vehicles, that are not originally included 

in the certificate issued under paragraph 

(b) of this section, or as indicated in a 

revised certificate issued under 

paragraph (c)(1) of this section. Such 

vehicles that are sold or imported before 

we issue a revised certificate are 

deemed to be not covered by a 

certificate of conformity. 

(d) Final reduced fee calculation and 

adjustment. (1) If the initial fee payment 

is less than the final reduced fee, you 

must pay the difference between the 

initial reduced fee and the final reduced 

fee using the provisions of § 1027.130. 

Calculate the final reduced fee using the 

procedures of paragraph (c) of this 

section but using actual production 

figures rather than projections and 

actual retail sales value rather than 

projected retail sales value. 

(2) You must pay the difference 

between the initial reduced fee and the 

final reduced fee within 45 days of the 

end of the model year. The total fees 

paid for a certificate may not exceed the 

applicable full fee specified in 

§ 1027.105. We may void the applicable 

certificate if you fail to make a complete 

payment within the specified period. 

We may also refuse to grant reduced fee 

requests submitted under paragraph 

(b)(5) of this section. 

(3) If the initial fee payment exceeds 

the final reduced fee, you may request 

a refund using the procedures of 

§ 1027.125. 

(e) Records retention. You are subject 

to the applicable requirements to 

maintain records under this chapter. If 

you fail to maintain required records or 

mstockstill on PROD1PC66 with RULES2

59188 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

provide them to us, we may void the 

certificate associated with such records. 

You must also record the basis you used 

to calculate the projected sales and fair 

retail market value and the actual sales 

and retail price for the vehicles and 

engines covered by each certificate 

issued under this section. You must 

keep this information for at least three 

years after we issue the certificate and 

provide it to us within 30 days of our 

request. 

§ 1027.125 Can I get a refund? 

(a) We will refund the total fee 

imposed under this part if you ask for 

a refund after failing to get a certificate 

for any reason. 

(b) If your actual sales or the actual 

retail prices in a given year are less than 

you projected for calculating a reduced 

fee under § 1027.120, we will refund the 

appropriate portion of the fee. We will 

also refund a portion of the initial 

payment if it exceeds the final fee for 

the engines, vehicles, or equipment 

covered by the certificate application. 

(1) You are eligible for a partial refund 

related only to a certificate used for the 

sale of engines, vehicles, or equipment 

under that certificate in the United 

States. 

(2) Include all the following in your 

request for a partial refund of reduced 

fee payments: 

(i) State that you sold engines, 

vehicles, or equipment under the 

applicable certificate in the United 

States. 

(ii) Identify the number of engines, 

vehicles, or equipment you produced or 

imported under the certificate, and 

whether the engines, vehicles, or 

equipment have been sold. 

(iii) Identify the reduced fee that you 

paid under the applicable certificate. 

(iv) Identify the actual retail sales 

price for the engines, vehicles, or 

equipment produced or imported under 

the certificate. 

(v) Calculate the final value of the 

reduced fee using actual production 

figures and retail prices. 

(vi) Calculate the refund amount. 

(c) We will approve your request to 

correct errors in the amount of the fee. 

(d) All refunds must be applied for 

within six months after the end of the 

model year. 

(e) Send refund and correction 

requests to the Fee Program Specialist, 

U.S. Environmental Protection Agency, 

Vehicle Programs and Compliance 

Division, 2000 Traverwood Dr., Ann 

Arbor, MI 48105, online at 

www.Pay.gov, or as specified in 

guidance by the Administrator. 

(f) You may request to have refund 

amounts applied to the amount due on 

another application for certification. 

§ 1027.130 How do I make a fee payment? 

(a) Pay fees to the order of the 

Environmental Protection Agency in 

U.S. dollars using any of the following 

methods: money order, bank draft, 

certified check, corporate check, 

electronic funds transfer, any method 

available for payment online at 

www.Pay.gov., or as specified in EPA 

guidance. 

(b) Send a completed fee filing form 

to the address designated on the form 

for each fee payment or electronically at 

www.Pay.gov., or as provided in EPA 

guidance. These forms are available on 

the Internet at http://www.epa.gov/otaq/ 

guidance.htm. 

(c) You must pay the fee amount due 

before we will start to process an 

application for certification. 

(d) If we deny a reduced fee, you must 

pay the proper fee within 30 days after 

we notify you of our decision. 

§ 1027.135 What provisions apply to a 

deficient filing? 

(a) Any filing under this part is 

deficient if it is not accompanied by a 

completed fee filing form and full 

payment of the appropriate fee. 

(b) A deficient filing will be rejected 

unless the completed form and full 

payment are submitted within a time 

limit we specify. We will not process an 

application for certification if the 

associated filing is deficient. 

§ 1027.140 What reporting and 

recordkeeping requirements apply under 

this part? 

Under the Paperwork Reduction Act 

(44 U.S.C. 3501 et seq.), the Office of 

Management and Budget approves the 

reporting and recordkeeping specified 

in the applicable regulations. The 

following items illustrate the kind of 

reporting and recordkeeping we require 

for engines, vehicles, and equipment 

regulated under this part: 

(a) Filling out fee filing forms under 

§ 1027.130. 

(b) Retaining fee records, including 

reduced fee documentation, under 

§ 1027.120. 

(c) Requesting refunds under 

§ 1027.125. 

§ 1027.150 What definitions apply to this 

subpart? 

The definitions in this section apply 

to this part. As used in this part, all 

undefined terms have the meaning the 

Act or the standard-setting part gives to 

them. The definitions follow: 

Annex VI means MARPOL Annex VI, 

which is an annex to the International 

Convention on the Prevention of 

Pollution from Ships, 1973, as modified 

by the protocol of 1978 relating thereto. 

This is an international treaty regulating 

disposal of waste products from marine 

vessels. 

Application for Certification means a 

manufacturer’s submission of an 

application for certification. 

California-only certificate is a 

certificate of conformity issued by EPA 

showing compliance with emission 

standards established by California. 

Federal certificate is a certificate of 

conformity issued by EPA showing 

compliance with EPA emission 

standards specified in one of the 

standard-setting parts specified in 

§ 1027.101(a). 

Light-duty means relating to lightduty vehicles and light-duty trucks. 

Manufacturer has the meaning given 

in section 216(1) of the Act. In general, 

this term includes any person who 

manufactures an engine, vehicle, vessel, 

or piece of equipment for sale in the 

United States or otherwise introduces a 

new engine, vehicle, vessel, or piece of 

equipment into commerce in the United 

States. This includes importers who 

import such products for resale, but not 

dealers. 

Total number of certificates issued 

means the number of certificates for 

which fees have been paid. This term is 

not intended to represent multiple 

certificates that are issued within a 

single family or test group. 

Void has the meaning given in 40 CFR 

1068.30. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives. 

§ 1027.155 What abbreviations apply to 

this subpart? 

The following symbols, acronyms, 

and abbreviations apply to this part: 

CFR ..... Code of Federal Regulations. 

EPA ..... U.S. Environmental Protection 

Agency. 

Evap .... Evaporative Emissions. 

EVECP Engine, vehicle, and equipment 

compliance program. 

ICI ....... Independent Commercial Importer. 

U.S. ..... United States. 

PART 1033—CONTROL OF EMISSIONS 

FROM LOCOMOTIVES 

■ 62. The authority citation for part 

1033 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart B—[Amended] 

■ 63. Section 1033.101 is amended by 

revising paragraph (b) to read as 

follows: 

§ 1033.101 Exhaust emission standards. 

* * * * * 

(b) Emission standards for switch 

locomotives. Exhaust emissions from 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59189 

your new locomotives may not exceed 

the applicable emission standards in 

Table 2 to this section during the useful 

life of the locomotive. (Note: § 1033.901 

defines locomotives to be ‘‘new’’ when 

originally manufactured and when 

remanufactured.) Measure emissions 

using the applicable test procedures 

described in subpart F of this part. 

TABLE 2 TO § 1033.101—SWITCH LOCOMOTIVE EMISSION STANDARDS

Year of original manufacture Tier of standards 

Standards (g/bhp-hr) 

NOX PM HC CO 

1973–2001 ................................................ Tier 0 ........................................................ 11.8 0.26 2.10 8.0 

2002–2004 ................................................ Tier 1 a ...................................................... 11.0 0.26 1.20 2.5 

2005–2010 ................................................ Tier 2 a ...................................................... 8.1 b 0.13 0.60 2.4 

2011–2014 ................................................ Tier 3 ........................................................ 5.0 0.10 0.60 2.4 

2015 or later .............................................. Tier 4 ........................................................ c 1.3 0.03 c 0.14 2.4 

aSwitch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul standards of the same tier.

bThe PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013. 

c Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise applicable Tier 4 NOX and HC 

standards, as described in paragraph (j) of this section. 

* * * * * 

■ 64. Section 1033.115 is amended by 

adding and reserving paragraph (f)(2) 

and revising paragraph (g) to read as 

follows: 

§ 1033.115 Other requirements. 

* * * * * 

(f) * * * 

(2) [Reserved] 

(g) Idle controls. All new locomotives 

must be equipped with automatic 

engine stop/start as described in this 

paragraph (g). All new locomotives must 

be designed to allow the engine(s) to be 

restarted at least six times per day 

without causing engine damage that 

would affect the expected interval 

between remanufacturing. Note that it is 

a violation of 40 CFR 1068.101(b)(1) to 

circumvent the provisions of this 

paragraph (g). 

(1) Except as allowed by paragraph 

(g)(2) of this section, the stop/start 

systems must shut off the main 

locomotive engine(s) after 30 minutes of 

idling (or less). 

(2) Stop/start systems may restart or 

continue idling for the following 

reasons: 

(i) To prevent engine damage such as 

to prevent the engine coolant from 

freezing. 

(ii) To maintain air pressure for brakes 

or starter system, or to recharge the 

locomotive battery. 

(iii) To perform necessary 

maintenance. 

(iv) To otherwise comply with federal 

regulations. 

(3) You may ask to use alternate stop/ 

start systems that will achieve 

equivalent idle control. 

(4) See § 1033.201 for provisions that 

allow you to obtain a separate certificate 

for idle controls. 

(5) It is not considered circumvention 

to allow a locomotive to idle to heat or 

cool the cab, provided such heating or 

cooling is necessary. 

* * * * * 

■ 65. Section 1033.120 is amended by 

revising paragraph (b) to read as follows: 

§ 1033.120 Emission-related warranty 

requirements. 

* * * * * 

(b) Warranty period. Except as 

specified in this paragraph, the 

minimum warranty period is one-third 

of the useful life. Your emission-related 

warranty must be valid for at least as 

long as the minimum warranty periods 

listed in this paragraph (b) in MW-hrs of 

operation (or miles for Tier 0 

locomotives not equipped with MW-hr 

meters) and years, whichever comes 

first. You may offer an emission-related 

warranty more generous than we 

require. The emission-related warranty 

for the locomotive may not be shorter 

than any published warranty you offer 

without charge for the locomotive. 

Similarly, the emission-related warranty 

for any component may not be shorter 

than any published warranty you offer 

without charge for that component. If 

you provide an extended warranty to 

individual owners for any components 

covered in paragraph (c) of this section 

for an additional charge, your emissionrelated warranty must cover those 

components for those owners to the 

same degree. If the locomotive does not 

record MW-hrs, we base the warranty 

periods in this paragraph (b) only on 

years. The warranty period begins when 

the locomotive is placed into service, or 

back into service after remanufacture. 

* * * * * 

■ 66. Section 1033.135 is amended by 

revising paragraph (b)(2)(i) to read as 

follows: 

§ 1033.135 Labeling. 

* * * * * 

(b) * * * 

(2) * * * 

(i) The label must be permanent and 

legible and affixed to the locomotive in 

a position in which it will remain 

readily visible. Attach it to a locomotive 

chassis part necessary for normal 

operation and not normally requiring 

replacement during the service life of 

the locomotive. You may not attach this 

label to the engine or to any equipment 

that is easily detached from the 

locomotive. Attach the label so that it 

cannot be removed without destroying 

or defacing the label. For Tier 0 and Tier 

1 locomotives, the label may be made 

up of more than one piece, as long as 

all pieces are permanently attached to 

the locomotive. 

* * * * * 

■ 67. Section 1033.150 is amended by 

revising paragraph (b) and adding 

paragraph (m) to read as follows: 

§ 1033.150 Interim provisions. 

* * * * * 

(b) Idle controls. A locomotive 

equipped with an automatic engine 

stop/start system that was originally 

installed before January 1, 2009 and that 

conforms to the requirements of 

§ 1033.115(g) is deemed to be covered 

by a certificate of conformity with 

respect to the requirements of 

§ 1033.115(g). Note that the provisions 

of subpart C of this part also allow you 

to apply for a conventional certificate of 

conformity for such systems. 

* * * * * 

(m) Assigned deterioration factors. 

The provisions of this paragraph (m) 

apply for Tier 0 and Tier 1 locomotives 

to the standards of this part during 

model years 2008 or 2009. 

Remanufacturers certifying such 

locomotives to the standards of this part 

during these model years may use an 

assigned deterioration factor of 0.03 g/ 

bhp-hr for PM and an assigned 

deterioration factor of zero for other 

mstockstill on PROD1PC66 with RULES2

59190 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

pollutants. For purposes of determining 

compliance other than for certification 

or production-line testing, calculate the 

applicable in-use compliance limits for 

these locomotives by adjusting the 

applicable PM standards/FELs upward 

by 0.03 g/bhp-hr. 

Subpart C—[Amended] 

§ 1033.205 [Amended] 

■ 68. Section 1033.205 is amended by 

removing and reserving paragraph (b). 

■ 69. Section 1033.230 is amended by 

revising paragraph (f) to read as follows: 

§ 1033.230 Grouping locomotives into 

engine families. 

* * * * * 

(f) During the first six calendar years 

after a new tier of standards becomes 

applicable, remanufactured engines/ 

locomotives may be included in the 

same engine family as freshly 

manufactured locomotives, provided the 

same engines and emission controls are 

used for locomotive models included in 

the engine family. 

Subpart D—[Amended] 

■ 70. Section 1033.335 is amended by 

revising paragraph (g) introductory text 

to read as follows: 

§ 1033.335 Remanufactured locomotives: 

installation audit requirements. 

* * * * * 

(g) Within 45 calendar days of the end 

of each quarter, the remanufacturer 

must send the Designated Compliance 

Officer a report which includes the 

following information: 

* * * * * 

Subpart F—[Amended] 

■ 71. Section 1033.510 is amended by 

revising the introductory text to read as 

follows: 

§ 1033.510 Auxiliary power units. 

If your locomotive is equipped with 

an auxiliary power unit (APU) that 

operates during an idle shutdown mode, 

you must account for the APU’s 

emissions rates as specified in this 

section, unless the APU is part of an 

AESS system that was certified 

separately from the rest of the 

locomotive. This section does not apply 

for auxiliary engines that only provide 

hotel power. 

* * * * * 

■ 72. Section 1033.515 is amended by 

revising paragraph (c)(5) and by 

redesignating paragraphs (f) and (g) as 

paragraphs (d) and (e), respectively, to 

read as follows. 

§ 1033.515 Discrete-mode steady-state 

emission tests of locomotives and 

locomotive engines. 

* * * * * 

(c) * * * 

(5) Begin proportional sampling of PM 

emissions at the beginning of each 

sampling period and terminate sampling 

within + 5 seconds of the specified time 

in each test mode. If the PM sample is 

sufficiently large, take one of the 

following actions consistent with good 

engineering judgment: 

(i) Extend the sampling period up to 

a maximum of 15 minutes. 

(ii) Use three different dilution ratios 

for the modes: one for both idle modes, 

one for dynamic brake through notch 5, 

and one for notches 6 through 8. 

* * * * * 

■ 73. Section 1033.530 is amended by 

revising paragraph (e) to read as follows: 

§ 1033.530 Duty cycles and calculations. 

* * * * * 

(e) Automated Start-Stop. For 

locomotive equipped with features that 

shut the engine off after prolonged 

periods of idle, multiply the measured 

idle mass emission rate over the idle 

portion of the applicable test cycles by 

a factor equal to one minus the 

estimated fraction reduction in idling 

time that will result in use from the 

shutdown feature. Do not apply this 

factor to the weighted idle power. 

Application of this adjustment is subject 

to our approval if the fraction reduction 

in idling time that is estimated to result 

from the shutdown feature is greater 

than 25 percent. This paragraph (e) does 

not apply if the locomotive is (or will 

be) covered by a separate certificate for 

idle control. 

* * * * * 

Subpart G—[Amended] 

■ 74. Section 1033.601 is amended by 

revising paragraphs (c)(1) and (c)(3) to 

read as follows: 

§ 1033.601 General compliance provisions. 

* * * * * 

(c) * * * 

(1) The exemption provisions of 40 

CFR 1068.240 (i.e., exemptions for 

replacement engines) do not apply for 

domestic or imported locomotives. 

(Note: You may introduce into 

commerce freshly manufactured 

replacement engines under this part, 

provided the locomotives into which 

they are installed are covered by a 

certificate of conformity.) 

* * * * * 

(3) The exemption provisions of 40 

CFR 1068.261 (i.e., exemptions for 

delegated assembly) do not apply for 

domestic or imported locomotives, 

except as specified in § 1033.630. 

* * * * * 

■ 75. Section 1033.630 is amended by 

revising paragraph (b) introductory text 

to read as follows: 

§ 1033.630 Staged assembly and 

delegated assembly exemptions. 

* * * * * 

(b) Delegated assembly. This 

paragraph (b) applies where the engine 

manufacturer/remanufacturer does not 

complete assembly of the locomotives 

and the engine is shipped after being 

manufactured or remanufactured 

(partially or completely). The provisions 

of this paragraph (b) apply differently 

depending on who holds the certificate 

of conformity and the state of the engine 

when it is shipped. You may request an 

exemption under this paragraph (b) in 

your application for certification, or in 

a separate submission. If you include 

your request in your application, your 

exemption is approved when we grant 

your certificate. A manufacturer/ 

remanufacturer may request an 

exemption under 40 CFR 1068.261 

instead of under this section. 

* * * * * 

■ 76. Section 1033.640 is amended by 

revising paragraph (b) to read as follows: 

§ 1033.640 Provisions for repowered and 

refurbished locomotives. 

* * * * * 

(b) A single existing locomotive 

cannot be divided into parts and 

combined with new parts to create more 

than one remanufactured locomotive. 

However, any number of locomotives 

can be divided into parts and combined 

with new parts to create more than one 

remanufactured locomotive, provided 

the number of locomotives created 

(remanufactured and freshly 

manufactured) does not exceed the 

number of locomotives that were 

disassembled. 

* * * * * 

■ 77. Section 1033.645 is amended by 

revising paragraph (a) to read as follows: 

§ 1033.645 Non-OEM component 

certification program. 

* * * * * 

(a) Applicability. This section applies 

only for components that are commonly 

replaced during remanufacturing. It 

does not apply for other types of 

components that are replaced during a 

locomotive’s useful life, but not 

typically replaced during 

remanufacture. Certified components 

may be used for remanufacturing or 

other maintenance. 

* * * * * 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59191 

Subpart I—[Amended] 

■ 78. Section 1033.810 is amended by 

revising paragraph (c) introductory text 

to read as follows: 

§ 1033.810 In-use testing program. 

* * * * * 

(c) Test locomotive selection. Unless 

we specify a different option, select test 

locomotives as specified in paragraph 

(c)(1) of this section (Option 1). In no 

case may you exclude locomotives 

because of visible smoke, a history of 

durability problems, or other evidence 

of malmaintenance. You may test more 

locomotives than this section requires. 

* * * * * 

Subpart J—[Amended] 

■ 79. Section 1033.901 is amended by 

revising paragraph (2)(ii) of the 

definition for ‘‘New’’ to read as follows: 

§ 1033.901 Definitions. 

* * * * * 

New, * * * 

(2) * * * 

(ii) Locomotives that are owned and 

operated by a small railroad and that 

have never been certified (i.e., 

manufactured or remanufactured into a 

certified configuration) are not 

considered to become new when 

remanufactured. The provisions of 

paragraph (1) of this definition apply for 

locomotives that have previously been 

remanufactured into a certified 

configuration. 

* * * * * 

PART 1039—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES 

■ 80. The authority citation for part 

1039 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 81. Section 1039.5 is amended by 

revising paragraph (d) and adding 

paragraph (e) to read as follows: 

§ 1039.5 Which engines are excluded from 

this part’s requirements? 

* * * * * 

(d) Hobby engines. Engines installed 

in reduced-scale models of vehicles that 

are not capable of transporting a person 

are not subject to the provisions of this 

part 1039. 

(e) Engines used in recreational 

vehicles. Engines certified to meet the 

requirements of 40 CFR part 1051 or are 

otherwise subject to 40 CFR part 1051 

(for example, engines used in 

snowmobiles and all-terrain vehicles) 

are not subject to the provisions of this 

part 1039. 

Subpart B—[Amended] 

■ 82. Section 1039.102 is amended by 

revising paragraph (g)(4) to read as 

follows: 

§ 1039.102 What exhaust emission 

standards and phase-in allowances apply 

for my engines in model year 2014 and 

earlier? 

* * * * * 

(g) * * * 

(4) Special provisions for 37–56 kW 

engines. For engines at or above 37 kW 

and below 56 kW from model years 

2008 through 2012, you must add 

information to the emission-related 

installation instructions to clarify the 

equipment manufacturer’s obligations 

under § 1039.104(f). 

■ 83. Section 1039.125 is amended by 

revising paragraphs (a)(2)(i) and (a)(3)(i) 

to read as follows: 

§ 1039.125 What maintenance instructions 

must I give to buyers? 

* * * * * 

(a) * * * 

(2) * * * 

(i) For EGR-related filters and coolers, 

PCV valves, crankcase vent filters, and 

fuel injector tips (cleaning only), the 

minimum interval is 1,500 hours. 

* * * * * 

(3) * * * 

(i) For EGR-related filters and coolers, 

PCV valves, crankcase vent filters, and 

fuel injector tips (cleaning only), the 

minimum interval is 1,500 hours. 

* * * * * 

■ 84. Section 1039.135 is amended by 

revising paragraph (c)(4) to read as 

follows: 

§ 1039.135 How must I label and identify 

the engines I produce? 

* * * * * 

(c) * * * 

(4) State the power category or 

subcategory from § 1039.101 or 

§ 1039.102 that determines the 

applicable emission standards for the 

engine family. For engines at or above 

37 kW and below 56 kW from model 

years 2008 through 2012, and for 

engines less than 8 kW utilizing the 

provision at § 1039.101(c), you must 

state the applicable PM standard for the 

engine family. 

* * * * * 

Subpart G—[Amended] 

■ 85. Section 1039.625 is amended as 

follows: 

■ a. By revising paragraph (d)(1). 

■ b. By revising paragraphs (e) 

introductory text, (e)(1), and (e)(3). 

■ c. By revising paragraph (f)(4). 

■ d. By revising paragraphs (g)(1) 

introductory text, (g)(1)(ii), and 

(g)(1)(iv). 

■ e. By revising paragraph (g)(2). 

■ f. By revising paragraph (j). 

■ g. By revising paragraph (m)(2) 

introductory text. 

§ 1039.625 What requirements apply under 

the program for equipment-manufacturer 

flexibility? 

* * * * * 

(d) * * * 

(1) If you use the provisions of 40 CFR 

1068.105(a) to use up your inventories 

of engines not certified to new emission 

standards, do not include these units in 

your count of equipment with exempted 

engines under paragraph (b) of this 

section. However, you may include 

these units in your count of total 

equipment you produce for the given 

year for the percentage calculation in 

paragraph (b)(1) of this section. 

* * * * * 

(e) Standards. If you produce 

equipment with exempted engines 

under this section, the engines must 

meet emission standards specified in 

this paragraph (e). Note that we consider 

engines to be meeting emission 

standards even if they are certified with 

a family emission limit that is higher 

than the emission standard that would 

otherwise apply. 

(1) If you are using the provisions of 

paragraph (d)(4) of this section, engines 

must meet the applicable Tier 1 or Tier 

2 emission standards described in 

§ 89.112. 

* * * * * 

(3) In all other cases, engines at or 

above 56 kW and at or below 560 kW 

must meet the appropriate Tier 3 

standards described in 40 CFR 89.112. 

Engines below 56 kW and engines above 

560 kW must meet the appropriate Tier 

2 standards described in 40 CFR 89.112. 

(f) * * * 

(4) An e-mail address and phone 

number to contact for further 

information, or a Web site that includes 

this contact information. 

* * * * * 

(g) * * * 

(1) Before you use the provisions of 

this section, send the Designated 

Compliance Officer a written notice of 

your intent, including: 

* * * * * 

(ii) The name, phone number and email address of a person to contact for 

more information. 

* * * * * 

(iv) The name and address of each 

company you expect to produce engines 

mstockstill on PROD1PC66 with RULES2

59192 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

for the equipment you manufacture 

under this section. 

* * * * * 

(2) For each year that you use the 

provisions of this section, send the 

Designated Compliance Officer a written 

report by March 31 of the following 

year. Identify the following things in 

your report: 

(i) The total count of units you sold 

in the preceding year for each power 

category, based on actual U.S.-directed 

production information. 

(ii) The percentages of U.S.-directed 

production that correspond to the 

number of units in each power category 

and the cumulative numbers and 

percentages of units for all the units you 

have sold under this section for each 

power category. You may omit the 

percentage figures if you include in the 

report a statement that you will not be 

using the percent-of-production 

allowances in paragraph (b)(1) of this 

section. 

(iii) The manufacturer of the engine 

installed in the equipment you produce 

under this section if this is different 

than you specified under paragraph 

(g)(1)(iv) of this section. 

* * * * * 

(j) Provisions for engine 

manufacturers. As an engine 

manufacturer, you may produce 

exempted engines as needed under 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. Send us an annual 

report of the engines you produce under 

this section, as described in 

§ 1039.250(a). For engines produced 

under the provisions of paragraph (a)(2) 

of this section, you must certify the 

engines under this part 1039. For all 

other exempt engines, the engines must 

meet the emission standards in 

paragraph (e) of this section and you 

must meet all the requirements of 40 

CFR 1068.265. If you show under 40 

CFR 1068.265(c) that the engines are 

identical in all material respects to 

engines that you have previously 

certified to one or more FELs above the 

standards specified in paragraph (e) of 

this section, you must supply sufficient 

credits for these engines. Calculate these 

credits under subpart H of this part 

using the previously certified FELs and 

the alternate standards. You must meet 

the labeling requirements in 40 CFR 

89.110 or § 1039.135, as applicable, with 

the following exceptions: 

(1) Add the following statement 

instead of the compliance statement in 

40 CFR 89.110(b)(10) or 

§ 1039.135(c)(12), as applicable: 

THIS ENGINE MEETS U.S. EPA 

EMISSION STANDARDS UNDER 40 

CFR 1039.625. SELLING OR 

INSTALLING THIS ENGINE FOR ANY 

PURPOSE OTHER THAN FOR THE 

EQUIPMENT FLEXIBILITY 

PROVISIONS OF 40 CFR 1039.625 MAY 

BE A VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY. 

(2) You may omit the family emission 

limits if they are below the emission 

standards. 

* * * * * 

(m) * * * 

(2) To apply for exemptions under 

this paragraph (m), send the Designated 

Compliance Officer a written request as 

soon as possible before you are in 

violation. In your request, include the 

following information: 

* * * * * 

■ 86. Section 1039.626 is amended as 

follows: 

■ a. By revising paragraph (a)(2). 

■ b. By revising paragraph (a)(9)(ii)(B). 

■ c. By revising paragraph (a)(9)(iv). 

■ d. By revising paragraph (b)(1) 

introductory text. 

■ e. By revising paragraph (b)(2). 

§ 1039.626 What special provisions apply 

to equipment imported under the 

equipment-manufacturer flexibility 

program? 

* * * * * 

(a) * * * 

(2) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

* * * * * 

(9) * * * 

(ii) * * * 

(B) Get us to approve a waiver from 

the bonding requirement if you can 

show that you meet the asset thresholds 

described in 40 CFR 1054.690. 

* * * * * 

(iv) You will forfeit the proceeds of 

the bond posted under this section if 

you need to satisfy any U.S. 

administrative settlement agreement, 

administrative final order or judicial 

judgment against you arising from your 

violation of this chapter, or violation of 

18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or 

other applicable provisions of the Clean 

Air Act. 

* * * * * 

(b) * * * 

(1) Before you use the provisions of 

this section, send the Designated 

Compliance Officer a written notice of 

your intent, including: 

* * * * * 

(2) For each year that you use the 

provisions of this section, send the 

Designated Compliance Officer a written 

report by March 31 of the following 

year. Include in your report the total 

number of engines you imported under 

this section in the preceding calendar 

year, broken down by engine 

manufacturer and by equipment 

manufacturer. 

Subpart I—[Amended] 

■ 87. Section 1039.801 is amended by 

revising the definition for ‘‘Designated 

Compliance Officer’’ to read as follows: 

§ 1039.801 What definitions apply to this 

part? 

* * * * * 

Designated Compliance Officer means 

the Manager, Heavy-Duty and Nonroad 

Engine Group (6405–J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

* * * * * 

PART 1042—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE MARINE 

COMPRESSION-IGNITION ENGINES 

AND VESSELS 

■ 88. The authority citation for part 

1042 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 89. Section 1042.5 is amended by 

revising paragraph (b) to read as follows: 

§ 1042.5 Exclusions. 

* * * * * 

(b) Hobby engines. Engines installed 

in reduced-scale models of vessels that 

are not capable of transporting a person 

are not subject to the provisions of this 

part 1042. 

Subpart B—[Amended] 

■ 90. Section 1042.101 is amended by 

revising Table 1 in paragraph (a)(3) to 

read as follows: 

§ 1042.101 Exhaust emission standards. 

(a) * * * 

(3) * * * 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59193 

* * * * * 

■ 91. Section 1042.107 is revised to read 

as follows: 

§ 1042.107 Evaporative emission 

standards. 

(a) There are no evaporative emission 

standards for diesel-fueled engines, or 

engines using other nonvolatile or 

nonliquid fuels (for example, natural 

gas). 

(b) If an engine uses a volatile liquid 

fuel, such as methanol, the engine’s fuel 

system and the vessel in which the 

engine is installed must meet the 

evaporative emission requirements of 40 

CFR part 1045 that apply with respect 

to spark-ignition engines. Manufacturers 

subject to evaporative emission 

standards must meet the requirements 

of 40 CFR 1045.112 as described in 40 

CFR part 1060 and do all the following 

things in the application for 

certification: 

(1) Describe how evaporative 

emissions are controlled. 

(2) Present test data to show that fuel 

systems and vessels meet the 

evaporative emission standards we 

specify in this section if you do not use 

design-based certification under 40 CFR 

1060.240. Show these figures before and 

after applying deterioration factors, 

where applicable. 

■ 92. Section 1042.115 is amended by 

revising paragraph (f)(1) to read as 

follows: 

§ 1042.115 Other requirements. 

* * * * * 

(f) * * * 

(1) The conditions of concern were 

substantially included in the applicable 


mstockstill on PROD1PC66 with RULES2ER08OC08.074</GPH>
59194 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

duty-cycle test procedures described in 

subpart F of this part (the portion during 

which emissions are measured). 

* * * * * 

■ 93. Section 1042.145 is amended by 

revising Table 2 in paragraph (f) to read 

as follows: 

§ 1042.145 Interim provisions. 

* * * * * 

(f) * * * 

TABLE 2 TO § 1042.145—OPTIONAL IN-USE ADJUSTMENTS FOR THE FIRST THREE MODEL YEARS OF THE TIER 4 

STANDARDS

Fraction of useful life already used 

In-use adjustments (g/kW-hr) 

For model 

year 2017 and 

earlier Tier 4 

NOX standards 

For model 

year 2017 and 

earlier Tier 4 

PM standards 

0 < hours ≤ 50% of useful life ................................................................................................................................. 0.3 0.05 

50 < hours ≤ 75% of useful life ............................................................................................................................... 0.4 0.05 

hours > 75% of useful life ....................................................................................................................................... 0.5 0.05 

* * * * * 

Subpart G—[Amended] 

§ 1042.601 [Amended] 

■ 94. Section 1042.601 is amended by 

removing paragraph (g). 

■ 95. Section 1042.615 is amended by 

revising paragraph (a) introductory text 

to read as follows: 

§ 1042.615 Replacement engine 

exemption. 

* * * * * 

(a) This paragraph (a) applies instead 

of the provisions of 40 CFR 

1068.240(b)(3). The prohibitions in 40 

CFR 1068.101(a)(1) do not apply to a 

new replacement engine if all the 

following conditions are met: 

* * * * * 

Subpart I—[Amended] 

■ 96. Section 1042.801 is amended by 

revising paragraph (f) to read as follows: 

§ 1042.801 General provisions. 

* * * * * 

(f) Remanufacturing systems that 

require a fuel change or use of a fuel 

additive may be certified under this 

part. However, they are not considered 

to be ‘‘available’’ with respect to 

triggering the requirement for an engine 

to be covered by a certificate of 

conformity under § 1042.815. The 

following provisions apply: 

(1) Only fuels and additives registered 

under 40 CFR part 79 may be used 

under this paragraph (f). 

(2) You must demonstrate in your 

application that the fuel or additive will 

actually be used by operators, including 

a description of how the vessels and 

dispensing tanks will be labeled. We 

may require you to provide the labels to 

the operators. 

(3) You must also describe analytical 

methods that can be used by EPA or 

others to verify that fuel meets your 

specifications. 

(4) You must provide clear 

instructions to the operators specifying 

that they may only use the specified 

fuel/additive, label their vessels and 

fuel dispensing tanks, and keep records 

of their use of the fuel/additive in order 

for their engine to be covered by your 

certificate. Use of the incorrect fuel (or 

fuel without the specified additive) or 

any other failure to comply with the 

requirements of this paragraph is a 

violation of 40 CFR 1068.101(b)(1). 

* * * * * 

■ 97. Section 1042.836 is amended by 

revising paragraph (a) introductory text 

to read as follows: 

§ 1042.836 Marine certification of 

locomotive remanufacturing systems. 

* * * * * 

(a) Include the following with your 

application for certification under 40 

CFR part 92 or 1033 (or as an 

amendment to your application): 

* * * * * 

■ 98. A new part 1045 is added to 

subchapter U of chapter I to read as 

follows: 

PART 1045—CONTROL OF EMISSIONS 

FROM SPARK-IGNITION PROPULSION 

MARINE ENGINES AND VESSELS 

Subpart A—Overview and Applicability 

Sec. 

1045.1 Does this part apply for my 

products? 

1045.2 Who is responsible for compliance? 

1045.5 Which engines are excluded from 

this part’s requirements? 

1045.10 How is this part organized? 

1045.15 Do any other CFR parts apply to 

me? 

1045.20 What requirements apply to my 

vessels? 

1045.25 How do the requirements related to 

evaporative emissions apply to engines 

and their fuel systems? 

1045.30 Submission of information. 

Subpart B—Emission Standards and 

Related Requirements 

1045.101 What exhaust emission standards 

and requirements must my engines 

meet? 

1045.103 What exhaust emission standards 

must my outboard and personal 

watercraft engines meet? 

1045.105 What exhaust emission standards 

must my sterndrive/inboard engines 

meet? 

1045.107 What are the not-to-exceed 

emission standards? 

1045.110 How must my engines diagnose 

malfunctions? 

1045.112 What are the standards for 

evaporative emissions? 

1045.115 What other requirements apply? 

1045.120 What emission-related warranty 

requirements apply to me? 

1045.125 What maintenance instructions 

must I give to buyers? 

1045.130 What installation instructions 

must I give to vessel manufacturers? 

1045.135 How must I label and identify the 

engines I produce? 

1045.140 What is my engine’s maximum 

engine power? 

1045.145 Are there interim provisions that 

apply only for a limited time? 

Subpart C—Certifying Engine Families 

1045.201 What are the general requirements 

for obtaining a certificate of conformity? 

1045.205 What must I include in my 

application? 

1045.210 May I get preliminary approval 

before I complete my application? 

1045.220 How do I amend the maintenance 

instructions in my application? 

1045.225 How do I amend my application 

for certification to include new or 

modified engines or change an FEL? 

1045.230 How do I select engine families? 

1045.235 What emission testing must I 

perform for my application for a 

certificate of conformity? 

1045.240 How do I demonstrate that my 

engine family complies with exhaust 

emission standards? 

1045.245 How do I determine deterioration 

factors from exhaust durability testing? 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59195 

1045.250 What records must I keep and 

what reports must I send to EPA? 

1045.255 What decisions may EPA make 

regarding my certificate of conformity? 

Subpart D—Testing Production-Line 

Engines 

1045.301 When must I test my productionline engines? 

1045.305 How must I prepare and test my 

production-line engines? 

1045.310 How must I select engines for 

production-line testing? 

1045.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

1045.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

1045.325 What happens if an engine family 

fails the production-line testing 

requirements? 

1045.330 May I sell engines from an engine 

family with a suspended certificate of 

conformity? 

1045.335 How do I ask EPA to reinstate my 

suspended certificate? 

1045.340 When may EPA revoke my 

certificate under this subpart and how 

may I sell these engines again? 

1045.345 What production-line testing 

records must I send to EPA? 

1045.350 What records must I keep? 

Subpart E—In-Use Testing 

1045.401 What testing requirements apply 

to my engines that have gone into 

service? 

1045.405 How does this program work? 

1045.410 How must I select, prepare, and 

test my in-use engines? 

1045.415 What happens if in-use engines 

do not meet requirements? 

1045.420 What in-use testing information 

must I report to EPA? 

1045.425 What records must I keep? 

Subpart F—Test Procedures 

1045.501 How do I run a valid emission 

test? 

1045.505 How do I test engines using 

discrete-mode or ramped-modal duty 

cycles? 

1045.515 What are the test procedures 

related to not-to-exceed standards? 

1045.520 What testing must I perform to 

establish deterioration factors? 

Subpart G—Special Compliance Provisions 

1045.601 What compliance provisions 

apply to these engines? 

1045.605 What provisions apply to engines 

already certified under the motor vehicle 

or Large SI programs? 

1045.610 What provisions apply to using 

engines already certified to Small SI 

emission standards? 

1045.620 What are the provisions for 

exempting engines used solely for 

competition? 

1045.625 What requirements apply under 

the Diurnal Transition Program? 

1045.630 What is the personal-use 

exemption. 

1045.635 What special provisions apply for 

small-volume engine manufacturers? 

1045.640 What special provisions apply to 

branded engines? 

1045.645 What special provisions apply for 

converting an engine to use an alternate 

fuel? 

1045.650 Do delegated-assembly provisions 

apply for marine engines? 

1045.655 What special provisions apply for 

installing and removing altitude kits? 

1045.660 How do I certify outboard or 

personal watercraft engines for use in jet 

boats? 

Subpart H—Averaging, Banking, and 

Trading for Certification 

1045.701 General provisions. 

1045.705 How do I generate and calculate 

exhaust emission credits? 

1045.706 How do I generate and calculate 

evaporative emission credits? 

1045.710 How do I average emission 

credits? 

1045.715 How do I bank emission credits? 

1045.720 How do I trade emission credits? 

1045.725 What must I include in my 

application for certification? 

1045.730 What ABT reports must I send to 

EPA? 

1045.735 What records must I keep? 

1045.745 What can happen if I do not 

comply with the provisions of this 

subpart? 

Subpart I—Definitions and Other Reference 

Information 

1045.801 What definitions apply to this 

part? 

1045.805 What symbols, acronyms, and 

abbreviations does this part use? 

1045.810 What materials does this part 

reference? 

1045.815 What provisions apply to 

confidential information? 

1045.820 How do I request a hearing? 

1045.825 What reporting and recordkeeping 

requirements apply under this part? 

Appendix I to Part 1045—Summary of 

Previous Emission Standards 

Appendix II to Part 1045—Duty Cycles for 

Propulsion Marine Engines 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—Overview and Applicability 

§ 1045.1 Does this part apply for my 

products? 

(a) Except as provided in § 1045.5, the 

regulations in this part 1045 apply as 

follows: 

(1) The requirements of this part 

related to exhaust emissions apply to 

new, spark-ignition propulsion marine 

engines beginning with the 2010 model 

year. 

(2) The requirements of this part 

related to evaporative emissions apply 

to fuel lines and fuel tanks used with 

marine engines that use a volatile liquid 

fuel (such as gasoline) as specified in 40 

CFR part 1045.112. This includes fuel 

lines and fuel tanks used with auxiliary 

marine engines. This also includes 

portable marine fuel tanks and 

associated fuel lines. 

(b) We specify optional standards for 

certifying sterndrive/inboard engines 

before the 2010 model year in 

§ 1045.145(a). Engines certified to these 

standards are subject to all the 

requirements of this part as if these 

optional standards were mandatory. 

(c) See 40 CFR part 91 for 

requirements that apply to outboard and 

personal watercraft engines not yet 

subject to the requirements of this part 

1045. 

(d) The provisions of §§ 1045.620 and 

1045.801 apply for new engines used 

solely for competition beginning 

January 1, 2010. 

§ 1045.2 Who is responsible for 

compliance? 

The requirements and prohibitions of 

this part apply to manufacturers of 

engines and fuel-system components as 

described in § 1045.1. The requirements 

of this part are generally addressed to 

manufacturers subject to this part’s 

requirements. The term ‘‘you’’ generally 

means the certifying manufacturer. For 

provisions related to exhaust emissions, 

this generally means the engine 

manufacturer, especially for issues 

related to certification (including 

production-line testing, reporting, etc.). 

For provisions related to certification 

with respect to evaporative emissions, 

this generally means the vessel 

manufacturer. Vessel manufacturers 

must meet applicable requirements as 

described in § 1045.20. Engine 

manufacturers must meet requirements 

related to evaporative emissions as 

described in § 1045.25. 

§ 1045.5 Which engines are excluded from 

this part’s requirements? 

(a) Auxiliary engines. The exhaust 

emission standards of this part do not 

apply to auxiliary marine engines. See 

40 CFR part 90, 1048, or 1054 for the 

exhaust emission standards that apply. 

Evaporative emission standards apply as 

specified in § 1045.112. 

(b) Hobby engines and vessels. This 

part does not apply with respect to 

reduced-scale models of vessels that are 

not capable of transporting a person. 

(c) Large natural gas engines. 

Propulsion marine engines powered by 

natural gas with maximum engine 

power at or above 250 kW are deemed 

to be compression-ignition engines. 

These engines are therefore subject to all 

the requirements of 40 CFR part 1042 

instead of this part even if they would 

otherwise meet the definition of ‘‘sparkignition’’ in § 1045.801. 

mstockstill on PROD1PC66 with RULES2

59196 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

§ 1045.10 How is this part organized? 

This part 1045 is divided into the 

following subparts: 

(a) Subpart A of this part defines the 

applicability of this part 1045 and gives 

an overview of regulatory requirements. 

(b) Subpart B of this part describes the 

emission standards and other 

requirements that must be met to certify 

engines under this part 1045. Note that 

§ 1045.145 discusses certain interim 

requirements and compliance 

provisions that apply only for a limited 

time. 

(c) Subpart C of this part describes 

how to apply for a certificate of 

conformity. 

(d) Subpart D of this part describes 

general provisions for testing 

production-line engines. 

(e) Subpart E of this part describes 

general provisions for testing in-use 

engines. 

(f) Subpart F of this part describes 

how to test your engines (including 

references to other parts of the Code of 

Federal Regulations). 

(g) Subpart G of this part and 40 CFR 

part 1068 describe requirements, 

prohibitions, and other provisions that 

apply to engine manufacturers, vessel 

manufacturers, owners, operators, 

rebuilders, and all others. 

(h) Subpart H of this part describes 

how you may generate and use exhaust 

and evaporative emission credits to 

certify your engines and vessels. 

(i) Subpart I of this part contains 

definitions and other reference 

information. 

§ 1045.15 Do any other CFR parts apply to 

me? 

(a) Part 1060 of this chapter describes 

standards and procedures that apply for 

controlling evaporative emissions from 

engines fueled by gasoline or other 

volatile liquid fuels and the associated 

fuel systems. See § 1045.112 for 

information about how that part applies. 

(b) Part 1065 of this chapter describes 

procedures and equipment 

specifications for testing engines to 

measure exhaust emissions. Subpart F 

of this part 1045 describes how to apply 

the provisions of part 1065 of this 

chapter to determine whether engines 

meet the exhaust emission standards in 

this part. 

(c) The requirements and prohibitions 

of part 1068 of this chapter apply to 

everyone, including anyone who 

manufactures, imports, installs, owns, 

operates, or rebuilds any of the engines 

subject to this part 1045, or vessels 

powered by these engines. Part 1068 of 

this chapter describes general 

provisions, including these seven areas: 

(1) Prohibited acts and penalties for 

engine manufacturers, vessel 

manufacturers, and others. 

(2) Rebuilding and other aftermarket 

changes. 

(3) Exclusions and exemptions for 

certain engines. 

(4) Importing engines. 

(5) Selective enforcement audits of 

your production. 

(6) Defect reporting and recall. 

(7) Procedures for hearings. 

(d) Other parts of this chapter apply 

if referenced in this part 1045. 

§ 1045.20 What requirements apply to my 

vessels? 

(a) If you manufacture vessels with 

engines certified to the exhaust 

emission standards in this part, your 

vessels must meet all emission 

standards with the engine and fuel 

system installed. 

(b) You may need to certify your 

vessels or fuel systems as described in 

40 CFR 1060.1 and 1060.601. If you 

produce vessels subject to this part 

without obtaining a certificate, you must 

still meet the requirements of 40 CFR 

1060.101(e) and (f) and keep records as 

described in 40 CFR 1060.210. 

(c) You must identify and label 

vessels you produce under this section 

consistent with the requirements of 

§ 1045.135 and 40 CFR part 1060. 

(d) You must follow all emissionrelated installation instructions from the 

certifying manufacturers as described in 

§ 1045.130 and 40 CFR 1068.105. If you 

do not follow the installation 

instructions, we may consider your 

vessel to be not covered by the 

certificates of conformity. Introduction 

of such vessels into U.S. commerce 

violates 40 CFR 1068.101. 

§ 1045.25 How do the requirements related 

to evaporative emissions apply to engines 

and their fuel systems? 

(a) Engine manufacturers must 

provide the installation instructions 

required by § 1045.130 to the ultimate 

purchasers of the engine. These 

instructions may be combined with the 

maintenance instructions required by 

§ 1045.125. 

(b) Engines sold with attached fuel 

lines or installed fuel tanks must be 

covered by the appropriate certificates 

of conformity issued under 40 CFR part 

1060. 

(c) Fuel lines intended to be used 

with new engines and new portable 

marine fuel tanks must be certified to 

the applicable requirements of 40 CFR 

part 1060. Similarly, fuel tanks intended 

to be used with new enignes must be 

certified to the applicable requirements 

of 40 CFR part 1060. 

(d) All persons installing engines 

certified under this part 1045 must 

follow the certifying manufacturer’s 

emission-related installation 

instructions (see § 1045.130 and 40 CFR 

1068.105). 

§ 1045.30 Submission of information. 

(a) This part includes various 

requirements to record data or other 

information. Refer to § 1045.825 and 40 

CFR 1068.25 regarding recordkeeping 

requirements. If recordkeeping 

requirements are not specified, store 

these records in any format and on any 

media and keep them readily available 

for one year after you send an associated 

application for certification, or one year 

after you generate the data if they do not 

support an application for certification. 

You must promptly send us organized, 

written records in English if we ask for 

them. We may review them at any time. 

(b) The regulations in § 1045.255 and 

40 CFR 1068.101 describe your 

obligation to report truthful and 

complete information and the 

consequences of failing to meet this 

obligation. This includes information 

not related to certification. 

(c) Send all reports and requests for 

approval to the Designated Compliance 

Officer (see § 1045.801). 

(d) Any written information we 

require you to send to or receive from 

another company is deemed to be a 

required record under this section. Such 

records are also deemed to be 

submissions to EPA. We may require 

you to send us these records whether or 

not you are a certificate holder. 

Subpart B—Emission Standards and 

Related Requirements 

§ 1045.101 What exhaust emission 

standards and requirements must my 

engines meet? 

(a) You must show that your engines 

meet the following requirements: 

(1) Outboard and personal watercraft 

engines must meet the exhaust emission 

standards specified in § 1045.103. 

(2) Sterndrive/inboard engines must 

meet the exhaust emission standards 

specified in § 1045.105. You may 

optionally meet these standards earlier 

than we require, as specified in 

§ 1045.145(b). 

(3) Sterndrive/inboard engines must 

meet the engine-diagnostic requirements 

in § 1045.110. 

(4) All engines must meet the 

requirements in § 1045.115. 

(b) It is important that you read 

§ 1045.145 to determine if there are 

other interim requirements or interim 

compliance provisions that apply for a 

limited time. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59197 

§ 1045.103 What exhaust emission 

standards must my outboard and personal 

watercraft engines meet? 

(a) Duty-cycle emission standards. 

Starting in the 2010 model year, exhaust 

emissions from your outboard and 

personal watercraft engines may not 

exceed emission standards as follows: 

(1) Measure emissions using the 

applicable steady-state test procedures 

described in subpart F of this part. 

(2) The exhaust emission standards 

from the following table apply: 

TABLE 1 TO § 1045.103—EMISSION STANDARDS FOR OUTBOARD AND PERSONAL WATERCRAFT ENGINES (g/kW-hr) 

Pollutant Power 1 Emission standard 

HC + NOX .................................................................... P ≤ 4.3 kW ...................................................................

P > 4.3 kW ..................................................................

30.0 

2.1 + 0.09 × (151 + 557/P0.9) 

CO ............................................................................... P ≤ 40 kW ....................................................................

P > 40 kW ...................................................................

500 ¥ 5.0 × P 

300 

1Power (P) = maximum engine power for the engine family, in kilowatts (kW). 

(3) For engines whose standard 

depends on maximum engine power, 

round the calculated HC+NOX emission 

standard to the nearest 0.1 g/kW-hr; 

round the calculated CO emission 

standard to the nearest g/kW-hr. 

Determine maximum engine power for 

the engine family as described in 

§ 1045.140. 

(b) Averaging, banking, and trading. 

You may generate or use emission 

credits under the averaging, banking, 

and trading (ABT) program described in 

subpart H of this part for demonstrating 

compliance with HC+NOX emission 

standards. For CO emissions, you may 

generate or use emission credits for 

averaging as described in subpart H of 

this part, but not for banking or trading. 

To generate or use emission credits, you 

must specify a family emission limit for 

each pollutant you include in the ABT 

program for each engine family. These 

family emission limits serve as the 

emission standards for the engine family 

with respect to all required testing 

instead of the standards specified in this 

section. An engine family meets 

emission standards even if its family 

emission limit is higher than the 

standard, as long as you show that the 

whole averaging set of applicable engine 

families meets the emission standards 

using emission credits and the engines 

within the family meet the family 

emission limit. The following FEL caps 

apply: 

(1) For engines with maximum engine 

power at or below 4.3 kW, the 

maximum value of the family emission 

limit for HC+NOX is 81.0 g/kW-hr. For 

all other engines, the maximum value of 

the family emission limit for HC+NOX is 

defined by the following formula, with 

results rounded to the nearest 0.1 g/kWhr: 

FEL

P max,HC NOx . . . + =+ ⋅ + 



 



 6 0 0 25 151 557

0 9

(2) For engines with maximum engine 

power above 40 kW, the maximum 

value of the family emission limit for 

CO is 450 g/kW-hr. For all other 

engines, the maximum value is defined 

by the following formula, with results 

rounded to the nearest g/kW-hr: 

FELmax,CO = 650 ¥ 5.0 × P 

(c) Not-to-exceed emission standards. 

Exhaust emissions may not exceed the 

not-to-exceed standards specified in 

§ 1045.107. 

(d) Fuel types. The exhaust emission 

standards in this section apply for 

engines using the fuel type on which the 

engines in the engine family are 

designed to operate. You must meet the 

numerical emission standards for 

hydrocarbons in this section based on 

the following types of hydrocarbon 

emissions for engines powered by the 

following fuels: 

(1) Alcohol-fueled engines: THCE 

emissions. 

(2) Natural gas-fueled engines: NMHC 

emissions. 

(3) Other engines: THC emissions. 

(e) Useful life. Your engines must 

meet the exhaust emission standards in 

paragraphs (a) through (c) of this section 

over the full useful life as follows: 

(1) For outboard engines, the 

minimum useful life is 350 hours of 

engine operation or 10 years, whichever 

comes first. 

(2) For personal watercraft engines, 

the minimum useful life is 350 hours of 

engine operation or 5 years, whichever 

comes first. 

(3) You must specify a longer useful 

life in terms of hours for the engine 

family if the average service life of your 

vehicles is longer than the minimum 

value, as follows: 

(i) Except as allowed by paragraph 

(e)(3)(ii) of this section, your useful life 

(in hours) may not be less than either of 

the following: 

(A) Your projected operating life from 

advertisements or other marketing 

materials for any engines in the engine 

family. 

(B) Your basic mechanical warranty 

for any engines in the engine family. 

(ii) Your useful life may be based on 

the average service life of vehicles in the 

engine family if you show that the 

average service life is less than the 

useful life required by paragraph 

(e)(3)(i) of this section, but more than 

the minimum useful life (350 hours of 

engine operation). In determining the 

actual average service life of vehicles in 

an engine family, we will consider all 

available information and analyses. 

Survey data is allowed but not required 

to make this showing. 

(f) Applicability for testing. The dutycycle emission standards in this subpart 

apply to all testing performed according 

to the procedures in § 1045.505, 

including certification, production-line, 

and in-use testing. The not-to-exceed 

standards apply for all testing 

performed according to the procedures 

of subpart F of this part. 

§ 1045.105 What exhaust emission 

standards must my sterndrive/inboard 

engines meet? 

(a) Duty-cycle emission standards. 

Starting in the 2010 model year, exhaust 

emissions from your sterndrive/inboard 

engines may not exceed emission 

standards as follows: 

(1) Measure emissions using the 

applicable steady-state test procedures 

described in subpart F of this part. 

(2) For conventional sterndrive/ 

inboard engines, the HC+NOX emission 

standard is 5.0 g/kW-hr and the CO 

emission standard is 75.0 g/kW-hr. 

(3) The exhaust emission standards 

from the following table apply for highperformance engines: 

TABLE 1 TO § 1045.105—EMISSION

STANDARDS FOR HIGH-PERFORMANCE ENGINES (g/kW-hr) 

Model 

year Power 1 HC+NOX CO 

2010 .... P≤ 485 kW 

P> 485 kW 

20.0 

25.0 

350 

350 


mstockstill on PROD1PC66 with RULES2ER08OC08.088</MATH>
59198 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

TABLE 1 TO § 1045.105—EMISSION

STANDARDS FOR HIGH-PERFORMANCE ENGINES (g/kW-hr)—Continued 

Model 

year Power 1 HC+NOX CO 

2011+ .. P≤ 485 kW 

P> 485 kW 

16.0 

22.0 

350 

350 

1Power (P) = maximum engine power in 

kilowatts (kW). 

(b) Averaging, banking, and trading. 

You may not generate or use emission 

credits for high-performance engines. 

You may generate or use emission 

credits under the averaging, banking, 

and trading (ABT) program described in 

subpart H of this part for demonstrating 

compliance with HC+NOX and CO 

emission standards for conventional 

sterndrive-inboard engines. To generate 

or use emission credits, you must 

specify a family emission limit for each 

pollutant you include in the ABT 

program for each engine family. These 

family emission limits serve as the 

emission standards for the engine family 

with respect to all required testing 

instead of the standards specified in this 

section. An engine family meets 

emission standards even if its family 

emission limit is higher than the 

standard, as long as you show that the 

whole averaging set of applicable engine 

families meets the emission standards 

using emission credits and the engines 

within the family meet the family 

emission limit. Family emission limits 

for conventional sterndrive/inboard 

engines may not be higher than 16.0 g/ 

kW-hr for HC+NOX and 150 g/kW-hr for 

CO except as specified in § 1045.145(c). 

(c) Not-to-exceed emission standards. 

Exhaust emissions may not exceed the 

not-to-exceed standards specified in 

§ 1045.107 for conventional sterndrive/ 

inboard engines. These standards do not 

apply for high-performance engines. 

(d) Fuel types. The exhaust emission 

standards in this section apply for 

engines using the fuel type on which the 

engines in the engine family are 

designed to operate. You must meet the 

numerical emission standards for 

hydrocarbons in this section based on 

the following types of hydrocarbon 

emissions for engines powered by the 

following fuels: 

(1) Alcohol-fueled engines: THCE 

emissions. 

(2) Natural gas-fueled engines: NMHC 

emissions. 

(3) Other engines: THC emissions. 

(e) Useful life. Your engines must 

meet the exhaust emission standards in 

paragraphs (a) through (c) of this section 

over their full useful life, as follows: 

(1) For high-performance engines with 

maximum engine power above 485 kW, 

the useful life is 50 hours of operation 

or 1 year, whichever comes first. For 

high-performance engines with 

maximum engine power at or below 485 

kW, the useful life is 150 hours of 

operation or 3 years, whichever comes 

first. 

(2) For conventional sterndrive/ 

inboard engines, the minimum useful 

life is 480 hours of operation or ten 

years, whichever comes first. However, 

you may request in your application for 

certification that we approve a shorter 

useful life for an engine family. We may 

approve a shorter useful life, in hours of 

engine operation but not in years, if we 

determine that these engines will rarely 

operate longer than the shorter useful 

life. If engines identical to those in the 

engine family have already been 

produced and are in use, your 

demonstration must include 

documentation from such in-use 

engines. In other cases, your 

demonstration must include an 

engineering analysis of information 

equivalent to such in-use data, such as 

data from research engines or similar 

engine models that are already in 

production. Your demonstration must 

also include any overhaul interval that 

you recommend, any mechanical 

warranty that you offer for the engine or 

its components, and any relevant 

customer design specifications. Your 

demonstration may include any other 

relevant information. The useful life 

value may not be shorter than any of the 

following: 

(i) 150 hours of operation. 

(ii) Your recommended overhaul 

interval. 

(iii) Your mechanical warranty for the 

engine. 

(3) You must specify a longer useful 

life for conventional sterndrive/inboard 

engines in terms of hours if the average 

service life of engines from the engine 

family is longer than the minimum 

useful life value, as follows: 

(i) Except as allowed by paragraph 

(e)(3)(ii) of this section, your useful life 

(in hours) may not be less than either of 

the following: 

(A) Your projected operating life from 

advertisements or other marketing 

materials for any engines in the engine 

family. 

(B) Your basic mechanical warranty 

for any engines in the engine family. 

(ii) Your useful life may be based on 

the average service life of engines in the 

engine family if you show that the 

average service life is less than the 

useful life required by paragraph 

(e)(3)(i) of this section, but more than 

the minimum useful life (480 hours of 

engine operation). In determining the 

actual average service life of engines in 

an engine family, we will consider all 

available information and analyses. 

Survey data is allowed but not required 

to make this showing. 

(f) Applicability for testing. The dutycycle emission standards in this section 

apply to all testing performed according 

to the procedures in § 1045.505, 

including certification, production-line, 

and in-use testing. The not-to-exceed 

standards apply for all testing 

performed according to the procedures 

of subpart F of this part. 

§ 1045.107 What are the not-to-exceed 

emission standards? 

Not-to-exceed emission standards 

apply as follows: 

(a) Measure emissions using the notto-exceed procedures in subpart F of 

this part: 

(b) Determine the not-to-exceed 

standard, rounded to the same number 

of decimal places as the emission 

standard in Table 1 to this section from 

the following equation: 

Not-to-exceed standard = (STD) × (M) 

Where: 

STD = The standard specified in paragraph 

(a) of this section if you certify without 

using ABT for that pollutant; or the FEL 

for that pollutant if you certify using 

ABT. 

M = The NTE multiplier for that pollutant, 

as defined in paragraphs (c) through (e) 

of this section. 

(c) For engines equipped with a 

catalyst, use NTE multipliers from the 

following table across the applicable 

zone specified in § 1045.515: 

TABLE 1 TO § 1045.107—NTE MULTIPLIERS FOR CATALYST-EQUIPPED

ENGINES

Pollutant Subzone 1 Subzone 2 

HC+NOX ............... 1.50 1.00 

CO ........................ N/A 1.00 

(d) For two-stroke engines not 

equipped with a catalyst, use an NTE 

multiplier of 1.2 for HC+NOX and CO. 

Compare the weighted value specified 

in § 1045.515(c)(5) to the NTE standards 

specified in paragraph (b) of this 

section. 

(e) For engines not covered by 

paragraphs (c) and (d) of this section, 

use the NTE multipliers from the 

following table across the applicable 

zone specified in § 1045.515: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59199 

TABLE 2 TO § 1045.107—NTE MULTIPLIERS FOR FOUR-STROKE ENGINES

WITHOUT CATALYSTS

Pollutant Subzone 1 Subzone 2 

HC+NOX ............... 1.40 1.60 

CO ........................ 1.50 1.50 

§ 1045.110 How must my engines 

diagnose malfunctions? 

The following engine-diagnostic 

requirements apply for engines 

equipped with three-way catalysts and 

closed-loop control of air-fuel ratios: 

(a) Equip your engines with a 

diagnostic system. Equip each engine 

with a diagnostic system that will detect 

significant malfunctions in its emission 

control system using one of the 

following protocols: 

(1) If your emission control strategy 

depends on maintaining air-fuel ratios 

at stoichiometry, an acceptable 

diagnostic design would identify a 

malfunction whenever the air-fuel ratio 

does not cross stoichiometry for one 

minute of intended closed-loop 

operation. You may use other diagnostic 

strategies if we approve them in 

advance. 

(2) If the protocol described in 

paragraph (a)(1) of this section does not 

apply to your engine, you must use an 

alternative approach that we approve in 

advance. Your alternative approach 

must generally detect when the 

emission control system is not 

functioning properly. 

(3) Diagnostic systems approved by 

the California Air Resources Board for 

use with sterndrive/inboard engines 

fully satisfy the requirements of this 

section. 

(b) Use a malfunction indicator. The 

malfunction indicator must be designed 

such that the operator can readily see or 

hear it; visible signals may be any color 

except red. Visible malfunction 

indicators must display ‘‘Check 

Engine,’’ ‘‘Service Engine Soon,’’ or a 

similar message that we approve. The 

malfunction indicator must go on under 

each of the following 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 malfunction indicator 

should turn off after engine starting if 

the system detects no malfunction. 

(c) Control when the malfunction can 

turn off. If the malfunction indicator 

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 malfunction 

indicator 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 

activate the malfunction indicator. The 

stored codes must identify the 

malfunctioning system or component as 

uniquely as possible. Make these codes 

available through the data link 

connector as described in paragraph (g) 

of this section. You may store codes for 

conditions that do not activate the 

malfunction indicator. 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. 

(g) Follow standard references for 

formats, codes, and connections. Follow 

conventions defined in SAE J1939–05 

(incorporated by reference in 

§ 1045.810) or ask us to approve using 

updated versions of (or variations from) 

this standard. 

§ 1045.112 What are the standards for 

evaporative emissions? 

Fuel systems must meet the 

evaporative emission requirements of 40 

CFR part 1060 as specified in this 

section. These standards apply over a 

useful life period of five years for 

personal watercraft and ten years for all 

other vessels and for portable marine 

fuel tanks. 

(a) Fuel line permeation. Nonmetal 

fuel lines must meet the permeation 

requirements specified in 40 CFR 

1060.102 for EPA NRFL fuel lines as 

described in this paragraph (a). 

(1) Except as specified in paragraphs 

(a)(2) and (3) of this section, the 

emission standard for fuel lines starts 

for vessels or portable marine fuel tanks 

with a date of manufacture on or after 

January 1, 2009. 

(2) The emission standard for primer 

bulbs applies starting January 1, 2011. 

(3) The emission standard for undercowl fuel lines used with outboard 

engines apply over a phase-in period as 

specified in this paragraph (a)(3). 

(i) Except as specified in paragraph 

(a)(3)(ii) of this section, the phase-in 

period is based on total length of fuel 

lines as specified in Table 1 to this 

section. For example, at least 30 percent 

of the length of under-cowl fuel lines 

used on your full lineup of 2010 model 

year outboard engines must meet the 

specified permeation standards. See 

§ 1045.145(k) for administrative 

requirements related to this phase-in. 

TABLE 1 TO § 1045.112—PHASE-IN

SCHEDULE FOR UNDER-COWL FUEL

LINES ON OUTBOARD ENGINES

Model year Percentage 

phase-in 

2010 .......................................... 30 

2011 .......................................... 60 

2012–2014 ................................ 90 

2015+ ........................................ 100 

(ii) You may instead meet the 

permeation standards of this paragraph 

(a) by complying with the specified 

standards with 100 percent of your 

under-cowl fuel lines across your full 

lineup of 2011 model year outboard 

engines. In this case, the requirements 

of this part would not apply to undercowl fuel lines before the 2011 model 

year. To use this option, you must notify 

the Designated Compliance Officer 

before December 31, 2009 of your intent 

to meet permeation standards on all 

your under-cowl fuel lines in the 2011 

model year. 

(b) Tank permeation. Fuel tanks must 

meet the permeation requirements 

specified in 40 CFR 1060.103. Portable 

marine fuel tanks must meet permeation 

standards starting January 1, 2011. Fuel 

tanks for personal watercraft must meet 

permeation standards starting in the 

2011 model year. Other installed fuel 

tanks must meet permeation standards 

starting in the 2012 model year. Vessel 

manufacturers may generate or use 

emission credits to show compliance 

with the requirements of this paragraph 

under the averaging, banking, and 

trading (ABT) program, as described in 

subpart H of this part. Starting in the 

2014 model year for personal watercraft 

and in the 2015 model year for other 

mstockstill on PROD1PC66 with RULES2

59200 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

installed fuel tanks, family emission 

limits may not exceed 5.0 g/m2/day if 

testing occurs at a nominal temperature 

of 28 °C, or 8.3 g/m2/day if testing 

occurs at a nominal temperature of 40 

°C. These FEL caps do not apply to fuel 

caps that are certified separately to meet 

permeation standards. Portable marine 

fuel tank manufacturers may not 

generate or use emission credits under 

subpart H of this part. 

(c) Running loss. The running loss 

requirements specified in 40 CFR part 

1060 do not apply. 

(d) Diurnal emissions. Installed fuel 

tanks must meet the diurnal emission 

requirements specified in 40 CFR 

1060.105. Fuel tanks for personal 

watercraft must meet diurnal emission 

standards starting in the 2010 model 

year. Other installed fuel tanks must 

meet diurnal emission standards for 

vessels produced on or after July 31, 

2011, except as allowed by § 1045.625. 

Fuel tanks meeting the definition of 

portable marine fuel tank in § 1045.801 

must comply with the diurnal 

requirements specified in 40 CFR part 

1060 starting January 1, 2010. 

(e) Other requirements. The 

requirements of 40 CFR 1060.101(e) and 

(f) apply to vessel manufacturers even if 

they do not obtain a certificate. 

(f) Engine manufacturers. To the 

extent that engine manufacturers 

produce engines with fuel lines or fuel 

tanks, those fuel-system components 

must meet the requirements specified in 

this section. The timing of new 

standards is based on the date of 

manufacture of the engine. 

§ 1045.115 What other requirements 

apply? 

The following requirements apply 

with respect to engines that are required 

to meet the emission standards of this 

part: 

(a) Crankcase emissions. Crankcase 

emissions may not be discharged 

directly into the ambient atmosphere 

from any engine throughout its useful 

life. 

(b) Torque broadcasting. Starting in 

the 2013 model year, electronically 

controlled engines must broadcast their 

speed and output shaft torque (in 

newton-meters). Engines may 

alternatively broadcast a surrogate value 

for determining torque. Engines must 

broadcast engine parameters such that 

they can be read with a remote device, 

or broadcast them directly to their 

controller area networks. Your 

broadcasting protocol must allow for 

valid measurements using the fieldtesting procedures in 40 CFR part 1065, 

subpart J. 

(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) Altitude adjustments. Engines 

must meet applicable emission 

standards for valid tests conducted 

under the ambient conditions specified 

in 40 CFR 1065.520. Engines must meet 

applicable emission standards at all 

specified atmospheric pressures, except 

that for atmospheric pressures below 

94.0 kPa you may rely on an altitude kit 

for all testing if you meet the 

requirements specified in § 1054.205(s). 

If your rely on an altitude kit for 

certification, you must identify in the 

owners manual the altitude range for 

which you expect proper engine 

performance and emission control with 

and without the altitude kit; you must 

also state in the owners manual that 

operating the engine with the wrong 

engine configuration at a given altitude 

may increase its emissions and decrease 

fuel efficiency and performance. 

(e) Adjustable parameters. Engines 

that have adjustable parameters must 

meet all the requirements of this part for 

any adjustment in the physically 

adjustable range. An operating 

parameter is not considered adjustable if 

you permanently seal it or if it is not 

normally accessible using ordinary 

tools. We may require that you set 

adjustable parameters to any 

specification within the adjustable range 

during any testing, including 

certification testing, production-line 

testing, or in-use testing. 

(f) Prohibited controls. You may not 

design your engines with 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 emission 

control device that reduces the 

effectiveness of emission controls under 

conditions that the engine may 

reasonably be expected to encounter 

during normal operation and use. This 

does not apply for altitude kits installed 

or removed consistent with § 1045.655. 

This also does not apply to auxiliary 

emission control devices you identify in 

your application for certification if any 

of the following is true: 

(1) The conditions of concern were 

substantially included in the applicable 

duty-cycle test procedures described in 

subpart F of this part. 

(2) You show your design is necessary 

to prevent engine (or vessel) damage or 

accidents. For example, you may design 

your engine to include emergency 

operating modes (sometimes known as 

limp-home operation) that would allow 

a vessel to return to land in the event 

of a malfunction even if such operating 

modes result in higher emissions. 

(3) The reduced effectiveness applies 

only to starting the engine. 

§ 1045.120 What emission-related warranty 

requirements apply to me? 

(a) General requirements. You must 

warrant to the ultimate purchaser and 

each subsequent purchaser that the new 

engine, including all parts of its 

emission control system, meets two 

conditions: 

(1) It is designed, built, and equipped 

so it conforms at the time of sale to the 

ultimate purchaser with the 

requirements of this part. 

(2) It is free from defects in materials 

and workmanship that may keep it from 

meeting these requirements. 

(b) Warranty period. Your emissionrelated warranty must be valid during 

the periods specified in this paragraph 

(b). You may offer an emission-related 

warranty more generous than we 

require. The emission-related warranty 

for an engine may not be shorter than 

any published warranty you offer 

without charge for that engine. 

Similarly, the emission-related warranty 

for any component may not be shorter 

than any published warranty you offer 

without charge for that component. If an 

engine has no hour meter, we base the 

warranty periods in this paragraph (b) 

only on the engine’s age (in years). The 

warranty period begins when the engine 

is placed into service. 

(1) The minimum warranty period for 

outboard engines is 175 hours of engine 

operation or 5 years, whichever comes 

first. The minimum warranty period for 

personal watercraft engines is 175 hours 

of engine operation or 30 months, 

whichever comes first. 

(2) The minimum warranty period for 

sterndrive/inboard engines is shown in 

the following table: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59201 

TABLE 1 TO § 1045.120—WARRANTY PERIODS FOR STERNDRIVE/INBOARD ENGINES 1

Engine type Electronic components Mechanical 

components 

Conventional ........................................................................................................... 3 years/480 hours .................................. 3 years/480 hours. 

High-performance with maximum engine power at or below 485 kW ................... 3 years/480 hours .................................. 3 years/150 hours. 

High-performance with maximum engine power above 485 kW ............................ 3 years/480 hours .................................. 1 year/50 hours. 

1The warranty period expires after the specified time period or number of operating hours, whichever comes first. 

(c) Components covered. The 

emission-related warranty covers all 

components whose failure would 

increase an engine’s emissions of any 

regulated pollutant, including 

components listed in 40 CFR part 1068, 

Appendix I, and components from any 

other system you develop to control 

emissions. The emission-related 

warranty covers these components even 

if another company produces the 

component. Your emission-related 

warranty does not cover components 

whose failure would not increase an 

engine’s emissions of any regulated 

pollutant. 

(d) Limited applicability. You may 

deny warranty claims under this section 

if the operator caused the problem 

through improper maintenance or use, 

as described in 40 CFR 1068.115. 

(e) Owners manual. Describe in the 

owners manual the emission-related 

warranty provisions from this section 

that apply to the engine. 

§ 1045.125 What maintenance instructions 

must I give to buyers? 

Give the ultimate purchaser of each 

new engine written instructions for 

properly maintaining and using the 

engine, including the emission control 

system as described in this section. The 

maintenance instructions also apply to 

service accumulation on your emissiondata engines as described in § 1045.245 

and in 40 CFR part 1065. 

(a) Critical emission-related 

maintenance. Critical emission-related 

maintenance includes any adjustment, 

cleaning, repair, or replacement of 

critical emission-related components. 

This may also include additional 

emission-related maintenance that you 

determine is critical if we approve it in 

advance. You may schedule critical 

emission-related maintenance on these 

components if you meet the following 

conditions: 

(1) You demonstrate that the 

maintenance is reasonably likely to be 

done at the recommended intervals on 

in-use engines. We will accept 

scheduled maintenance as reasonably 

likely to occur if you satisfy any of the 

following conditions: 

(i) You present data showing that any 

lack of maintenance that increases 

emissions also unacceptably degrades 

the engine’s performance. 

(ii) You present survey data showing 

that at least 80 percent of engines in the 

field get the maintenance you specify at 

the recommended intervals. 

(iii) You provide the maintenance free 

of charge and clearly say so in your 

maintenance instructions. 

(iv) You otherwise show us that the 

maintenance is reasonably likely to be 

done at the recommended intervals. 

(2) You may not schedule critical 

emission-related maintenance within 

the useful life period for aftertreatment 

devices, pulse-air valves, fuel injectors, 

oxygen sensors, electronic control units, 

superchargers, or turbochargers, except 

as specified in paragraph (b) or (c) of 

this section. 

(b) Recommended additional 

maintenance. You may recommend any 

additional amount of maintenance on 

the components listed in paragraph (a) 

of this section, as long as you state 

clearly that these maintenance steps are 

not necessary to keep the emissionrelated warranty valid. If operators do 

the maintenance specified in paragraph 

(a) of this section, but not the 

recommended additional maintenance, 

this does not allow you to disqualify 

those engines from in-use testing or 

deny a warranty claim. Do not take 

these maintenance steps during service 

accumulation on your emission-data 

engines. 

(c) Special maintenance. You may 

specify more frequent maintenance to 

address problems related to special 

situations, such as atypical engine 

operation. You must clearly state that 

this additional maintenance is 

associated with the special situation you 

are addressing. 

(d) Noncritical emission-related 

maintenance. Subject to the provisions 

of this paragraph (d), you may schedule 

any amount of emission-related 

inspection or maintenance that is not 

covered by paragraph (a) of this section 

(i.e., maintenance that is neither 

explicitly identified as critical emissionrelated maintenance, nor that we 

approve as critical emission-related 

maintenance). Noncritical emissionrelated maintenance generally includes 

changing spark plugs, re-seating valves, 

or any other emission-related 

maintenance on the components we 

specify in 40 CFR part 1068, Appendix 

I that is not covered in paragraph (a) of 

this section. You must state in the 

owners manual that these steps are not 

necessary to keep the emission-related 

warranty valid. If operators fail to do 

this maintenance, this does not allow 

you to disqualify those engines from inuse testing or deny a warranty claim. Do 

not take these inspection or 

maintenance steps during service 

accumulation on your emission-data 

engines. 

(e) Maintenance that is not 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 emissiondata engines, as long as they are 

reasonable and technologically 

necessary. This might include adding 

engine oil, changing air, fuel, or oil 

filters, servicing engine-cooling systems, 

and adjusting idle speed, governor, 

engine bolt torque, valve lash, or 

injector lash. You may perform this 

nonemission-related maintenance on 

emission-data engines at the least 

frequent intervals that you recommend 

to the ultimate purchaser (but not the 

intervals recommended for severe 

service). 

(f) Source of parts and repairs. State 

clearly on the first page of your written 

maintenance instructions that a repair 

shop or person of the owner’s choosing 

may maintain, replace, or repair 

emission control devices and systems. 

Your instructions may not require 

components or service identified by 

brand, trade, or corporate name. Also, 

do not directly or indirectly condition 

your warranty on a requirement that the 

engine be serviced by your franchised 

dealers or any other service 

establishments with which you have a 

commercial relationship. You may 

disregard the requirements in this 

paragraph (f) if you do one of two 

things: 

(1) Provide a component or service 

without charge under the purchase 

agreement. 

mstockstill on PROD1PC66 with RULES2

59202 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(2) Get us to waive this prohibition in 

the public’s interest by convincing us 

the engine will work properly only with 

the identified component or service. 

(g) Payment for scheduled 

maintenance. Owners are responsible 

for properly maintaining their engines. 

This generally includes paying for 

scheduled maintenance. However, 

manufacturers must pay for scheduled 

maintenance during the useful life if it 

meets all the following criteria: 

(1) Each affected component was not 

in general use on similar engines before 

the applicable dates shown in paragraph 

(5) of the definition of new propulsion 

marine engine in § 1045.801. 

(2) The primary function of each 

affected component is to reduce 

emissions. 

(3) The cost of the scheduled 

maintenance is more than 2 percent of 

the price of the engine. 

(4) Failure to perform the 

maintenance would not cause clear 

problems that would significantly 

degrade the engine’s performance. 

(h) Owners manual. Explain the 

owner’s responsibility for proper 

maintenance in the owners manual. 

§ 1045.130 What installation instructions 

must I give to vessel manufacturers? 

(a) If you sell an engine for someone 

else to install in a vessel, give the engine 

installer instructions for installing it 

consistent with the requirements of this 

part. Include all information necessary 

to ensure that an engine will be 

installed in its certified configuration. 

(b) Make sure the 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 vessel violates federal law 

(40 CFR 1068.105(b)), subject to fines or 

other penalties as described in the Clean 

Air Act.’’ 

(3) Describe the instructions needed 

to properly install the exhaust system 

and any other components. Include 

instructions consistent with the 

requirements of § 1045.205(u) related to 

in-use measurement and the 

requirements of § 1045.655 related to 

altitude kits. 

(4) Describe the steps needed to 

control evaporative emissions as 

described in § 1045.112. This will 

generally require notification that the 

installer and/or vessel manufacturer 

must meet the requirements of 

§ 1045.112 and 40 CFR part 1060. 

(5) Describe any necessary steps for 

installing the diagnostic system 

described in § 1045.110. 

(6) Describe any limits on the range of 

applications needed to ensure that the 

engine operates consistently with your 

application for certification. For 

example, if your engines are certified 

only for personal watercraft, tell vessel 

manufacturers not to install the engines 

in vessels longer than 4.0 meters. 

(7) Describe any other instructions to 

make sure the installed engine will 

operate according to design 

specifications in your application for 

certification. For example, this may 

include specified limits for catalyst 

systems, such as exhaust backpressure, 

catalyst location, and temperature 

profiles during engine operation. 

(8) State: ‘‘If you install the engine in 

a way that makes the engine’s emission 

control information label hard to read 

during normal engine maintenance, you 

must place a duplicate label on the 

vessel, as described in 40 CFR 

1068.105.’’ 

(c) You do not need installation 

instructions for engines you install in 

your own vessels. 

(d) Provide instructions in writing or 

in an equivalent format. For example, 

you may post instructions on a publicly 

available Web site for downloading or 

printing. If you do not provide the 

instructions in writing, explain in your 

application for certification how you 

will ensure that each installer is 

informed of the installation 

requirements. 

§ 1045.135 How must I label and identify 

the engines I produce? 

The provisions of this section apply to 

engine manufacturers. 

(a) Assign each engine a unique 

identification number and permanently 

affix, engrave, or stamp it on the engine 

in a legible way. 

(b) At the time of manufacture, affix 

a permanent and legible label 

identifying each engine. The label must 

be— 

(1) Attached in one piece so it is not 

removable without being destroyed or 

defaced. 

(2) Secured to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(3) Durable and readable for the 

engine’s entire life. 

(4) Written in English. 

(c) The label must— 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. You may identify 

another company and use its trademark 

instead of yours if you comply with the 

provisions of § 1045.640. 

(3) Include EPA’s standardized 

designation for the engine family (and 

subfamily, where applicable). 

(4) State the engine’s displacement (in 

liters) and maximum engine power (in 

kW); however, you may omit the 

displacement from the label if all the 

engines in the engine family have the 

same per-cylinder displacement and 

total displacement. 

(5) State the date of manufacture 

[DAY (optional), MONTH, and YEAR]; 

however, you may omit this from the 

label if you stamp, engrave, or otherwise 

permanently identify it elsewhere on 

the engine, in which case you must also 

describe in your application for 

certification where you will identify the 

date on the engine. 

(6) State the FELs to which the 

engines are certified (in g/kW-hr) if 

certification depends on the ABT 

provisions of subpart H of this part. 

(7) Identify the emission control 

system. Use terms and abbreviations as 

described in 40 CFR 1068.45. You may 

omit this information from the label if 

there is not enough room for it and you 

put it in the owners manual instead. 

(8) List specifications and adjustments 

for engine tuneups; however, you may 

omit this information from the label if 

there is not enough room for it and you 

put it in the owners manual instead. 

(9) Identify the fuel type and any 

requirements for fuel and lubricants; 

however, you may omit this information 

from the label if there is not enough 

room for it and you put it in the owners 

manual instead. 

(10) State: ‘‘THIS MARINE ENGINE 

COMPLIES WITH U.S. EPA EXHAUST 

REGULATIONS FOR [MODEL YEAR].’’ 

(11) If your durability demonstration 

for sterndrive/inboard engines is limited 

to fresh water, state: ‘‘THIS ENGINE IS 

NOT INTENDED FOR USE IN 

SALTWATER.’’ 

(d) You may add information to the 

emission control information label as 

follows: 

(1) You may identify other emission 

standards that the engine meets or does 

not meet (such as California standards). 

You may include this information by 

adding it to the statement we specify or 

by including a separate statement. 

(2) You may add other information to 

ensure that the engine will be properly 

maintained and used. 

(3) You may add appropriate features 

to prevent counterfeit labels. For 

example, you may include the engine’s 

unique identification number on the 

label. 

(e) You may ask us to approve 

modified labeling requirements in this 

part 1045 if you show that it is 

necessary or appropriate. We will 

approve your request if your alternate 

label is consistent with the requirements 

of this part. 

(f) If you obscure the engine label 

while installing the engine in the vessel 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59203 

such that the label cannot be read 

during normal maintenance, you must 

place a duplicate label on the vessel. If 

others install your engine in their 

vessels in a way that obscures the 

engine label, we require them to add a 

duplicate label on the vessel (see 40 

CFR 1068.105); in that case, give them 

the number of duplicate labels they 

request and keep the following records 

for at least five years: 

(1) Written documentation of the 

request from the vessel manufacturer. 

(2) The number of duplicate labels 

you send for each engine family and the 

date you sent them. 

§ 1045.140 What is my engine’s maximum 

engine power? 

(a) An engine configuration’s 

maximum engine power is the 

maximum brake power point on the 

nominal power curve for the engine 

configuration, as defined in this section. 

Round the power value to the nearest 

whole kilowatt. 

(b) The nominal power curve of an 

engine configuration is the relationship 

between maximum available engine 

brake power and engine speed for an 

engine, using the mapping procedures 

of 40 CFR part 1065, based on the 

manufacturer’s design and production 

specifications for the engine. This 

information may also be expressed by a 

torque curve that relates maximum 

available engine torque with engine 

speed. 

(c) The nominal power curve must be 

within the range of the actual power 

curves of production engines 

considering normal production 

variability. If after production begins it 

is determined that your nominal power 

curve does not represent production 

engines, we may require you to amend 

your application for certification under 

§ 1045.225. 

(d) Maximum engine power for an 

engine family is generally the weighted 

average value of maximum engine 

power of each engine configuration 

within the engine family based on your 

total U.S.-directed production volume of 

engines you produce from the engine 

family. However, alternative approaches 

for defining an engine family’s 

maximum engine power apply in the 

following circumstances: 

(1) For outboard or personal 

watercraft engines for which you neither 

generate nor use emission credits, you 

may identify the greatest value for 

maximum engine power from all the 

different configurations within the 

engine family to determine the 

appropriate emission standard under 

§ 1045.103. 

(2) For high-performance engines, you 

must use the smallest value for 

maximum engine power from all the 

different configurations within the 

engine family to determine the 

standards and other requirements that 

apply under this subpart B. 

§ 1045.145 Are there interim provisions 

that apply only for a limited time? 

The provisions in this section apply 

instead of other provisions in this part. 

This section describes how and when 

these interim provisions apply. 

(a) Small-volume engine 

manufacturers. Special provisions apply 

to you for sterndrive/inboard engines if 

you are a small-volume engine 

manufacturer subject to the 

requirements of this part. Contact us 

before January 1, 2010 if you intend to 

use the provisions of this paragraph (a). 

You may delay complying with 

emission standards and other 

requirements that would otherwise 

apply until the 2011 model year for 

conventional sterndrive/inboard engines 

and until the 2013 model year for highperformance engines. Add a permanent 

label to a readily visible part of each 

engine exempted under this paragraph 

(a). 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 following statement: ‘‘THIS 

ENGINE IS EXEMPT UNDER 40 CFR 

1045.145(a) FROM EMISSION 

STANDARDS AND RELATED 

REQUIREMENTS.’’ 

(b) Early banking. You may generate 

exhaust emission credits for 

conventional sterndrive/inboard engines 

before the 2010 model year (or before 

the 2011 model year for small-volume 

engine manufacturers) as follows: 

(1) You must begin actual production 

of early-compliant engines by 

September 1, 2009 (or before September 

1, 2010 for small-volume engine 

manufacturers). 

(2) You may not generate emission 

credits under this paragraph (b) with 

engines you produce after December 31, 

2009 (or December 31, 2010 for smallvolume engine manufacturers). 

(3) Early-compliant engines must be 

certified to the standards and 

requirements for conventional 

sterndrive/inboard engines under this 

part 1045, with all family emission 

limits at or below the specified emission 

standards. 

(4) Calculate emission credits by 

setting STD equal to 16 g/kW-hr for 

HC+NOX and 150 g/kW-hr for CO (see 

§ 1045.705). 

(5) Small-volume engine 

manufacturers may calculate emission 

credits using a multiplier based on the 

number of model years before the 2011 

model year. The multipliers are 1.25 for 

one year early, 1.5 for two years early, 

and 2.0 for three years early. For 

example, multiply your calculated 

emission credits generated from 

compliant 2009 model year engines by 

1.5. 

(6) You may not use the provisions of 

this paragraph (b) to generate emission 

credits for engines whose point of first 

retail sale is in California. 

(7) HC+NOX or CO credits you 

generate under this paragraph (b) may 

not be used after the 2012 model year 

(or the 2013 model year for smallvolume engine manufacturers). 

(c) Assigned emission factors. 

Through the 2013 model year, smallvolume engine manufacturers may 

establish emission levels for 

certification without testing for 

conventional four-stroke sterndrive/ 

inboard engines by selecting a family 

emission limit of 22.0 g/kW-hr for 

HC+NOX emissions and 150 g/kW-hr for 

CO emissions. Note that you must use 

emission credits under the provisions of 

subpart H of this part to show that you 

meet applicable requirements if you use 

these family emission limits. Also, if 

you use these family emission limits, 

you must use them for both HC+NOX

and CO emissions. 

(d) Early compliance with evaporative 

emission standards. You may sell or 

install fuel tanks that do not meet the 

specified permeation standards without 

violating the prohibition in 40 CFR 

1068.101(a)(1) if you earn evaporative 

emission allowances, as follows: 

(1) You may earn an evaporative 

emission allowance from one fuel tank 

certified to EPA’s evaporative emission 

standards by producing it before EPA’s 

evaporative emission standards start to 

apply. You may use this evaporative 

emission allowance by selling one fuel 

tank that does not meet the specified 

permeation emission standards. For 

example, you can earn an evaporative 

emission allowance by selling a lowpermeation fuel tank for personal 

watercraft before the 2011 model year, 

in which case you could sell a highpermeation fuel tank for a personal 

watercraft in 2011. You must meet all 

the other requirements related to 

evaporative emissions that apply for 

fuel tanks covered by an EPA certificate 

of conformity. 

mstockstill on PROD1PC66 with RULES2

59204 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(2) You must add a label to exempted 

fuel tanks you produce under this 

paragraph (d) with the following 

statement: ‘‘EXEMPT FROM EMISSION 

STANDARDS UNDER 40 CFR 

1045.145(d)’’. 

(3) Evaporative emission allowances 

you earn under this paragraph (d) from 

portable marine fuel tanks may be used 

only for other portable marine fuel 

tanks. Similarly, evaporative emission 

allowances from personal watercraft 

fuel tanks may be used only for personal 

watercraft fuel tanks and evaporative 

emission allowances from other 

installed fuel tanks may be used only for 

other installed fuel tanks. 

(4) You may not use the allowances 

you generate under this paragraph (d) 

for portable marine fuel tanks and 

personal watercraft fuel tanks in 2014 or 

later model years. Similarly, you may 

not use the allowances you generate 

under this paragraph (d) for other 

installed fuel tanks in 2015 or later 

model years. 

(5) Send the Designated Compliance 

Officer the following information for 

each year in which you use the 

provisions of this paragraph (d): 

(i) Send us a report within 45 days 

after the end of the model year 

describing how many pieces of 

equipment you produced in the 

preceding model year that generate 

allowances. You may combine this with 

the reports specified in § 1045.250(a) if 

applicable. 

(ii) Describe the number of equipment 

using allowances under this paragraph 

(d) in your end-of-year reports and final 

reports after the end of the model year 

as described in § 1045.730(a). If you do 

not participate in averaging, banking, 

and trading program, send this 

information separately within 90 days 

after the end of the model year. 

(e) Useful life for evaporative 

emission standards. A useful life period 

of two years applies for fuel tanks 

certified to meet the permeation 

emission standards in § 1045.112(b) in 

2013 and earlier model years. However, 

for fuel tanks with a family emission 

limit above or below the specified 

emission standard, calculate emission 

credits under § 1045.706 based on the 

useful life values specified in 

§ 1045.112. 

(f) Delayed FEL caps for stand-up 

personal watercraft. The FEL caps 

specified in § 1045.103(b) do not apply 

in the 2010 and 2011 model years for 

personal watercraft that are designed for 

operation from a standing position. 

(g) Delayed compliance with not-toexceed emission standards. The not-toexceed standards specified in 

§ 1045.107 do not apply in the 2010 

through 2012 model years for engine 

families that are certified based on 

carryover emission data from the 2009 

model year. This includes models that 

were certified only in California, as long 

as no new testing is otherwise required 

to get a new certificate. 

(h) Carryover of California ARB 

emission data. The provisions of 40 CFR 

1065.10(c)(5) allow for the use of 

emission data generated for the 

California Air Resources Board as the 

basis for EPA certification. For 

sterndrive/inboard engines certified in 

California before the 2010 model year, 

you may use such emission data as the 

basis for meeting the standards of 

§ 1045.105, as long as you meet the 

conditions specified in § 1045.235(d). 

(i) Hardship for obsolete engines. We 

have made the determination under 40 

CFR 1068.255 that secondary engine 

manufacturers may use the hardship 

exemption to sell uncertified 4.3-liter 

and 8.1-liter engines from General 

Motors in the 2010 model year. These 

engines are exempt without request. 

You must label the engines as specified 

in 40 CFR 1068.255(b). 

(j) Adjusted NTE subzones for 

noncatalyzed four-stroke engines. For 

supercharged four-stroke outboard 

engines above 150 kW without catalysts, 

you may divide the NTE zone specified 

in § 1045.515(c)(6) based on a speed 

cutpoint of 70 percent of maximum test 

speed instead of 50 percent of maximum 

test speed through the 2014 model year. 

(k) Averaging for under-cowl fuel 

lines. Section 1045.112 specifies 

phased-in standards for under-cowl fuel 

lines for 2010 through 2014 model 

years, subject to the following 

provisions: 

(1) You must comply with these 

requirements based on total lengths of 

compliant and noncompliant fuel lines. 

For each model year, calculate the 

percentage of compliant under-cowl fuel 

line by adding up the length of undercowl fuel line certified to meet the 

applicable permeation standards and 

dividing this sum by the total length of 

under-cowl fuel line from all your 

outboard engines. You may count a fuel 

line as compliant only if you certify that 

its emission levels will be at or below 

the specified standard throughout the 

useful life. 

(2) In your application for 

certification for each outboard engine 

family, identify the part numbers, 

descriptions, and locations of all the 

compliant fuel lines. You must include 

a drawing of any fuel lines in addition 

to the description if that is necessary for 

us to find which fuel lines you intend 

to be certified. Your descriptions must 

include the lengths of compliant and 

noncompliant fuel lines for each engine, 

including aggregated lengths for the 

whole set of fuel lines used on an 

engine. If the engine family includes 

noncompliant fuel lines, you must also 

include a statement that you will have 

enough compliant fuel lines to meet the 

phase-in requirements and provide 

detailed calculations to support your 

statement. 

(3) Send the Designated Compliance 

Officer end-of-year reports and final 

reports after the end of each model year 

that you use noncompliant fuel lines as 

described in § 1045.730(a). Include the 

production volumes with a point of 

retail sale in the United States, as 

described in §§ 1045.701(j). State your 

production volumes in terms of total 

engine sales by model and in terms of 

total lengths of compliant and 

noncompliant fuel lines. If a single 

engine family includes configurations 

with different lengths of compliant or 

noncompliant fuel lines, count each 

configuration separately. If you changed 

your designs during the model year in 

a way that affects these compliance 

calculations, identify the actual 

production volumes associated with 

each unique design. 

(4) Keep a copy of the reports we 

require in this paragraph (k) until 

December 31, 2022 as described in 

§ 1045.735(b). We may require you to 

keep additional records or to send us 

relevant information not required by 

this paragraph (k), as allowed under the 

Clean Air Act. 

(5) Label your compliant lowpermeation fuel lines as specified in 

§ 1060.137. Any fuel line observed 

without a complete identification as 

specified in § 1060.137 will be 

considered noncompliant. In addition, 

for each model year in which you use 

noncompliant fuel lines, you must 

include one of the following statements 

on the engine label described in 

§ 1045.135: 

(i) ‘‘LOW-PERM/HIGH-PERM = [x/ 

y]’’, where x is the percentage of lowpermeation under-cowl fuel line and y 

is the percentage of high-permeation 

under-cowl fuel line (x and y must sum 

to 100). 

(ii) ‘‘LOW-PERM = [x mm]; HIGHPERM = [y mm]’’, where x is the length 

of low-permeation under-cowl fuel line 

and y is the length of high-permeation 

under-cowl fuel line, in mm. 

(l) [Reserved] 

(m) Delayed labeling for fuel lines. 

You may omit fuel-line labeling 

requirements specified in 40 CFR part 

1060 in the 2009 model year. 

(n) Continued use of 40 CFR part 91 

test procedures. You may continue to 

use the test procedures in 40 CFR part 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59205 

91 instead of those in subpart F of this 

part for 2010 through 2012 model year 

outboard and personal watercraft 

engines. This applies for certification, 

production-line, and in-use testing. You 

may continue to use test data based on 

the test procedures in 40 CFR part 91 for 

engine families in 2013 and later model 

years, provided that we allow you to use 

carryover emission data under 40 CFR 

1045.235(d) for your engine family. You 

may also use the test procedures in 40 

CFR part 91 for production-line testing 

with any engine family whose 

certification is based on testing with 

those procedures. 

Subpart C—Certifying Engine Families 

§ 1045.201 What are the general 

requirements for obtaining a certificate of 

conformity? 

Engine manufacturers must certify 

their engines with respect to the exhaust 

emission standards in this part. 

Manufacturers of engines, equipment, or 

fuel-system components may need to 

certify their products with respect to 

evaporative emission standards as 

described in 40 CFR 1060.1 and 

1060.601. The following general 

requirements apply for obtaining a 

certificate of conformity: 

(a) You must send us a separate 

application for a certificate of 

conformity for each engine family. A 

certificate of conformity is valid starting 

with the indicated effective date but it 

is not valid for any production after 

December 31 of the model year for 

which it is issued. No certificate will be 

issued after December 31 of the model 

year. 

(b) The application must contain all 

the information required by this part 

and must not include false or 

incomplete statements or information 

(see § 1045.255). 

(c) We may ask you to include less 

information than we specify in this 

subpart as long as you maintain all the 

information required by § 1045.250. 

(d) You must use good engineering 

judgment for all decisions related to 

your application (see 40 CFR 1068.5). 

(e) An authorized representative of 

your company must approve and sign 

the application. 

(f) See § 1045.255 for provisions 

describing how we will process your 

application. 

(g) We may require you to deliver 

your test engines to a facility we 

designate for our testing (see 

§ 1045.235(c)). 

§ 1045.205 What must I include in my 

application? 

This section specifies the information 

that must be in your application, unless 

we ask you to include less information 

under § 1045.201(c). We may require 

you to provide additional information to 

evaluate your application. 

(a) Describe the engine family’s 

specifications and other basic 

parameters of the engine’s design and 

emission controls. List the fuel type on 

which your engines are designed to 

operate (for example, all-season 

gasoline). List each distinguishable 

engine configuration in the engine 

family. For each engine configuration, 

list the maximum engine power and the 

range of values for maximum engine 

power resulting from production 

tolerances, as described in § 1045.140. 

Describe why your engines qualify as 

high-performance engines, if applicable. 

(b) Explain how the emission control 

systems operate. Describe in detail all 

system components for controlling 

exhaust emissions, including all 

auxiliary emission control devices 

(AECDs) and all fuel-system 

components you will install on any 

production or test engine. Identify the 

part number of each component you 

describe. For this paragraph (b), treat as 

separate AECDs any devices that 

modulate or activate differently from 

each other. Include sufficient detail to 

allow us to evaluate whether the AECDs 

are consistent with the defeat device 

prohibition of § 1045.115. 

(c) Explain how the engine diagnostic 

system works, if applicable, describing 

especially the engine conditions (with 

the corresponding diagnostic trouble 

codes) that cause the malfunction 

indicator to go on. Propose the 

conditions under which the diagnostic 

system should disregard trouble codes, 

as described in § 1045.110(f). 

(d) Describe the engines you selected 

for testing and the reasons for selecting 

them. 

(e) Describe the test equipment and 

procedures that you used, including any 

special or alternate test procedures you 

used. 

(f) Describe how you operated the 

emission-data engine before testing, 

including the duty cycle and the 

number of engine operating hours used 

to stabilize emission levels. Explain 

why you selected the method of service 

accumulation. Describe any scheduled 

maintenance you did. 

(g) List the specifications of the test 

fuel to show that it falls within the 

required ranges we specify in 40 CFR 

part 1065. 

(h) Identify the engine family’s useful 

life. 

(i) Include the maintenance and 

warranty instructions you will give to 

the ultimate purchaser of each new 

engine (see §§ 1045.120 and 1045.125). 

(j) Include the emission-related 

installation instructions you will 

provide if someone else installs your 

engines in a vessel (see § 1045.130). 

(k) Describe your emission control 

information label (see § 1045.135). 

(l) Identify the emission standards or 

FELs to which you are certifying 

engines in the engine family. 

(m) Identify the engine family’s 

deterioration factors and describe how 

you developed them (see § 1045.245). 

Present any emission test data you used 

for this. 

(n) State that you operated your 

emission-data engines as described in 

the application (including the test 

procedures, test parameters, and test 

fuels) to show you meet the 

requirements of this part. 

(o) Present emission data to show that 

you meet emission standards, as 

follows: 

(1) Present emission data by mode for 

hydrocarbons (such as THC or THCE, as 

applicable), NOX, and CO on an 

emission-data engine to show your 

engines meet the duty-cycle emission 

standards we specify in §§ 1045.103(a) 

and 1045.105(a). Show weighted 

emission figures before and after 

applying deterioration factors for each 

engine. If we specify more than one 

grade of any fuel type (for example, lowtemperature and all-season gasoline), 

you need to submit test data only for 

one grade, unless the regulations of this 

part specify otherwise for your engine. 

(2) Note that §§ 1045.235 and 

1045.245 allow you to submit an 

application in certain cases without new 

emission data. 

(p) State that all the engines in the 

engine family comply with the not-toexceed emission standards we specify in 

subpart B of this part for all normal 

operation and use when tested as 

specified in § 1045.515, if applicable. 

Describe any relevant testing, 

engineering analysis, or other 

information in sufficient detail to 

support your statement. 

(q) Report all test results, including 

those from invalid tests, whether or not 

they were conducted according to the 

test procedures of subpart F of this part. 

If you measure CO2, report those 

emission levels (in g/kW-hr). We may 

ask you to send other information to 

confirm that your tests were valid under 

the requirements of this part and 40 CFR 

parts 1060 and 1065. 

(r) Describe all adjustable operating 

parameters (see § 1045.115(e)), 

including production tolerances. 

Include the following in your 

description of each parameter: 

(1) The nominal or recommended 

setting. 

mstockstill on PROD1PC66 with RULES2

59206 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(2) The intended physically adjustable 

range. 

(3) The limits or stops used to 

establish adjustable ranges. 

(4) Information showing why the 

limits, stops, or other means of 

inhibiting adjustment are effective in 

preventing adjustment of parameters on 

in-use engines to settings outside your 

intended physically adjustable ranges. 

(s) Describe how your engines comply 

with emission standards at varying 

atmospheric pressures. Include a 

description of altitude kits you design to 

comply with the requirements of 

§ 1045.115(d). Identify the part number 

of each component you describe. 

Identify the altitude range for which you 

expect proper engine performance and 

emission control with and without the 

altitude kit. State that your engines will 

comply with applicable emission 

standards throughout the useful life 

with the altitude kit installed according 

to your instructions. Describe any 

relevant testing, engineering analysis, or 

other information in sufficient detail to 

support your statement. In addition, 

describe your plan for making 

information and parts available such 

that you would reasonably expect that 

altitude kits would be widely used in 

the high-altitude counties specified in 

40 CFR part 1068, Appendix III. For 

example, engine owners should have 

ready access to information describing 

when an altitude kit is needed and how 

to obtain this service. Similarly, parts 

and service information should be 

available to qualified service facilities in 

addition to authorized service centers if 

that is needed for owners to have such 

altitude kits installed locally. 

(t) Provide the information needed to 

read, record, and interpret all the 

information broadcast by an engine’s 

onboard computers and electronic 

control units. State that, upon request, 

you will give us any hardware, software, 

or tools we would need to do this. If you 

broadcast a surrogate parameter for 

torque values, you must provide us 

what we need to convert these into 

torque units. You may reference any 

appropriate publicly released standards 

that define conventions for these 

messages and parameters. Format your 

information consistent with publicly 

released standards. 

(u) Confirm that your emission-related 

installation instructions specify how to 

ensure that sampling of exhaust 

emissions will be possible after engines 

are installed in vessels and placed in 

service. Show how to sample exhaust 

emissions in a way that prevents 

diluting the exhaust sample with 

ambient air. 

(v) Unconditionally certify that all the 

engines in the engine family comply 

with the requirements of this part, other 

referenced parts of the CFR, and the 

Clean Air Act. 

(w) Include good-faith estimates of 

U.S.-directed production volumes. 

Include a justification for the estimated 

production volumes if they are 

substantially different than actual 

production volumes in earlier years for 

similar models. 

(x) Include the information required 

by other subparts of this part. For 

example, include the information 

required by § 1045.725 if you participate 

in the ABT program. 

(y) Include other applicable 

information, such as information 

specified in this part or 40 CFR part 

1068 related to requests for exemptions. 

(z) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

(aa) For imported engines, identify the 

following: 

(1) The port(s) at which you have 

imported engines over the previous 12 

months. 

(2) The names and addresses of the 

agents you have authorized to import 

your engines. 

(3) The location of a test facility in the 

United States where you can test your 

engines if we select them for testing 

under a selective enforcement audit, as 

specified in 40 CFR part 1068, subpart 

E. 

§ 1045.210 May I get preliminary approval 

before I complete my application? 

If you send us information before you 

finish the application, we will review it 

and make any appropriate 

determinations, especially for questions 

related to engine family definitions, 

auxiliary emission control devices, 

deterioration factors, testing for service 

accumulation, maintenance, and 

compliance with not-to-exceed 

standards. Decisions made under this 

section are considered to be preliminary 

approval, subject to final review and 

approval. We will generally not reverse 

a decision where we have given you 

preliminary approval, unless we find 

new information supporting a different 

decision. If you request preliminary 

approval related to the upcoming model 

year or the model year after that, we will 

make the appropriate determinations as 

soon as practicable. We will generally 

not provide preliminary approval 

related to a future model year more than 

two years ahead of time. 

§ 1045.220 How do I amend the 

maintenance instructions in my 

application? 

You may amend your emissionrelated maintenance instructions after 

you submit your application for 

certification as long as the amended 

instructions remain consistent with the 

provisions of § 1045.125. You must send 

the Designated Compliance Officer a 

written request to amend your 

application for certification for an 

engine family if you want to change the 

emission-related maintenance 

instructions in a way that could affect 

emissions. In your request, describe the 

proposed changes to the maintenance 

instructions. If operators follow the 

original maintenance instructions rather 

than the newly specified maintenance, 

this does not allow you to disqualify 

those engines from in-use testing or 

deny a warranty claim. 

(a) If you are decreasing, replacing, or 

eliminating any specified maintenance, 

you may distribute the new 

maintenance instructions to your 

customers 30 days after we receive your 

request, unless we disapprove your 

request. This would generally include 

replacing one maintenance step with 

another. We may approve a shorter time 

or waive this requirement. 

(b) If your requested change would 

not decrease the specified maintenance, 

you may distribute the new 

maintenance instructions anytime after 

you send your request. 

(c) You need not request approval if 

you are making only minor corrections 

(such as correcting typographical 

mistakes), clarifying your maintenance 

instructions, or changing instructions 

for maintenance unrelated to emission 

control. We may ask you to send us 

copies of maintenance instructions 

revised under this paragraph (c). 

§ 1045.225 How do I amend my application 

for certification to include new or modified 

engines or change an FEL? 

Before we issue you a certificate of 

conformity, you may amend your 

application to include new or modified 

engine configurations, subject to the 

provisions of this section. After we have 

issued your certificate of conformity, 

you may send us an amended 

application requesting that we include 

new or modified engine configurations 

within the scope of the certificate, 

subject to the provisions of this section. 

You must amend your application if any 

changes occur with respect to any 

information included in your 

application. 

(a) You must amend your application 

before you take any of the following 

actions: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59207 

(1) Add an engine configuration to an 

engine family. In this case, the engine 

configuration added must be consistent 

with other engine configurations in the 

engine family with respect to the criteria 

listed in § 1045.230. 

(2) Change an engine configuration 

already included in an engine family in 

a way that may affect emissions, or 

change any of the components you 

described in your application for 

certification. This includes production 

and design changes that may affect 

emissions any time during the engine’s 

lifetime. 

(3) Modify an FEL for an engine 

family as described in paragraph (f) of 

this section. 

(b) To amend your application for 

certification, send the Designated 

Compliance Officer the following 

information: 

(1) Describe in detail the addition or 

change in the engine model or 

configuration you intend to make. 

(2) Include engineering evaluations or 

data showing that the amended engine 

family complies with all applicable 

requirements. You may do this by 

showing that the original emission-data 

engine is still appropriate for showing 

that the amended family complies with 

all applicable requirements. 

(3) If the original emission-data 

engine for the engine family is not 

appropriate to show compliance for the 

new or modified engine configuration, 

include new test data showing that the 

new or modified engine configuration 

meets the requirements of this part. 

(c) We may ask for more test data or 

engineering evaluations. You must give 

us these within 30 days after we request 

them. 

(d) For engine families already 

covered by a certificate of conformity, 

we will determine whether the existing 

certificate of conformity covers your 

newly added or modified engine. You 

may ask for a hearing if we deny your 

request (see § 1045.820). 

(e) For engine families already 

covered by a certificate of conformity, 

you may start producing the new or 

modified engine configuration anytime 

after you send us your amended 

application and before we make a 

decision under paragraph (d) of this 

section. However, if we determine that 

the affected engines do not meet 

applicable requirements, we will notify 

you to cease production of the engines 

and may require you to recall the 

engines at no expense to the owner. 

Choosing to produce engines under this 

paragraph (e) is deemed to be consent to 

recall all engines that we determine do 

not meet applicable emission standards 

or other requirements and to remedy the 

nonconformity at no expense to the 

owner. If you do not provide 

information required under paragraph 

(c) of this section within 30 days after 

we request it, you must stop producing 

the new or modified engines. 

(f) You may ask us to approve a 

change to your FEL in certain cases after 

the start of production. The changed 

FEL may not apply to engines you have 

already introduced into U.S. commerce, 

except as described in this paragraph (f). 

If we approve a changed FEL after the 

start of production, you must include 

the new FEL on the emission control 

information label for all engines 

produced after the change. You may ask 

us to approve a change to your FEL in 

the following cases: 

(1) You may ask to raise your FEL for 

your engine family at any time. In your 

request, you must show that you will 

still be able to meet the emission 

standards as specified in subparts B and 

H of this part. If you amend your 

application by submitting new test data 

to include a newly added or modified 

engine, as described in paragraph (b)(3) 

of this section, use the appropriate FELs 

with corresponding production volumes 

to calculate emission credits for the 

model year, as described in subpart H of 

this part. In all other circumstances, you 

must use the higher FEL for the entire 

family to calculate emission credits 

under subpart H of this part. 

(2) You may ask to lower the FEL for 

your engine family only if you have test 

data from production engines showing 

that emissions are below the proposed 

lower FEL. The lower FEL applies only 

to engines you produce after we approve 

the new FEL. Use the appropriate FELs 

with corresponding production volumes 

to calculate emission credits for the 

model year, as described in subpart H of 

this part. 

§ 1045.230 How do I select engine 

families? 

(a) For purposes of certification, 

divide your product line into families of 

engines that are expected to have 

similar emission characteristics 

throughout their useful life as described 

in this section. Your engine family is 

limited to a single model year. 

(b) Group engines into the same 

engine family if they are the same in all 

the following aspects: 

(1) The combustion cycle and fuel. 

See paragraph (e) of this section for 

special provisions that apply for dualfuel engines. 

(2) Method of air aspiration (for 

example, turbocharged vs. naturally 

aspirated). 

(3) The number, location, volume, and 

composition of catalytic converters. 

(4) The number, arrangement, and 

approximate bore diameter of cylinders. 

(5) Method of control for engine 

operation, other than governing (i.e., 

mechanical or electronic). 

(6) The numerical level of the 

applicable emission standards. For 

example, an engine family may not 

include engines certified to different 

family emission limits, though you may 

change family emission limits without 

recertifying as specified in § 1045.225. 

(c) You may subdivide a group of 

engines that is identical under 

paragraph (b) of this section into 

different engine families if you show the 

expected emission characteristics are 

different during the useful life. 

(d) You may group engines that are 

not identical with respect to the things 

listed in paragraph (b) of this section 

into the same engine family, as follows: 

(1) In unusual circumstances, you 

may group such engines into the same 

engine family if you show that their 

emission characteristics during the 

useful life will be similar. 

(2) If you are a small-volume engine 

manufacturer, you may group all your 

high-performance engines into a single 

engine family. 

(3) The provisions of this paragraph 

(e) do not exempt any engines from 

meeting all the emission standards and 

requirements in subpart B of this part. 

(e) You may certify dual-fuel or 

flexible-fuel engines in a single engine 

family. You may include dedicated-fuel 

versions of this same engine model in 

the same engine family, as long as they 

are identical to the engine configuration 

with respect to that fuel type for the 

dual-fuel or flexible-fuel version of the 

engine. For example, if you produce an 

engine that can alternately run on 

gasoline and natural gas, you can 

include the gasoline-only and natural 

gas-only versions of the engine in the 

same engine family as the dual-fuel 

engine if engine operation on each fuel 

type is identical with or without 

installation of components for operating 

on the other fuel. 

§ 1045.235 What emission testing must I 

perform for my application for a certificate 

of conformity? 

This section describes the emission 

testing you must perform to show 

compliance with the emission standards 

in §§ 1045.103 and 1045.105. See 

§ 1045.205(p) regarding emission testing 

related to the not-to-exceed standards. 

See §§ 1045.240 and 1045.245 and 40 

CFR part 1065, subpart E, regarding 

service accumulation before emission 

testing. 

(a) Select an emission-data engine 

from each engine family for testing as 

mstockstill on PROD1PC66 with RULES2

59208 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

described in 40 CFR 1065.401. Select 

the engine with a configuration that is 

most likely to exceed the exhaust 

emission standards, using good 

engineering judgment. Consider the 

emission levels of all exhaust 

constituents over the full useful life of 

the engine when operated in a vessel. 

(b) Test your emission-data engines 

using the procedures and equipment 

specified in subpart F of this part. In the 

case of dual-fuel engines, measure 

emissions when operating with each 

type of fuel for which you intend to 

certify the engine. In the case of flexiblefuel engines, measure emissions when 

operating with the fuel mixture that is 

most likely to cause the engine to 

exceed the applicable HC+NOX

emission standard, though you may ask 

us to exclude fuel mixtures that you can 

show are not likely to occur in use. 

(c) We may measure emissions from 

any of your emission-data engines or 

other engines from the engine family, as 

follows: 

(1) We may decide to do the testing 

at your plant or any other facility. If we 

do this, you must deliver the engine to 

a test facility we designate. The engine 

you provide must include appropriate 

manifolds, aftertreatment devices, 

electronic control units, and other 

emission-related components not 

normally attached directly to the engine 

block. If we do the testing at your plant, 

you must schedule it as soon as possible 

and make available the instruments, 

personnel, and equipment we need. 

(2) If we measure emissions on one of 

your engines, the results of that testing 

become the official emission results for 

the engine. Unless we later invalidate 

these data, we may decide not to 

consider your data in determining if 

your engine family meets applicable 

requirements. 

(3) We may set the adjustable 

parameters of your engine to any point 

within the physically adjustable ranges 

(see § 1045.115(e)). 

(4) We may calibrate your engine 

within normal production tolerances for 

anything we do not consider an 

adjustable parameter. For example, this 

would apply where we determine that 

an engine parameter is not an adjustable 

parameter (as defined in § 1045.801) but 

that it is subject to production 

variability. 

(d) You may ask to use carryover 

emission data from a previous model 

year instead of doing new tests, but only 

if all the following are true: 

(1) The engine family from the 

previous model year differs from the 

current engine family only with respect 

to model year or other characteristics 

unrelated to emissions. 

(2) The emission-data engine from the 

previous model year remains the 

appropriate emission-data engine under 

paragraph (b) of this section. 

(3) The data show that the emissiondata engine would meet all the 

requirements that apply to the engine 

family covered by the application for 

certification. For engines originally 

tested under the provisions of 40 CFR 

part 91, you may consider those test 

procedures to be equivalent to the 

procedures we specify in subpart F of 

this part. 

(e) We may require you to test another 

engine of the same or different 

configuration in addition to the 

engine(s) tested under paragraph (b) of 

this section. 

(f) If you use an alternate test 

procedure under 40 CFR 1065.10 and 

later testing shows that such testing 

does not produce results that are 

equivalent to the procedures specified 

in subpart F of this part, we may reject 

data you generated using the alternate 

procedure. 

§ 1045.240 How do I demonstrate that my 

engine family complies with exhaust 

emission standards? 

(a) For purposes of certification, your 

engine family is considered in 

compliance with the duty-cycle 

emission standards in § 1045.103 or 

§ 1045.105 if all emission-data engines 

representing that family have test results 

showing deteriorated emission levels at 

or below these standards. This includes 

all test points over the course of the 

durability demonstration. Note that your 

FELs are considered to be the applicable 

emission standards with which you 

must comply if you participate in the 

ABT program in subpart H of this part. 

(b) Your engine family is deemed not 

to comply if any emission-data engine 

representing that family has test results 

showing a deteriorated emission level 

for any pollutant that is above an 

applicable emission standard. Similarly, 

your engine family is deemed not to 

comply if any emission-data engine 

representing that family has test results 

showing any emission level above the 

applicable not-to-exceed emission 

standard for any pollutant. The 

provisions of this paragraph (b) apply 

for all test points over the course of the 

durability demonstration. 

(c) Determine a deterioration factor to 

compare emission levels from the 

emission-data engine with the 

applicable emission standards. Section 

1045.245 specifies how to test engines 

to develop deterioration factors that 

represent the expected deterioration in 

emissions over your engines’ full useful 

life. Your deterioration factors must take 

into account any available data from inuse testing with similar engines. You 

may ask us to give you an assigned 

deterioration factor for your highperformance engines. Small-volume 

engine manufacturers may use assigned 

deterioration factors that we establish 

for any engine families certified under 

this part. Apply deterioration factors as 

follows: 

(1) Additive deterioration factor for 

exhaust emissions. For engines that do 

not use aftertreatment technology, use 

an additive deterioration factor for 

exhaust emissions. An additive 

deterioration factor is the difference 

between exhaust emissions at the end of 

useful life and exhaust emissions at the 

low-hour test point. Adjust the official 

emission results for each tested engine 

at the selected test point by adding the 

factor to the measured emissions. If the 

deterioration factor is less than zero, use 

zero. Additive deterioration factors must 

be specified to one more decimal place 

than the emission standard. 

(2) Multiplicative deterioration factor 

for exhaust emissions. For engines that 

use aftertreatment technology, such as 

catalytic converters, use a multiplicative 

deterioration factor for exhaust 

emissions. A multiplicative 

deterioration factor is the ratio of 

exhaust emissions at the end of useful 

life to exhaust emissions at the low-hour 

test point. Adjust the official emission 

results for each tested engine at the 

selected test point by multiplying the 

measured emissions by the deterioration 

factor. If the deterioration factor is less 

than one, use one. Multiplicative 

deterioration factors must be specified 

to one more significant figure than the 

emission standard. 

(d) Collect emission data using 

measurements to one more decimal 

place than the applicable standard. 

Apply the deterioration factor to the 

official emission result, as described in 

paragraph (c) of this section, then round 

the adjusted figure to the same number 

of decimal places as the emission 

standard. Compare the rounded 

emission levels to the emission standard 

for each emission-data engine. In the 

case of HC+NOX standards, add the 

official emission results and apply the 

deterioration factor to the sum of the 

pollutants before rounding. However, if 

your deterioration factors are based on 

emission measurements that do not 

cover the vehicle’s full useful life, apply 

the deterioration factor to each pollutant 

and then add the results before 

rounding. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59209 

§ 1045.245 How do I determine 

deterioration factors from exhaust 

durability testing? 

This section describes how to 

determine deterioration factors, either 

with pre-existing test data or with new 

emission measurements. 

(a) You may ask us to approve 

deterioration factors for an engine 

family based on emission measurements 

from similar engines if you have already 

given us these data for certifying the 

other engines in the same or earlier 

model years. Use good engineering 

judgment to decide whether the two 

engines are similar. 

(b) If you are unable to determine 

deterioration factors for an engine 

family under paragraph (a) of this 

section, select engines, subsystems, or 

components for testing. Determine 

deterioration factors based on service 

accumulation and related testing. 

Include consideration of wear and other 

causes of deterioration expected under 

typical consumer use, including 

exposure to saltwater if applicable. 

Determine deterioration factors as 

follows: 

(1) You must measure emissions from 

the emission-data engine at a low-hour 

test point and the end of the useful life. 

You may also test at evenly spaced 

intermediate points. Collect emission 

data using measurements to one more 

decimal place than the emission 

standard. 

(2) Operate the engine over a 

representative duty cycle for a period at 

least as long as the useful life (in hours). 

You may operate the engine 

continuously. You may also use an 

engine installed in a vessel to 

accumulate service hours instead of 

running the engine only in the 

laboratory. 

(3) In the case of dual-fuel or flexiblefuel engines, you may accumulate 

service hours on a single emission-data 

engine using the type or mixture of fuel 

expected to have the highest 

combustion and exhaust temperatures. 

For dual-fuel engines, you must 

measure emissions on each fuel type at 

each test point. 

(4) You may perform maintenance on 

emission-data engines as described in 

§ 1045.125 and 40 CFR part 1065, 

subpart E. 

(5) If you measure emissions at only 

two points to calculate your 

deterioration factor, base your 

calculations on a linear relationship 

connecting these two data points for 

each pollutant. If you measure 

emissions at three or more points, use 

a linear least-squares fit of your test data 

for each pollutant to calculate your 

deterioration factor. 

(6) If you test more than one engine 

to establish deterioration factors, 

calculate the deterioration factor for 

each engine and average the 

deterioration factors from all the engines 

before rounding. 

(7) Use good engineering judgment for 

all aspects of the effort to establish 

deterioration factors under this 

paragraph (b). 

(8) You may use other testing methods 

to determine deterioration factors, 

consistent with good engineering 

judgment, as long as we approve those 

methods in advance. 

(c) Include the following information 

in your application for certification: 

(1) If you determine your 

deterioration factors based on test data 

from a different engine family, explain 

why this is appropriate and include all 

the emission measurements on which 

you base the deterioration factor. 

(2) If you do testing to determine 

deterioration factors, describe the form 

and extent of service accumulation, 

including the method you use to 

accumulate hours. 

§ 1045.250 What records must I keep and 

what reports must I send to EPA? 

(a) Send the Designated Compliance 

Officer information related to your U.S.- 

directed production volumes as 

described in § 1045.345. In addition, 

within 45 days after the end of the 

model year, you must send us a report 

describing information about engines 

you produced during the model year as 

follows: 

(1) State the total production volume 

for each engine family that is not subject 

to reporting under § 1045.345. 

(2) State the total production volume 

for any engine family for which you 

produce engines after completing the 

reports required in § 1045.345. 

(3) For production volumes you report 

under this paragraph (a), identify 

whether or not the figures include 

California sales. Include a separate 

count of production volumes for 

California sales if those figures are 

available. 

(b) Organize and maintain the 

following records: 

(1) A copy of all applications and any 

summary information you send us. 

(2) Any of the information we specify 

in § 1045.205 that you were not required 

to include in your application. 

(3) A detailed history of each 

emission-data engine. For each engine, 

describe all of the following: 

(i) The emission-data engine’s 

construction, including its origin and 

buildup, steps you took to ensure that 

it represents production engines, any 

components you built specially for it, 

and all the components you include in 

your application for certification. 

(ii) How you accumulated engine 

operating hours (service accumulation), 

including the dates and the number of 

hours accumulated. 

(iii) All maintenance, including 

modifications, parts changes, and other 

service, and the dates and reasons for 

the maintenance. 

(iv) All your emission tests, including 

documentation on routine and standard 

tests, as specified in part 40 CFR part 

1065, and the date and purpose of each 

test. 

(v) All tests to diagnose engine or 

emission control performance, giving 

the date and time of each and the 

reasons for the test. 

(vi) Any other significant events. 

(4) Production figures for each engine 

family divided by assembly plant. 

(5) Keep a list of engine identification 

numbers for all the engines you produce 

under each certificate of conformity. 

(c) Keep data from routine emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in this section for 

eight years after we issue your 

certificate. 

(d) Store these records in any format 

and on any media as long as you can 

promptly send us organized, written 

records in English if we ask for them. 

You must keep these records readily 

available. We may review them at any 

time. 

§ 1045.255 What decisions may EPA make 

regarding my certificate of conformity? 

(a) If we determine your application is 

complete and shows that the engine 

family meets all the requirements of this 

part and the Clean Air Act, we will 

issue a certificate of conformity for your 

engine family for that model year. We 

may make the approval subject to 

additional conditions. 

(b) We may deny your application for 

certification if we determine that your 

engine family fails to comply with 

emission standards or other 

requirements of this part or the Clean 

Air Act. We will base our decision on 

all available information. If we deny 

your application, we will explain why 

in writing. 

(c) In addition, we may deny your 

application or suspend or revoke your 

certificate if you do any of the 

following: 

(1) Refuse to comply with any testing 

or reporting requirements. 

(2) Submit false or incomplete 

information (paragraph (e) of this 

section applies if this is fraudulent). 

mstockstill on PROD1PC66 with RULES2

59210 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(3) Render inaccurate any test data. 

(4) Deny us from completing 

authorized activities (see 40 CFR 

1068.20). This includes a failure to 

provide reasonable assistance. 

(5) Produce engines for importation 

into the United States at a location 

where local law prohibits us from 

carrying out authorized activities. 

(6) Fail to supply requested 

information or amend your application 

to include all engines being produced. 

(7) Take any action that otherwise 

circumvents the intent of the Clean Air 

Act or this part. 

(d) We may void your certificate if 

you do not keep the records we require 

or do not give us information as 

required under this part or the Clean Air 

Act. 

(e) We may void your certificate if we 

find that you intentionally submitted 

false or incomplete information. 

(f) If we deny your application or 

suspend, revoke, or void your 

certificate, you may ask for a hearing 

(see § 1045.820). 

Subpart D—Testing Production-line 

Engines 

§ 1045.301 When must I test my 

production-line engines? 

(a) If you produce engines that are 

subject to the requirements of this part, 

you must test them as described in this 

subpart, except as follows: 

(1) Small-volume engine 

manufacturers may omit testing under 

this subpart. 

(2) We may exempt engine families 

with a projected U.S.-directed 

production volume below 150 units 

from routine testing under this subpart. 

Request this exemption in your 

application for certification and include 

your basis for projecting a production 

volume below 150 units. We will 

approve your request if we agree that 

you have made good-faith estimates of 

your production volumes. Your 

exemption is approved when we grant 

your certificate. You must promptly 

notify us if your actual production 

exceeds 150 units during the model 

year. If you exceed the production limit 

or if there is evidence of a 

nonconformity, we may require you to 

test production-line engines under this 

subpart, or under 40 CFR part 1068, 

subpart E, even if we have approved an 

exemption under this paragraph (a)(2). 

(3) The requirements of this subpart 

do not apply to sterndrive/inboard 

engines. 

(b) We may suspend or revoke your 

certificate of conformity for certain 

engine families if your production-line 

engines do not meet the requirements of 

this part or you do not fulfill your 

obligations under this subpart (see 

§§ 1045.325 and 1045.340). 

(c) Other regulatory provisions 

authorize us to suspend, revoke, or void 

your certificate of conformity, or order 

recalls for engine families, without 

regard to whether they have passed 

these production-line testing 

requirements. The requirements of this 

subpart do not affect our ability to do 

selective enforcement audits, as 

described in 40 CFR part 1068. 

Individual engines in families that pass 

these production-line testing 

requirements must also conform to all 

applicable regulations of this part and 

40 CFR part 1068. 

(d) You may use alternate programs 

for testing production-line engines in 

the following circumstances: 

(1) You may use analyzers and 

sampling systems that meet the fieldtesting requirements of 40 CFR part 

1065, subpart J, but not the otherwise 

applicable requirements in 40 CFR part 

1065 for laboratory testing, to 

demonstrate compliance with dutycycle emission standards if you double 

the minimum sampling rate specified in 

§ 1045.310(b). Use measured test results 

to determine whether engines comply 

with applicable standards without 

applying a measurement allowance. 

This alternate program does not require 

prior approval but we may disallow use 

of this option where we determine that 

use of field-grade equipment would 

prevent you from being able to 

demonstrate that your engines are being 

produced to conform to the 

specifications in your application for 

certification. 

(2) You may ask to use another 

alternate program for testing 

production-line engines. In your 

request, you must show us that the 

alternate program gives equal assurance 

that your products meet the 

requirements of this part. We may waive 

some or all of this subpart’s 

requirements if we approve your 

alternate approach. For example, in 

certain circumstances you may be able 

to give us equal assurance that your 

products meet the requirements of this 

part by using less rigorous measurement 

methods if you offset that by increasing 

the number of test engines. 

(e) If you certify an engine family with 

carryover emission data, as described in 

§ 1045.235(d), 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. 

§ 1045.305 How must I prepare and test my 

production-line engines? 

This section describes how to prepare 

and test production-line engines. You 

must assemble the test engine in a way 

that represents the assembly procedures 

for other engines in the engine family. 

You must ask us to approve any 

deviations from your normal assembly 

procedures for other production engines 

in the engine family. 

(a) Test procedures. Test your 

production-line engines using the 

applicable testing procedures in subpart 

F of this part to show you meet the dutycycle emission standards in subpart B of 

this part. The not-to-exceed standards 

apply for this testing, but you need not 

do additional testing to show that 

production-line engines meet the not-toexceed standards. 

(b) Modifying a test engine. Once an 

engine is selected for testing (see 

§ 1045.310), you may adjust, repair, 

prepare, or modify it or check its 

emissions only if one of the following is 

true: 

(1) You document the need for doing 

so in your procedures for assembling 

and inspecting all your production 

engines and make the action routine for 

all the engines in the engine family. 

(2) This subpart otherwise specifically 

allows your action. 

(3) We approve your action in 

advance. 

(c) Engine malfunction. If an engine 

malfunction prevents further emission 

testing, ask us to approve your decision 

to either repair the engine or delete it 

from the test sequence. 

(d) Setting adjustable parameters. 

Before any test, we may require you to 

adjust any adjustable parameter to any 

setting within its physically adjustable 

range. 

(1) We may require you to adjust idle 

speed outside the physically adjustable 

range as needed, but only until the 

engine has stabilized emission levels 

(see paragraph (e) of this section). We 

may ask you for information needed to 

establish an alternate minimum idle 

speed. 

(2) We may specify adjustments 

within the physically adjustable range 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59211 

by considering their effect on emission 

levels. We may also consider how likely 

it is that someone will make such an 

adjustment with in-use engines. 

(e) Stabilizing emission levels. You 

may operate the engine to stabilize the 

emission levels before you test 

production-line engines. Using good 

engineering judgment, operate your 

engines in a way that represents the way 

production engines will be used. You 

may operate each engine for no more 

than the greater of two periods: 

(1) 12 hours. 

(2) The number of hours you operated 

your emission-data engine for certifying 

the engine family (see 40 CFR part 1065, 

subpart E, or the applicable regulations 

governing how you should prepare your 

test engine). 

(f) Damage during shipment. If 

shipping an engine to a remote facility 

for production-line testing makes 

necessary an adjustment or repair, you 

must wait until after the initial emission 

test to do this work. We may waive this 

requirement if the test would be 

impossible or unsafe or if it would 

permanently damage the engine. Report 

to us in your written report under 

§ 1045.345 all adjustments or repairs 

you make on test engines before each 

test. 

(g) Retesting after invalid tests. You 

may retest an engine if you determine 

an emission test is invalid under 

subpart F of this part. Explain in your 

written report reasons for invalidating 

any test and the emission results from 

all tests. If we determine that you 

improperly invalidated a test, we may 

require you to ask for our approval for 

future testing before substituting results 

of the new tests for invalid ones. 

§ 1045.310 How must I select engines for 

production-line testing? 

(a) Test engines from each engine 

family as described in this section based 

on test periods, as follows: 

(1) For engine families with projected 

U.S.-directed production volume of at 

least 1,600, the test periods are 

consecutive quarters (3 months). 

However, if your annual production 

period is less than 12 months long, you 

may take the following alternative 

approach to define quarterly test 

periods: 

(i) If your annual production period is 

120 days or less, the whole model year 

constitutes a single test period. 

(ii) If your annual production period 

is 121 to 210 days, divide the annual 

production period evenly into two test 

periods. 

(iii) If your annual production period 

is 211 to 300 days, divide the annual 

production period evenly into three test 

periods. 

(iv) If your annual production period 

is 301 days or longer, divide the annual 

production period evenly into four test 

periods. 

(2) For engine families with projected 

U.S.-directed production volume below 

1,600, the whole model year constitutes 

a single test period. 

(b) Early in each test period, randomly 

select and test an engine from the end 

of the assembly line for each engine 

family. 

(1) In the first test period for newly 

certified engines, randomly select and 

test one more engine. Then, calculate 

the required sample size for the model 

year as described in paragraph (c) of this 

section. 

(2) In later test periods of the same 

model year, combine the new test result 

with all previous testing in the model 

year. Then, calculate the required 

sample size for the model year as 

described in paragraph (c) of this 

section. 

(3) In the first test period for engine 

families relying on previously submitted 

test data, combine the new test result 

with the last test result from the 

previous model year. Then, calculate 

the required sample size for the model 

year as described in paragraph (c) of this 

section. Use the last test result from the 

previous model year only for this first 

calculation. For all subsequent 

calculations, use only results from the 

current model year. 

(c) Calculate the required sample size 

for each engine family. Separately 

calculate this figure for HC+NOX and 

CO. The required sample size is the 

greater of these calculated values. Use 

the following equation: 

N

t

x STD = ( ) ⋅

( ) −

















+ 95

2

1

σ

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. 

s = Test sample standard deviation (see 

paragraph (c)(2) of this section). 

x = Mean of emission test results of the 

sample. 

STD = Emission standard (or family emission 

limit, if applicable). 

(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 = ( ) −

( ) −















 ∑ X x

n

i

2

1

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 § 1045.315(a)(2)). 

(e) After each new test, recalculate the 

required sample size using the updated 

mean values, standard deviations, and 

the appropriate 95-percent confidence 

coefficient. 

(f) Distribute the remaining engine 

tests evenly throughout the rest of the 

year. You may need to adjust your 

schedule for selecting engines if the 

required sample size changes. If your 

scheduled quarterly testing for the 

remainder of the model year is sufficient 


mstockstill on PROD1PC66 with RULES2Er08oc08.089</MATH> ER08oc08.090</MATH>
59212 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

to meet the calculated sample size, you 

may wait until the next quarter to do 

additional testing. Continue to 

randomly select engines from each 

engine family. 

(g) Continue testing until one of the 

following things happens: 

(1) After completing the minimum 

number of tests required in paragraph 

(b) of this section, the number of tests 

completed in an engine family, n, is 

greater than the required sample size, N, 

and the sample mean, x, is less than or 

equal to the emission standard. For 

example, if N = 5.1 after the fifth test, 

the sample-size calculation does not 

allow you to stop testing. 

(2) The engine family does not 

comply according to § 1045.315. 

(3) You test 30 engines from the 

engine family. 

(4) You test one percent of your 

projected annual U.S.-directed 

production volume for the engine 

family, rounded to the nearest whole 

number. Do not count an engine under 

this paragraph (g)(4) if it fails to meet an 

applicable emission standard. 

(5) You choose to declare that the 

engine family does not comply with the 

requirements of this subpart. 

(h) If the sample-size calculation 

allows you to stop testing for one 

pollutant but not another, you must 

continue measuring emission levels of 

all pollutants for any additional tests 

required under this section. However, 

you need not continue making the 

calculations specified in this subpart for 

the pollutant for which testing is not 

required. This paragraph (h) does not 

affect the number of tests required 

under this section, the required 

calculations in § 1045.315, or the 

remedial steps required under 

§ 1045.320. 

(i) You may elect to test more 

randomly chosen engines than we 

require under this section. Include these 

engines in the sample-size calculations. 

§ 1045.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

This section describes the pass-fail 

criteria for the production-line testing 

requirements. We apply these criteria on 

an engine-family basis. See § 1045.320 

for the requirements that apply to 

individual engines that fail a 

production-line test. 

(a) Calculate your test results as 

follows: 

(1) Initial and final test results. 

Calculate and round the test results for 

each engine. If you do several tests on 

an engine, calculate the initial results 

for each test, then add all the test results 

together and divide by the number of 

tests. Round this final calculated value 

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 § 1045.240(c)). 

(3) Round deteriorated test results. 

Round the results to the number of 

decimal places in the emission standard 

expressed to one more decimal place. 

(b) Construct the following CumSum 

Equation for each engine family for 

HC+NOX and CO emissions: 

Ci = Max [0 or Ci¥1 + Xi¥ (STD + 0.25 

x s)] 

Where: 

Ci = The current CumSum statistic. 

Ci¥1 = The previous CumSum statistic. For 

the first test, the CumSum statistic is 0 

(i.e., C1 = 0). 

Xi = The current emission test result for an 

individual engine. 

STD = Emission standard (or family emission 

limit, if applicable). 

(c) Use final deteriorated test results 

to calculate the variables in the equation 

in paragraph (b) of this section (see 

§ 1045.315(a)). 

(d) After each new test, recalculate the 

CumSum statistic. 

(e) If you test more than the required 

number of engines, include the results 

from these additional tests in the 

CumSum Equation. 

(f) After each test, compare the 

current CumSum statistic, Ci, to the 

recalculated Action Limit, H, defined as 

H = 5.0 x 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 

entire engine family as described in 

§ 1045.225(f). 

(h) If you amend the application for 

certification for an engine family under 

§ 1045.225, do not change any previous 

calculations of sample size or CumSum 

statistics for the model year. 

§ 1045.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

(a) If you have a production-line 

engine with final deteriorated test 

results exceeding one or more emission 

standards (see § 1045.315(a)), the 

certificate of conformity is automatically 

suspended for that failing engine. You 

must take the following actions before 

your certificate of conformity can cover 

that engine: 

(1) Correct the problem and retest the 

engine to show it complies with all 

emission standards. 

(2) Include the test results and 

describe the remedy for each engine in 

the written report required under 

§ 1045.345. 

(b) You may request to amend the 

application for certification to raise the 

FEL of the entire engine family at this 

point (see § 1045.225). 

§ 1045.325 What happens if an engine 

family fails the production-line testing 

requirements? 

(a) We may suspend your certificate of 

conformity for an engine family if it fails 

under § 1045.315. The suspension may 

apply to all facilities producing engines 

from an engine family even if you find 

noncompliant engines only at one 

facility. 

(b) We will tell you in writing if we 

suspend your certificate in whole or in 

part. We will not suspend a certificate 

until at least 15 days after the engine 

family fails. The suspension is effective 

when you receive our notice. 

(c) Up to 15 days after we suspend the 

certificate for an engine family, you may 

ask for a hearing (see § 1045.820). If we 

agree before a hearing occurs that we 

used erroneous information in deciding 

to suspend the certificate, we will 

reinstate the certificate. 

(d) Section 1045.335 specifies steps 

you must take to remedy the cause of 

the engine family’s production-line 

failure. All the engines you have 

produced since the end of the last test 

period are presumed noncompliant and 

should be addressed in your proposed 

remedy. We may require you to apply 

the remedy to engines produced earlier 

if we determine that the cause of the 

failure is likely to have affected the 

earlier engines. 

(e) You may request to amend the 

application for certification to raise the 

FEL of the engine family before or after 

we suspend your certificate as described 

in § 1045.225(f). We will approve your 

request if the failure is not caused by a 

defect and it is clear that you used good 

engineering judgment in establishing 

the original FEL. 

§ 1045.330 May I sell engines from an 

engine family with a suspended certificate 

of conformity? 

You may sell engines that you 

produce after we suspend the engine 

family’s certificate of conformity under 

§ 1045.315 only if one of the following 

occurs: 

(a) You test each engine you produce 

and show it complies with emission 

standards that apply. 

(b) We conditionally reinstate the 

certificate for the engine family. We may 

do so if you agree to recall all the 

affected engines and remedy any 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59213 

noncompliance at no expense to the 

owner if later testing shows that the 

engine family still does not comply. 

§ 1045.335 How do I ask EPA to reinstate 

my suspended certificate? 

(a) Send us a written report asking us 

to reinstate your suspended certificate. 

In your report, identify the reason for 

noncompliance, propose a remedy for 

the engine family, and commit to a date 

for carrying it out. In your proposed 

remedy include any quality control 

measures you propose to keep the 

problem from happening again. 

(b) Give us data from production-line 

testing that shows the remedied engine 

family complies with all the emission 

standards that apply. 

§ 1045.340 When may EPA revoke my 

certificate under this subpart and how may 

I sell these engines again? 

(a) We may revoke your certificate for 

an engine family in the following cases: 

(1) You do not meet the reporting 

requirements. 

(2) Your engine family fails to comply 

with the requirements of this subpart 

and your proposed remedy to address a 

suspended certificate under § 1045.335 

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. 

§ 1045.345 What production-line testing 

records must I send to EPA? 

(a) Within 45 days of the end of each 

test period, send us a report with the 

following information: 

(1) Describe any facility used to test 

production-line engines and state its 

location. 

(2) State the total U.S.-directed 

production volume and number of tests 

for each engine family. 

(3) Describe how you randomly 

selected engines. 

(4) Describe each test engine, 

including the engine family’s 

identification and the engine’s model 

year, build date, model number, 

identification number, and number of 

hours of operation before testing. 

(5) Identify how you accumulated 

hours of operation on the engines and 

describe the procedure and schedule 

you used. 

(6) Provide the test number; the date, 

time and duration of testing; test 

procedure; all initial test results; final 

test results; and final deteriorated test 

results for all tests. Provide the emission 

results for all measured pollutants. 

Include information for both valid and 

invalid tests and the reason for any 

invalidation. 

(7) Describe completely and justify 

any nonroutine adjustment, 

modification, repair, preparation, 

maintenance, or test for the test engine 

if you did not report it separately under 

this subpart. Include the results of any 

emission measurements, regardless of 

the procedure or type of engine. 

(8) Provide the CumSum analysis 

required in § 1045.315 and the samplesize calculation required in § 1045.310 

for each engine family. 

(9) Report on each failed engine as 

described in § 1045.320. 

(10) State the date the test period 

ended for each engine family. 

(b) We may ask you to add 

information to your written report so we 

can determine whether your new 

engines conform with the requirements 

of this subpart. We may also ask you to 

send less information. 

(c) An authorized representative of 

your company must sign the following 

statement: 

We submit this report under sections 

208 and 213 of the Clean Air Act. Our 

production-line testing conformed 

completely with the requirements of 40 

CFR part 1045. We have not changed 

production processes or quality-control 

procedures for test engines in a way that 

might affect emission controls. All the 

information in this report is true and 

accurate to the best of my knowledge. I 

know of the penalties for violating the 

Clean Air Act and the regulations. 

(Authorized Company Representative). 

(d) Send electronic reports of 

production-line testing to the 

Designated Compliance Officer using an 

approved information format. If you 

want to use a different format, send us 

a written request with justification for a 

waiver. 

(e) We will send copies of your 

reports to anyone from the public who 

asks for them. Section 1045.815 

describes how we treat information you 

consider confidential. 

§ 1045.350 What records must I keep? 

(a) Organize and maintain your 

records as described in this section. We 

may review your records at any time. 

(b) Keep paper or electronic records of 

your production-line testing for eight 

years after you complete all the testing 

required for an engine family in a model 

year. 

(c) Keep a copy of the written reports 

described in § 1045.345. 

(d) Keep the following additional 

records: 

(1) A description of all test equipment 

for each test cell that you can use to test 

production-line engines. 

(2) The names of supervisors involved 

in each test. 

(3) The name of anyone who 

authorizes adjusting, repairing, 

preparing, or modifying a test engine 

and the names of all supervisors who 

oversee this work. 

(4) If you shipped the engine for 

testing, the date you shipped it, the 

associated storage or port facility, and 

the date the engine arrived at the testing 

facility. 

(5) Any records related to your 

production-line tests that are not in the 

written report. 

(6) A brief description of any 

significant events during testing not 

otherwise described in the written 

report or in this section. 

(7) Any information specified in 

§ 1045.345 that you do not include in 

your written reports. 

(e) If we ask, you must give us a more 

detailed description of projected or 

actual production figures for an engine 

family. We may ask you to divide your 

production figures by maximum engine 

power, displacement, fuel type, or 

assembly plant (if you produce engines 

at more than one plant). 

(f) Keep records of the engine 

identification number for each engine 

you produce under each certificate of 

conformity. You may identify these 

numbers as a range. Give us these 

records within 30 days if we ask for 

them. 

(g) We may ask you to keep or send 

other information necessary to 

implement this subpart. 

Subpart E—In-Use Testing 

§ 1045.401 What testing requirements 

apply to my engines that have gone into 

service? 

(a) We may perform in-use testing of 

any engines subject to the standards of 

this part. If you produce outboard or 

personal watercraft engines that are 

subject to the requirements of this part, 

you must test them as described in this 

subpart. The testing requirements 

mstockstill on PROD1PC66 with RULES2

59214 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

described in this subpart do not apply 

to sterndrive/inboard engines. This 

generally involves testing engines in the 

field or removing them for measurement 

in a laboratory. 

(b) We may approve an alternate plan 

for showing that in-use engines comply 

with the requirements of this part if one 

of the following is true: 

(1) You produce 200 or fewer engines 

per year in the selected engine family. 

(2) You identify a unique aspect of 

your engine applications that keeps you 

from doing the required in-use testing. 

(c) We may void your certificate of 

conformity for an engine family if you 

do not meet your obligations under this 

part. 

(d) Independent of your responsibility 

to test in-use engines, we may choose at 

any time to do our own testing of your 

in-use engines. 

(e) If in-use testing shows that engines 

fail to meet emission standards or other 

requirements of this part, we may 

pursue a recall or other remedy as 

allowed by the Clean Air Act (see 

§ 1045.415). 

§ 1045.405 How does this program work? 

(a) You must test in-use engines for 

exhaust emissions from the families we 

select. We may select up to 25 percent 

of your engine families in any model 

year—or one engine family if you have 

three or fewer families. When we select 

an engine family for testing, we may 

specify that you preferentially test 

engines based on the type of vessel. In 

addition, we may identify specific 

modes of operation or sampling times. 

You may choose to test additional 

engine families that we do not select. 

(b) The provisions of this paragraph 

(b) describe how test families are 

selected, depending on when we receive 

the application for certification. 

(1) If we receive the application by 

December 31 of a given calendar year for 

the following model year (for example, 

by December 31, 2009 for model year 

2010), we would expect to select engine 

families for testing by February 28 of the 

model year. If we have not completed 

the selection of engine families by 

February 28, you may select your own 

engine families for in-use testing. In this 

case, you must make your selections 

and notify us which engine families you 

have selected by March 31. You should 

consider the following factors in 

selecting engine families, in priority 

order: 

(i) Select an engine family that has not 

recently been tested in an in-use testing 

regimen (and passed) under the 

provisions of this subpart. This should 

generally involve engine families that 

have not been selected in the previous 

two model years. If design changes have 

required new testing for certification, 

we would consider that this engine 

family has not been selected for in-use 

testing. 

(ii) Select an engine family if we have 

approved an alternative approach to 

establishing a deterioration factor under 

§ 1045.245(b)(8). 

(iii) Select the engine family with the 

highest projected U.S.-directed 

production volume. 

(2) If we receive an application for a 

given model year after December 31 of 

the previous calendar year, you must 

conduct in-use testing with that engine 

family without regard to the limitations 

specified in paragraph (a) of this 

section, unless we waive this 

requirement. We will generally waive 

testing under this paragraph (b)(2) only 

for small-volume engine manufacturers 

or in the case where similar testing was 

recently completed for a related engine 

family. 

(c) Send us an in-use testing plan for 

engine families selected for testing. 

Complete the testing within 24 calendar 

months after we approve your plan. 

Send us the in-use testing plan 

according to the following deadlines: 

(1) Within 12 calendar months after 

we direct you to test a particular engine 

family. 

(2) By February 28 of the following 

year if you select engine families for 

testing under paragraph (b)(1) of this 

section. 

(3) Within 12 calendar months after 

we approve certification for engine 

families subject to the requirements of 

paragraph (b)(2) of this section. 

(d) You may need to test engines from 

more than one model year at a given 

time. 

(e) In appropriate extreme and 

unusual circumstances that are clearly 

outside your control and could not have 

been avoided by the exercise of 

prudence, diligence, and due care, we 

may waive the in-use testing 

requirement for an engine family. For 

example, if your test fleet is destroyed 

by severe weather during service 

accumulation and we agree that 

completion of testing is not possible, we 

would generally waive testing 

requirements for that engine family. 

§ 1045.410 How must I select, prepare, and 

test my in-use engines? 

(a) You may make arrangements to 

select representative test engines from 

your own fleet or from other 

independent sources. 

(b) For the selected engine families, 

select engines that you or your 

customers have— 

(1) Operated for at least 50 percent of 

the engine family’s useful life (see 

§ 1045.103(e)); 

(2) Not maintained or used in an 

abnormal way; and 

(3) Documented in terms of total 

hours of operation, maintenance, 

operating conditions, and storage. 

(c) Use the following methods to 

determine the number of engines you 

must test in each engine family: 

(1) Test at least two engines if you 

produce 2,000 or fewer engines in the 

model year from all engine families, or 

if you produce 500 or fewer engines 

from the selected engine family. 

Otherwise, test at least four engines. 

(2) If you successfully complete an inuse test program on an engine family 

and later certify an equivalent engine 

family with carryover emission data, as 

described in § 1045.235(d)(1), then test 

at least one engine instead of the testing 

rates in paragraph (c)(1) of this section. 

(3) If you test the minimum required 

number of engines and all comply fully 

with emission standards, you may stop 

testing. 

(4) For each engine that fails any 

applicable emission 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. 

(6) In appropriate extreme and 

unusual circumstances that could not 

have been avoided by the exercise of 

prudence, diligence, and due care, we 

may waive the in-use testing 

requirement for an engine family. 

(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 

§ 1045.205(r)). Limit maintenance to 

what is in the owner’s instructions for 

engines with that amount of service and 

age. Document all maintenance and 

adjustments. 

(e) You may do repeat measurements 

with a test engine; however, you must 

conduct the same number of tests on 

each engine. 

(f) For a test program on an engine 

family, choose one of the following 

methods to test your engines: 

(1) Remove the selected engines for 

testing in a laboratory. Use the 

applicable procedures in subpart F of 

this part to show compliance with the 

duty-cycle standards in § 1045.103(a) or 

§ 1045.105(a). We may direct you to 

measure emissions on the dynamometer 

using the test procedures in § 1045.515 

to show compliance with the not-toexceed standards in § 1045.107. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59215 

(2) Test the selected engines while 

they remain installed in the vessel. Use 

the procedures in § 1045.515. Measure 

emissions during normal operation of 

the vessel to show compliance with the 

not-to-exceed standards in § 1045.107. 

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. 

§ 1045.415 What happens if in-use engines 

do not meet requirements? 

(a) Determine the reason each in-use 

engine exceeds the emission standards. 

(b) If the average emission levels 

calculated in § 1045.410(h) exceed any 

of the emission standards that apply, 

notify us within fifteen days of 

completing testing on this family. 

Otherwise follow the reporting 

instructions in § 1045.420. 

(c) We will consider failure rates, 

average emission levels, and any 

defects—among other things—to decide 

on taking remedial action under this 

subpart (see 40 CFR 1068.505). We may 

consider the results from any voluntary 

additional testing you perform. We may 

also consider information related to 

testing from other engine families 

showing that you designed them to 

exceed the minimum requirements for 

controlling emissions. We may order a 

recall before or after you complete 

testing of an engine family if we 

determine a substantial number of 

engines do not conform to section 213 

of the Clean Air Act or to this part. The 

scope of the recall may include other 

engine families in the same or different 

model years if the cause of the problem 

identified in paragraph (a) of this 

section applies more broadly than the 

tested engine family, as allowed by the 

Clean Air Act. 

(d) If in-use testing reveals a design or 

manufacturing defect that prevents 

engines from meeting the requirements 

of this part, you must correct the defect 

as soon as possible for any future 

production for engines in every family 

affected by the defect. See 40 CFR 

1068.501 for additional requirements 

related to defect reporting. 

(e) You may voluntarily recall an 

engine family for emission failures, as 

described in 40 CFR 1068.535, unless 

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 § 1045.820). 

§ 1045.420 What in-use testing information 

must I report to EPA? 

(a) In a report to us within three 

months after you finish testing an 

engine family, do all the following: 

(1) Identify the engine family, model, 

serial number, and date of manufacture. 

(2) [Reserved] 

(3) Describe the specific reasons for 

disqualifying any engines for not being 

properly maintained or used. 

(4) For each engine selected for 

testing, include the following 

information: 

(i) Estimate the hours each engine was 

used before testing. 

(ii) Describe all maintenance, 

adjustments, modifications, and repairs 

to each test engine. 

(5) State the date and time of each test 

attempt. 

(6) Include the results of all emission 

testing, including incomplete or 

invalidated tests, if any. 

(b) Send electronic reports of in-use 

testing to the Designated Compliance 

Officer using an approved information 

format. If you want to use a different 

format, send us a written request with 

justification for a waiver. 

(c) We will send copies of your 

reports to anyone from the public who 

asks for them. See § 1045.815 for 

information on how we treat 

information you consider confidential. 

(d) We may ask for more information. 

§ 1045.425 What records must I keep? 

(a) Organize and maintain your 

records as described in this section. We 

may review your records at any time, so 

it is important to keep required 

information readily available. 

(b) Keep paper records of your in-use 

testing for one full year after you 

complete all the testing required for an 

engine family in a model year. You may 

use any additional storage formats or 

media if you like. 

(c) Keep a copy of the written reports 

described in § 1045.420. 

(d) Keep any additional records 

related to the procurement process. 

Subpart F—Test Procedures 

§ 1045.501 How do I run a valid emission 

test? 

(a) Applicability. This subpart is 

addressed to you as a manufacturer but 

it applies equally to anyone who does 

testing for you, and to us when we 

perform testing to determine if your 

engines meet emission standards. 

(b) General requirements. Use the 

equipment and procedures for sparkignition engines in 40 CFR part 1065 to 

determine whether engines meet the 

duty-cycle emission standards in 

§§ 1045.103 and 1045.105. Measure the 

emissions of all regulated pollutants as 

specified in 40 CFR part 1065. Use the 

applicable duty cycles specified in 

§ 1045.505. Section 1045.515 describes 

the supplemental procedures for 

evaluating whether engines meet the 

not-to-exceed emission standards in 

§ 1045.107. 

(c) Fuels. Use the fuels and lubricants 

specified in 40 CFR part 1065, subpart 

H, for all the testing we require in this 

part, except as specified in § 1045.515. 

Use gasoline meeting the specifications 

described in 40 CFR 1065.710 for 

general testing. For service 

accumulation, use the test fuel or any 

commercially available fuel that is 

representative of the fuel that in-use 

engines will use. You may alternatively 

use gasoline blended with ethanol as 

follows: 

(1) You may use the ethanol-blended 

fuel for certifying engines under this 

part without our advance approval. If 

you use the blended fuel for certifying 

a given engine family, you may also use 

it for production-line testing or any 

other testing you perform for that engine 

family under this part. If you use the 

blended fuel for certifying a given 

engine family, we may use the blended 

fuel or the specified gasoline test fuel 

with that engine family. 

(2) The blended fuel must consist of 

a mix of gasoline meeting the 

specifications described in 40 CFR 

1065.710 for general testing and fuelgrade ethanol meeting the specifications 

described in 40 CFR 1060.501(c) such 

that the blended fuel has 10.0+1.0 

percent ethanol by volume. You may 

also use ethanol with a higher or lower 

purity if you show us that it will not 

affect your ability to demonstrate 

compliance with the applicable 

emission standards. You do not need to 

measure the ethanol concentration of 

such blended fuels and may instead 

calculate the blended composition by 

assuming that the ethanol is pure and 

mixes perfectly with the base fuel. 

(d) Laboratory conditions. Ambient 

conditions for duty-cycle testing must 

be within ranges specified in 40 CFR 

1065.520, subject to the provisions of 

§ 1045.115(d). Emissions may not be 

corrected for the effects of test 

temperature or pressure. Humidity 

levels must represent actual in-use 

humidity levels; however, you may 

correct emissions for humidity as 

specified in 40 CFR 1065.670. 

(e) Engine stabilization. Instead of the 

provisions of 40 CFR 1065.405, you may 

consider emission levels stable without 

mstockstill on PROD1PC66 with RULES2

59216 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

measurement after 12 hours of engine 

operation. 

(f) Maximum test speed. Instead of the 

provisions of 40 CFR 1065.510(f), you 

may declare a value of maximum test 

speed for laboratory testing that is 

within 500 rpm of the corresponding 

measured value for maximum test 

speed. 

(g) Special and alternate procedures. 

If you are unable to run the duty cycle 

specified in this part for your engine 

(such as with constant-speed engines), 

use an alternate test cycle that will 

result in a cycle-weighted emission 

measurement equivalent to the expected 

average in-use emissions. This cycle 

must be approved under 40 CFR 

1065.10. You may use other special or 

alternate procedures to the extent we 

allow them under 40 CFR 1065.10. 

(h) Laboratory testing with portable 

analyzers. You may use field-grade 

equipment for any laboratory testing 

with high-performance engines, as 

specified in 40 CFR 1065.901(b), 

without requesting approval. 

§ 1045.505 How do I test engines using 

discrete-mode or ramped-modal duty 

cycles? 

(a) This section describes how to test 

engines under steady-state conditions. 

We allow you to perform tests with 

either discrete-mode or ramped-modal 

sampling. You must use the modal 

testing method for certification and all 

other testing you perform for an engine 

family. If we test your engines to 

confirm that they meet emission 

standards, we will use the modal testing 

method you select for your own testing. 

If you submit certification test data 

collected with both discrete-mode and 

ramped-modal testing (either in your 

original application or in an amendment 

to your application), either method may 

be used for subsequent testing. We may 

also perform other testing as allowed by 

the Clean Air Act. Conduct duty-cycle 

testing as follows: 

(1) For discrete-mode testing, sample 

emissions separately for each mode, 

then calculate an average emission level 

for the whole cycle using the weighting 

factors specified for each mode. In each 

mode, operate the engine for at least 5 

minutes, then sample emissions for at 

least 1 minute. Calculate cycle statistics 

and compare with the established 

criteria as specified in 40 CFR 1065.514 

to confirm that the test is valid. 

(2) For ramped-modal testing, start 

sampling at the beginning of the first 

mode and continue sampling until the 

end of the last mode. Calculate 

emissions and cycle statistics the same 

as for transient testing as specified in 40 

CFR part 1065. 

(b) Measure emissions by testing the 

engine on a dynamometer to determine 

whether it meets the emission standards 

in §§ 1045.103(a) and 1045.105(a). Use 

the 5-mode duty cycle or the 

corresponding ramped-modal cycle 

described in Appendix I of this part. 

(c) During idle mode, operate the 

engine at its warm idle speed as 

described in 40 CFR 1065.510; this may 

involve a nonzero torque setting if that 

represents in-use operation. 

(d) For full-load operating modes, 

operate the engine at wide-open throttle. 

(e) See 40 CFR part 1065 for detailed 

specifications of tolerances and 

calculations. 

§ 1045.515 What are the test procedures 

related to not-to-exceed standards? 

(a) This section describes the 

procedures to determine whether your 

engines meet the not-to-exceed emission 

standards in § 1045.107. These 

procedures may include any normal 

engine operation and ambient 

conditions that the engines may 

experience in use. Paragraphs (b) and (c) 

of this section define the limits of what 

we will consider normal engine 

operation and ambient conditions. Use 

the test procedures we specify in 

§ 1045.501, 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 may use an 

engine dynamometer to simulate normal 

operation, as described in this section. 

(2) Test the selected engines while 

they remain installed on a vessel. In 40 

CFR part 1065, subpart J, we describe 

the equipment and sampling methods 

for testing engines in the field. Use fuel 

meeting the specifications of 40 CFR 

part 1065, subpart H, or a fuel typical 

of what you would expect the engine to 

use in service. 

(b) Engine testing may occur under a 

range of ambient conditions as follows: 

(1) Engine testing may occur under 

the following ranges of ambient 

conditions without correcting measured 

emission levels: 

(i) Barometric pressure must be 

between 94.0 and 103.325 kPa. 

(ii) Ambient air temperature must be 

between 13 and 35 °C. 

(iii) Ambient water temperature must 

be between 5 and 27 °C. 

(iv) Any ambient humidity level. 

(2) Engine testing may occur outside 

the conditions described in paragraph 

(b)(1) of this section, as long as 

measured values are corrected to be 

equivalent to the nearest end of the 

specified range using good engineering 

practice. 

(c) An engine’s emissions may not 

exceed the NTE standards in § 1045.107 

under the following ranges of engine 

operation: 

(1) The sampling period may not 

begin until the engine has reached 

stable operating temperatures. For 

example, this would exclude engine 

operation after starting until the 

thermostat starts modulating coolant 

temperature. The sampling period may 

also not include engine starting. For 

testing under paragraphs (c)(4) and (6) 

of this section, the NTE standards apply 

for any continuous sampling period of 

at least 30 seconds. 

(2) Engine operation during the 

emission sampling period may include 

any nominally steady-state combination 

of speeds and loads within the 

applicable zone defined by segments on 

an engine’s power vs. speed map 

specified in paragraphs (c)(3) through 

(6) of this section, except as follows: 

(i) You may request that we specify a 

narrower zone, as long as the modified 

zone includes all points where your 

engines are expected to normally 

operate in use, but not including any 

points at which engine speed is below 

40 percent of maximum test speed or 

engine load is below 25.3 percent of 

maximum torque at maximum test 

speed. However, we may perform valid 

tests at any speeds and loads within the 

zones specified in paragraphs (c)(3) 

through (6) of this section that we 

observe with in-use engines. The engine 

must comply with emission standards at 

all such speeds and loads unless we 

determine that one of following criteria 

are true: 

(A) Such speeds and loads occur very 

infrequently. This determination may 

consider whether the operation would 

be expected to result in damage to the 

engine or vessel or be inherently unsafe. 

(B) Such speeds and loads result from 

the engine being installed in a manner 

that is not consistent with your 

emission-related installation 

instructions. 

(ii) You must notify us if you design 

your engines for normal in-use 

operation outside the specified zone. If 

we learn that normal in-use operation 

for your engines includes other speeds 

and loads, we may specify a broader 

zone, as long as the modified zone is 

limited to normal in-use operation for 

speeds greater than 40 percent of 

maximum test speed and loads greater 

than 25.3 percent of maximum torque at 

maximum test speed. 

(3) The NTE zone for testing engines 

under this section is defined by the 

following segments on an engine’s 

torque vs. speed map, as illustrated in 

Figures 1 through 3 of this section: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59217 

(i) Speed at or above 40 percent of 

maximum test speed. 

(ii) Speeds and torques below the line 

defined by the following equation: 

Normalized torque = 1.5 × normalized 

speed¥0.16 

(iii) Speeds and torques at or below 

the engine’s mapped torque values. 

(iv) Speeds at or below 100 percent of 

maximum test speed, except as 

specified in paragraph (c)(5) of this 

section. 

(v) Speeds and torques above the line 

defined by the following equation: 

Normalized torque = (normalized 

speed)1.5¥0.08 

(vi) Torques at or above 25.3 percent 

of maximum torque at maximum test 

speed, except as specified in paragraph 

(c)(5) of this section. 

(4) For engines equipped with a 

catalyst, the NTE zone described in 

paragraph (c)(3) of this section is 

divided into the following subzones for 

determining the applicable NTE 

standards, as illustrated in Figure 1 of 

this section: 

(i) Subzone 1 includes all operation in 

the NTE zone characterized by speeds 

and torques above the line represented 

by the following equation: 

(percent torque) = 1.2¥0.5 × (percent 

speed) 

(ii) Subzone 2 includes all operation 

in the NTE zone not included in 

Subzone 1. 

(5) For two-stroke engines not 

equipped with a catalyst, the NTE zone 

described in paragraph (c)(3) of this 

section is divided into subzones for 

testing to determine compliance with 

the applicable NTE standards. Measure 

emissions to get an NTE result by 

collecting emissions at five points as 

described in this paragraph (c)(5). 

Calculate a weighted test result for these 

emission measurements using the 

weighting factors from Appendix I of 

this part for the corresponding modal 

result (similar to discrete-mode testing 

for certification). Test engines over the 

following modes corresponding to the 

certification duty cycle: 

(i) Mode 1: Operate the engine at wide 

open throttle. For laboratory testing, this 

may involve any torque value between 

the boundaries specified in paragraph 

(c)(3) of this section. 

(ii) Mode 2: Operate the engine at a 

nominal speed that is 80 percent of 

maximum test speed at any torque value 

between the boundaries specified in 

paragraph (c)(3) of this section. 

(iii) Mode 3: Operate the engine at a 

nominal speed that is 60 percent of 

maximum test speed at any torque value 

between the boundaries specified in 

paragraph (c)(3) of this section. 

(iv) Mode 4: Operate the engine at a 

nominal speed that is 40 percent of 

maximum test speed at any torque value 

between the boundaries specified in 

paragraphs (c)(3)(ii) and (v) of this 

section. 

(v) Mode 5: Operate the engine at idle. 


mstockstill on PROD1PC66 with RULES2ER08OC08.075</GPH>
59218 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(6) For any engines not covered by 

paragraphs (c)(4) and (5) of this section, 

the NTE zone described in paragraph 

(c)(3) of this section is divided into the 

following subzones for determining the 

applicable NTE standards, as illustrated 

in Figure 2 of this section: 

(i) Subzone 1 includes all operation in 

the NTE zone at speeds above 50 

percent of maximum test speed. 

(ii) Subzone 2 includes all operation 

in the NTE zone not included in 

Subzone 1. 


mstockstill on PROD1PC66 with RULES2ER08OC08.076</GPH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59219 

§ 1045.520 What testing must I perform to 

establish deterioration factors? 

Sections 1045.240 and 1045.245 

describe the required methods for 

testing to establish deterioration factors 

for an engine family. 

Subpart G—Special Compliance 

Provisions 

§ 1045.601 What compliance provisions 

apply to these engines? 

Engine and vessel manufacturers, as 

well as owners, operators, and 

rebuilders of engines subject to the 

requirements of this part, and all other 

persons, must observe the provisions of 

this part, the requirements and 

prohibitions in 40 CFR part 1068, and 

the provisions of the Clean Air Act. 

§ 1045.605 What provisions apply to 

engines already certified under the motor 

vehicle or Large SI programs? 

(a) General provisions. If you are an 

engine manufacturer, this section allows 

you to introduce new propulsion marine 

engines into U.S. commerce if they are 

already certified to the requirements 

that apply to spark-ignition engines 

under 40 CFR parts 85 and 86 or part 

1048 for the appropriate model year. If 

you comply with all the provisions of 

this section, we consider the certificate 

issued under 40 CFR part 86 or 1048 for 

each engine to also be a valid certificate 

of conformity under this part 1045 for 

its model year, without a separate 

application for certification under the 

requirements of this part 1045. 

(b) Vessel-manufacturer provisions. If 

you are not an engine manufacturer, you 

may produce vessels using motor 

vehicle engines or nonroad sparkignition engines under this section as 

long as you meet all the requirements 

and conditions specified in paragraph 

(d) of this section. If you modify the 

engine in any of the ways described in 

paragraph (d)(2) of this section, we will 

consider you a manufacturer of a new 

propulsion marine engine. Such engine 

modifications prevent you from using 

the provisions of this section. 

(c) Liability. Engines for which you 

meet the requirements of this section are 

exempt from all the requirements and 

prohibitions of this part, except for 

those specified in this section. Engines 

exempted under this section must meet 

all the applicable requirements from 40 

CFR parts 85 and 86, or part 1048. This 

applies to engine manufacturers, vessel 

manufacturers who use these engines, 

and all other persons as if these engines 

were used in applications other than for 

installation as propulsion marine 

engines. The prohibited acts of 40 CFR 

1068.101(a)(1) apply to these new 

engines and vessels; however, we 

consider the certificate issued under 40 

CFR part 86 or 1048 for each engine to 

also be a valid certificate of conformity 

under this part 1045 for its model year. 

If we make a determination that these 

engines do not conform to the 

regulations during their useful life, we 

may require you to recall them under 40 

CFR part 86 or 1068. 

(d) Specific requirements. If you are 

an engine or vessel manufacturer and 

meet all the following criteria and 

requirements regarding your new 

propulsion marine engine, the engine is 

eligible for an exemption under this 

section: 

(1) Your engine must be covered by a 

valid certificate of conformity issued 

under 40 CFR part 86 or 1048. 

(2) You must not make any changes to 

the certified engine that could 

reasonably be expected to increase its 

exhaust emissions for any pollutant, or 

its evaporative emissions. For example, 

if you make any of the following 


mstockstill on PROD1PC66 with RULES2ER08OC08.077</GPH>
59220 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

changes to one of these engines, you do 

not qualify for this exemption: 

(i) Change any fuel-system or 

evaporative-system parameters from the 

certified configuration (this does not 

apply to refueling controls). 

(ii) Change, remove, or fail to properly 

install any other component, element of 

design, or calibration specified in the 

engine manufacturer’s application for 

certification. This includes 

aftertreatment devices and all related 

components. 

(iii) Modify or design the marine 

engine cooling system so that 

temperatures or heat rejection rates are 

outside the original engine 

manufacturer’s specified ranges. 

(3) You must show that fewer than 10 

percent of the engine family’s total sales 

in the United States are used in marine 

applications. This includes engines 

used in any application without regard 

to which company manufactures the 

vessel or equipment. Show this as 

follows: 

(i) If you are the original manufacturer 

of the engine, base this showing on your 

sales information. 

(ii) In all other cases, you must get the 

original manufacturer of the engine to 

confirm this based on its sales 

information. 

(4) You must ensure that the engine 

has the label we require under 40 CFR 

part 86 or 1048. 

(5) You must add a permanent 

supplemental label to the engine in a 

position where it will remain clearly 

visible after installation in the vessel. In 

the supplemental label, do the 

following: 

(i) Include the heading: ‘‘MARINE 

ENGINE EMISSION CONTROL 

INFORMATION’’. 

(ii) Include your full corporate name 

and trademark. You may instead 

include the full corporate name and 

trademark of another company you 

choose to designate. 

(iii) State: ‘‘THIS ENGINE WAS 

ADAPTED FOR MARINE USE 

WITHOUT AFFECTING ITS EMISSION 

CONTROLS.’’ 

(iv) If the modified engine is certified 

as a motor vehicle engine, also state: 

‘‘THE EMISSION CONTROL SYSTEM 

DEPENDS ON THE USE OF FUEL 

MEETING SPECIFICATIONS THAT 

APPLY FOR MOTOR VEHICLE 

APPLICATIONS. OPERATING THE 

ENGINE ON OTHER FUELS MAY BE A 

VIOLATION OF FEDERAL LAW.’’ 

(v) State the date you finished 

modifying the engine (month and year), 

if applicable. 

(6) The original and supplemental 

labels must be readily visible after the 

engine is installed in the vessel or, if the 

vessel obscures the engine’s emission 

control information label, the vessel 

manufacturer must attach duplicate 

labels, as described in 40 CFR 1068.105. 

(7) Send the Designated Compliance 

Officer a signed letter by the end of each 

calendar year (or less often if we tell 

you) with all the following information: 

(i) Identify your full corporate name, 

address, and telephone number. 

(ii) List the engine or vessel models 

you expect to produce under this 

exemption in the coming year and 

describe your basis for meeting the sales 

restrictions of paragraph (d)(3) of this 

section. 

(iii) State: ‘‘We produce each listed 

[engine or vessel] model without 

making any changes that could increase 

its certified emission levels, as 

described in 40 CFR 1045.605.’’ 

(e) Failure to comply. If your engines 

do not meet the criteria listed in 

paragraph (d) of this section, they will 

be subject to the standards, 

requirements, and prohibitions of this 

part 1045 and the certificate issued 

under 40 CFR part 86 or 1048 will not 

be deemed to also be a certificate issued 

under this part 1045. Introducing these 

engines into U.S. commerce without a 

valid exemption or certificate of 

conformity under this part violates the 

prohibitions in 40 CFR 1068.101(a)(1). 

(f) Data submission. We may require 

you to send us emission test data on one 

of the duty cycles specified in subpart 

F of this part. 

(g) Participation in averaging, banking 

and trading. Engines adapted for marine 

use under this section may not generate 

or use emission credits under this part 

1045. These engines may generate 

credits under the ABT provisions in 40 

CFR part 86. These engines must use 

emission credits under 40 CFR part 86 

if they are certified to an FEL above a 

standard that applies under 40 CFR part 

86. 

§ 1045.610 What provisions apply to using 

engines already certified to Small SI 

emission standards? 

This section applies to marine engines 

that are identical to land-based engines 

certified under 40 CFR part 90 or 1054. 

See § 1045.605 for provisions that apply 

to marine engines that are certified 

under other programs. 

(a) If an engine meets all the following 

criteria, it is exempt from the 

requirements of this part: 

(1) The engine must be in an engine 

family that has a valid certificate of 

conformity showing that it meets 

emission standards for nonhandheld 

engines under 40 CFR part 90 or 1054 

for the appropriate model year. 

(2) You must show that fewer than 5 

percent of the engine family’s total sales 

in the United States are used in marine 

applications. This includes engines 

used in any application without regard 

to which company manufactures the 

vessel or equipment. 

Show this as follows: 

(i) If you are the original manufacturer 

of the engine, base this showing on your 

sales information. 

(ii) In all other cases, you must get the 

original manufacturer of the engine to 

confirm this based on its sales 

information. 

(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. 

(c) Engines exempted under this 

section are subject to all the 

requirements affecting engines under 40 

CFR part 90 or 1054. The requirements 

and restrictions of 40 CFR part 90 or 

1054 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 were not used as 

propulsion marine engines. 

(d) You may use the provisions of 

§ 1045.605 in addition to the provisions 

of this section for engines certified 

under 40 CFR part 1054. Where 

§ 1045.605 references 40 CFR parts 85, 

86, and/or 1048, apply the applicable 

provisions of 40 CFR part 1054 instead. 

Include the engines you sell under this 

section in your demonstration that you 

meet the sales limit in § 1045.605(d)(3). 

§ 1045.620 What are the provisions for 

exempting engines used solely for 

competition? 

The provisions of this section apply 

for new engines and vessels built on or 

after January 1, 2010. 

(a) We may grant you an exemption 

from the standards and requirements of 

this part for a new engine on the 

grounds that it is to be used solely for 

competition. The requirements of this 

part, other than those in this section, do 

not apply to engines that we exempt for 

use solely for competition. 

(b) We will exempt engines that we 

determine will be used solely for 

competition. The basis of our 

determination is described in 

paragraphs (c) and (d) of this section. 

Exemptions granted under this section 

are good for only one model year and 

you must request renewal for each 

subsequent model year. We will not 

approve your renewal request if we 

determine the engine will not be used 

solely for competition. 

(c) Engines meeting all the following 

criteria are considered to be used solely 

for competition: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59221 

(1) Neither the engine nor any vessels 

containing the engine may be displayed 

for sale in any public dealership or 

otherwise offered for sale to the general 

public. Note that this does not preclude 

display of these engines as long as they 

are not available for sale to the general 

public. 

(2) Sale of the vessel in which the 

engine is installed must be limited to 

professional racing teams, professional 

racers, or other qualified racers. For 

replacement engines, the sale of the 

engine itself must be limited to 

professional racing teams, professional 

racers, other qualified racers, or to the 

original vessel manufacturer. 

(3) The engine and the vessel in 

which it is installed must have 

performance characteristics that are 

substantially superior to noncompetitive 

models. 

(4) The engines are intended for use 

only as specified in paragraph (e) of this 

section. 

(d) You may ask us to approve an 

exemption for engines not meeting the 

criteria listed in paragraph (c) of this 

section as long as you have clear and 

convincing evidence that the engines 

will be used solely for competition. 

(e) Engines are considered to be used 

solely for competition only if their use 

is limited to competition events 

sanctioned by the U.S. Coast Guard or 

another public organization with 

authorizing permits for participating 

competitors. Operation of such engines 

may include only racing events, trials to 

qualify for racing events, and practice 

associated with racing events. 

Authorized attempts to set speed 

records are also considered racing 

events. Engines will not be considered 

to be used solely for competition if they 

are ever used for any recreational or 

other noncompetitive purpose. Use of 

exempt engines in any recreational 

events, such as poker runs and 

lobsterboat races, is a violation of 40 

CFR 1068.101(b)(4). 

(f) You must permanently label 

engines exempted under this section to 

clearly indicate that they are to be used 

only for competition. Failure to properly 

label an engine will void the exemption 

for that engine. 

(g) If we request it, you must provide 

us any information we need to 

determine whether the engines are used 

solely for competition. This would 

include documentation regarding the 

number of engines and the ultimate 

purchaser of each engine as well as any 

documentation showing a vessel 

manufacturer’s request for an exempted 

engine. Keep these records for five 

years. 

§ 1045.625 What requirements apply under 

the Diurnal Transition Program? 

The provisions of this section allow 

vessel manufacturers to produce a 

certain number of vessels with installed 

fuel tanks that do not meet the diurnal 

emission standards specified in 

§ 1045.112(d) and 40 CFR 1060.105. The 

provisions of this section do not apply 

for portable marine fuel tanks, personal 

watercraft, or outboard engines with 

under-cowl fuel tanks. Vessels you 

produce under this section are exempt 

from the prohibitions in 40 CFR 

1068.101(a)(1) with respect to diurnal 

emissions, subject to the provisions of 

this section. 

(a) General. If you are a vessel 

manufacturer, you may introduce into 

U.S. commerce limited numbers of 

exempted vessels under this section. 

You may use the exemptions in this 

section only if you have primary 

responsibility for designing and 

manufacturing vessels and your 

manufacturing procedures include 

installing some engines in these vessels. 

Consider all U.S.-directed vessel sales in 

showing that you meet the requirements 

of this section, including those from any 

parent or subsidiary companies and 

those from any other companies you 

license to produce vessels for you. 

These provisions are available for 

vessels you produce during the periods 

specified in paragraph (b) of this 

section. 

(b) Allowances. You may choose one 

of the following options to produce 

exempted vessels under this section: 

(1) Percent-of-production allowances. 

You may produce up to 50 percent of 

your vessels from July 31, 2011 through 

July 31, 2012 that are exempt from the 

diurnal emission standards. Calculate 

this percentage based on your total U.S.- 

directed production volume. 

(2) Small-volume allowances. Smallvolume vessel manufacturers may 

produce up to 1200 vessels from July 31, 

2011 through July 31, 2013 that are 

exempt from the diurnal emission 

standards. 

(c) Vessel labeling. You must add a 

permanent label, written legibly in 

English, to a readily visible part of each 

exempted vessel you produce under this 

section. You may combine this with the 

label required under 40 CFR 1060.135. 

This label must include at least the 

following items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) The vessel’s date of manufacture. 

(4) The following statement: ‘‘THIS 

VESSEL IS EXEMPT FROM DIURNAL 

STANDARDS UNDER 40 CFR 

1045.625.’’ 

(d) Notification and reporting. You 

must notify us of your intent to use the 

provisions of this section and send us 

an annual report to verify that you are 

not exceeding the allowances, as 

follows: 

(1) Before you produce vessels that 

are exempt under this section, send the 

Designated Compliance Officer a written 

notice of your intent with the following 

information: 

(i) Identify your company’s name and 

address, and your parent company’s 

name and address, if applicable. 

(ii) Identify the name, e-mail address, 

and phone number of a person to 

contact for further information. 

(iii) Identify the name and address of 

the company you expect to produce the 

fuel tanks you will be using for the 

vessels exempted under this section. 

(iv) If you qualify as a small-volume 

vessel manufacturer, state whether you 

will comply under paragraph (b)(1) or 

(b)(2) of this section. 

(v) Include your production figures 

for the period from July 31, 2009 

through July 31, 2010, including figures 

broken down by model. 

(2) Send the Designated Compliance 

Officer a written report by December 31, 

2012. If you are a small-volume 

manufacturer using the provisions of 

paragraph (b)(2) of this section to 

produce exempted vessels after July 31, 

2012, send us a second report by 

December 31, 2013. These reports must 

include the total number of vessels and 

the number of exempted vessels you 

sold in the preceding year for each 

model, based on actual U.S.-directed 

production information. You may omit 

the count of compliant vessels if you 

include in the report a statement that 

you are not using the percent-ofproduction allowances in paragraph 

(b)(1) of this section. If you initially 

comply using the percent-of-production 

allowances in paragraph (b)(1) of this 

section, you may not use the smallvolume allowances in paragraph (b)(2) 

of this section for later production. 

(3) If you send your initial notification 

under paragraph (d)(1) of this section 

after the specified deadline, we may 

approve your use of allowances under 

this section. In your request, describe 

why you were unable to meet the 

deadline. We will not approve your 

request if the delay could have been 

avoided with reasonable care and 

discretion. 

(e) Recordkeeping. Keep the following 

records of all exempted vessels you 

produce under this section: 

mstockstill on PROD1PC66 with RULES2

59222 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(1) The model number, serial number, 

and the date of manufacture for each 

vessel. 

(2) The total number or percentage of 

exempted vessels as described in 

paragraph (b) of this section and all 

documentation supporting your 

calculation. 

(3) The notifications and reports we 

require under paragraph (d) of this 

section. 

(f) Provisions for fuel tank 

manufacturers. As a fuel tank 

manufacturer, you may produce fuel 

tanks as needed for vessel 

manufacturers under this section 

without our prior approval. These fuel 

tanks are exempt from the diurnal 

emission standards. Note that this 

diurnal exemption does not affect the 

requirements related to permeation 

emissions specified in § 1045.112. You 

must have written assurance from vessel 

manufacturers that they need a certain 

number of exempted fuel tanks under 

this section. You must keep records of 

the number of exempted fuel tanks you 

sell to each vessel manufacturer. 

(g) Enforcement. Producing more 

exempted vessels than we allow under 

this section violates the prohibitions in 

40 CFR 1068.101(a)(1). Vessel 

manufacturers and fuel tank 

manufacturers must keep the records we 

require under this section until at least 

December 31, 2017 and give them to us 

if we ask for them (see 40 CFR 

1068.101(a)(2)). 

§ 1045.630 What is the personal-use 

exemption. 

This section applies to individuals 

who manufacture recreational vessels 

for personal use with used engines. If 

you and your vessel meet all the 

conditions of this section, the vessel and 

its engine are considered to be exempt 

from the standards and requirements of 

this part that apply to new engines, 

including standards and requirements 

related to evaporative emissions. For 

example, you are not required to use 

certified fuel system components or 

otherwise obtain certificates of 

conformity showing that the vessel 

meets evaporative emission standards, 

and you do not need to install a certified 

engine. 

(a) The vessel may not be 

manufactured from a previously 

certified vessel, nor may it be 

manufactured from a partially complete 

vessel that is equivalent to a certified 

vessel. The vessel must be 

manufactured primarily from 

unassembled components, but may 

incorporate some preassembled 

components. For example, fully 

preassembled steering assemblies may 

be used. You may also power the vessel 

with an engine that was previously used 

in a highway or land-based nonroad 

application. 

(b) The vessel may not be sold within 

five years after the date of final 

assembly. 

(c) No individual may manufacture 

more than one vessel in any five-year 

period under this exemption. 

(d) You may not use the vessel in any 

revenue-generating service or for any 

other commercial purpose. For example, 

this exemption does not apply for 

vessels used in commercial fishing or 

charter service. 

(e) This exemption may not be used 

to circumvent the requirements of this 

part or the requirements of the Clean Air 

Act. For example, this exemption would 

not cover a case in which a person sells 

an almost completely assembled vessel 

to another person, who would then 

complete the assembly. This would be 

considered equivalent to the sale of the 

complete new vessel. This section also 

does not allow engine manufacturers to 

produce new engines that are exempt 

from emission standards and it does not 

provide an exemption from the 

prohibition against tampering with 

certified engines. 

§ 1045.635 What special provisions apply 

for small-volume engine manufacturers? 

This section describes how we apply 

the special provisions in this part for 

small-volume engine manufacturers. 

(a) Special provisions apply for 

certain small-volume engine 

manufacturers, as illustrated by the 

following examples: 

(1) Additional lead time and other 

provisions related to the transition to 

new emission standards. See § 1045.145. 

(2) More flexible arrangements for 

creating engine families for highperformance engines. See § 1045.230. 

(3) Assigned deterioration factors. See 

§ 1045.240. 

(4) Waived requirements for 

production-line testing. See § 1045.301. 

(5) Additional special provisions 

apply for small-volume engine and 

vessel manufacturers. For example, see 

§ 1045.625 and 40 CFR 1068.250. 

(b) If you use any of the provisions of 

this part that apply specifically to smallvolume engine manufacturers and we 

find that you do not qualify to use these 

provisions, we may consider you to be 

in violation of the requirements that 

apply for companies that are not smallvolume engine manufacturers. If your 

number of employees grows to the point 

that you no longer qualify as a smallvolume engine manufacturer, we will 

work with you to determine a 

reasonable schedule for complying with 

additional requirements that apply. For 

example, if you no longer qualify as a 

small-volume engine manufacturer 

shortly before you certify your engines 

for the next model year, we might allow 

you to use assigned deterioration factors 

for one more model year. 

§ 1045.640 What special provisions apply 

to branded engines? 

The following provisions apply if you 

identify the name and trademark of 

another company instead of your own 

on your emission control information 

label, as provided by § 1045.135(c)(2): 

(a) You must have a contractual 

agreement with the other company that 

obligates that company to take the 

following steps: 

(1) Meet the emission warranty 

requirements that apply under 

§ 1045.120. This may involve a separate 

agreement involving reimbursement of 

warranty-related expenses. 

(2) Report all warranty-related 

information to the certificate holder. 

(b) In your application for 

certification, identify the company 

whose trademark you will use. 

(c) You remain responsible for 

meeting all the requirements of this 

chapter, including warranty and defectreporting provisions. 

§ 1045.645 What special provisions apply 

for converting an engine to use an alternate 

fuel? 

A certificate of conformity is no 

longer valid for an engine if the engine 

is modified such that it is not in a 

configuration covered by the certificate. 

This section applies if such 

modifications are done to convert the 

engine to run on a different fuel type. 

Such engines may need to be recertified 

as specified in this section if the 

certificate is no longer valid for that 

engine. 

(a) Converting a certified new engine 

to run on a different fuel type violates 

40 CFR 1068.101(a)(1) if the modified 

engine is not covered by a certificate of 

conformity. 

(b) Converting a certified engine that 

is not new to run on a different fuel type 

violates 40 CFR 1068.101(b)(1) if the 

modified engine is not covered by a 

certificate of conformity. We may 

specify alternate certification provisions 

consistent with the requirements of this 

part. For example, you may certify the 

modified engine for a partial useful life. 

For example, if the engine is modified 

halfway through its original useful life 

period, you may generally certify the 

engine based on completing the original 

useful life period; or if the engine is 

modified after the original useful life 

period is past, you may generally certify 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59223 

the engine based on testing that does not 

involve further durability 

demonstration. 

(c) Engines may be certified using the 

certification procedures for new engines 

as specified in this part or using the 

certification procedures for aftermarket 

parts as specified in 40 CFR part 85, 

subpart V. Unless the original engine 

manufacturer continues to be 

responsible for the engine as specified 

in paragraph (d) of this section, you 

must remove the original engine 

manufacturer’s emission control 

information label if you recertify the 

engine. 

(d) The original manufacturer is not 

responsible for operation of modified 

engines in configurations resulting from 

modifications performed by others. In 

cases where the modification allows an 

engine to be operated in either its 

original configuration or a modified 

configuration, the original manufacturer 

remains responsible for operation of the 

modified engine in its original 

configuration. 

(e) Entities producing conversion kits 

may obtain certificates of conformity for 

the converted engines. Such entities are 

engine manufacturers for purposes of 

this part. 

§ 1045.650 Do delegated-assembly 

provisions apply for marine engines? 

The provisions of 40 CFR 1068.261 

related to delegated final assembly do 

not apply for marine spark-ignition 

engines certified under this part 1045. 

This means that for engines requiring 

exhaust aftertreatment (such as 

catalysts), the engine manufacturers 

must either install the aftertreatment on 

the engine before introducing it into 

U.S. commerce or ship the 

aftertreatment along with the engine. 

§ 1045.655 What special provisions apply 

for installing and removing altitude kits? 

An action for the purpose of installing 

or modifying altitude kits and 

performing other changes to compensate 

for changing altitude is not considered 

a prohibited act under 40 CFR 

1068.101(b) as long as as it is done 

consistent with the manufacturer’s 

instructions. 

§ 1045.660 How do I certify outboard or 

personal watercraft engines for use in jet 

boats? 

(a) This section describes how to 

certify outboard or personal watercraft 

engines for use in jet boats. To be 

certified under this section, the jet boat 

engines must be identical in all physical 

respects to the corresponding outboard 

or personal watercraft engines, but may 

differ slightly with respect to engine 

calibrations. 

(b) The outboard or personal 

watercraft engines must meet all the 

applicable requirements for outboard or 

personal watercraft engines. Jet boat 

engines certified under this section 

must meet all the applicable 

requirements for sterndrive/inboard 

engines. 

(c) The jet boat engines must be in an 

engine family separate from the 

corresponding outboard or personal 

watercraft engines. 

(d) Jet boat engine families may use 

emission credits from outboard or 

personal watercraft engine families, as 

described in § 1045.701(d). 

(e) Jet-boat engines certified under the 

provisions of this section must meet 

emission standards over the same 

useful-life period that applies to the 

corresponding outboard or personal 

watercraft engine family, as described in 

§ 1045.103(e). 

Subpart H—Averaging, Banking, and 

Trading for Certification 

§ 1045.701 General provisions. 

(a) You may average, bank, and trade 

(ABT) emission credits for purposes of 

certification as described in this subpart 

to show compliance with the standards 

of this part. This applies for engines 

with respect to exhaust emissions and 

for vessels with respect to evaporative 

emissions. Participation in this program 

is voluntary. 

(b) The definitions of subpart I of this 

part apply to this subpart. The following 

definitions also apply: 

(1) Actual emission credits means 

emission credits you have generated 

that we have verified by reviewing your 

final report. 

(2) Averaging set means a set of 

engines (or vessels) in which emission 

credits may be exchanged only with 

other engines (or vessels) in the same 

averaging set. 

(3) Broker means any entity that 

facilitates a trade of emission credits 

between a buyer and seller. 

(4) Buyer means the entity that 

receives emission credits as a result of 

a trade. 

(5) Family means engine family for 

exhaust credits or emission family for 

evaporative credits. 

(6) Reserved emission credits means 

emission credits you have generated 

that we have not yet verified by 

reviewing your final report. 

(7) Seller means the entity that 

provides emission credits during a 

trade. 

(8) Standard means the emission 

standard that applies under subpart B of 

this part for engines or fuel-system 

components not participating in the 

ABT program of this subpart. 

(9) Trade means to exchange emission 

credits, either as a buyer or seller. 

(c) You may not average or exchange 

banked or traded exhaust credits with 

evaporative credits, or vice versa. 

Evaporative credits generated by any 

vessels under this part may be used by 

any vessels under this part. Exhaust 

credits may be exchanged only within 

an averaging set. Except as specified in 

paragraph (d) of this section, the 

following criteria define the applicable 

exhaust averaging sets: 

(1) Sterndrive/inboard engines. 

(2) Outboard and personal watercraft 

engines. 

(d) Sterndrive/inboard engines 

certified under § 1045.660 for jet boats 

may use HC+NOX and CO exhaust 

credits generated from outboard and 

personal watercraft engines, as long as 

the credit-using engine is the same 

model as an engine model from an 

outboard or personal watercraft family. 

These emission credits may be used for 

averaging, but not for banking or 

trading. The FEL caps for such jet boat 

families are the HC+NOX and CO 

standard for outboard and personal 

watercraft engines. U.S.-directed sales 

from jet boat engines using the 

provisions of this paragraph (d) may not 

be greater than the U.S.-directed sales of 

the same engine model for outboard or 

personal watercraft engines. 

(e) You may not generate evaporative 

credits based on permeation 

measurements from metal fuel tanks or 

portable marine fuel tanks. 

(f) You may not use emission credits 

generated under this subpart to offset 

any emissions that exceed an FEL or 

standard. This applies for all testing, 

including certification testing, in-use 

testing, selective enforcement audits, 

and other production-line testing. 

However, if exhaust emissions from an 

engine exceed an exhaust FEL or 

standard (for example, during a 

selective enforcement audit), you may 

use emission credits to recertify the 

family with a higher FEL that applies 

only to future production. 

(g) Emission credits may be used in 

the model year they are generated 

(averaging) and in future model years 

(banking), except that CO emission 

credits for outboard and personal 

watercraft engines may not be banked or 

traded. 

(h) You may increase or decrease an 

exhaust FEL during the model year by 

amending your application for 

certification under § 1045.225. 

(i) Engine and vessel manufacturers 

certifying with respect to evaporative 

emissions may use emission credits to 

demonstrate compliance under this 

subpart. Component manufacturers may 

mstockstill on PROD1PC66 with RULES2

59224 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

establish FELs for their certified 

products, but they may not generate or 

use emission credits under this subpart. 

(j) In your application for 

certification, base your showing of 

compliance on projected production 

volumes for engines or vessels intended 

for sale in the United States. As 

described in § 1045.730, compliance 

with the requirements of this subpart is 

determined at the end of the model year 

based on actual production volumes for 

engines or vessels intended for sale in 

the United States. Do not include any of 

the following engines or vessels to 

calculate emission credits: 

(1) Engines or vessels exempted under 

subpart G of this part or under 40 CFR 

part 1068. 

(2) Engines or vessels intended for 

export. 

(3) Engines or vessels that are subject 

to state emission standards for that 

model year. However, this restriction 

does not apply if we determine that the 

state standards and requirements are 

equivalent to those of this part and that 

products sold in such a state will not 

generate credits under the state 

program. For example, you may not 

include engines or vessels certified for 

California if California has more 

stringent emission standards for these 

products or if your products generate or 

use emission credits under the 

California program. 

(4) Engines or vessels not subject to 

the requirements of this part, such as 

those excluded under § 1054.5. 

(5) Any other engines or vessels 

where we indicate elsewhere in this part 

1054 that they are not to be included in 

the calculations of this subpart. 

§ 1045.705 How do I generate and 

calculate exhaust emission credits? 

The provisions of this section apply 

for calculating exhaust emission credits 

for HC+NOX or CO. You may generate 

exhaust emission credits only if you are 

a certifying engine manufacturer. 

(a) For each participating family, 

calculate positive or negative emission 

credits relative to the otherwise 

applicable emission standard. Calculate 

positive emission credits for a family 

that has an FEL below the standard. 

Calculate negative emission credits for a 

family that has an FEL above the 

standard. Sum your positive and 

negative credits for the model year 

before rounding. Round the sum of 

emission credits to the nearest kilogram 

(kg) using consistent units throughout 

the following equation: 

Emission credits (kg) = (STD¥FEL) × 

(Volume) × (Power) × (UL) × (LF) × 

(10¥3) 

Where: 

STD = the emission standard, in g/kW-hr. 

FEL = the family emission limit for the 

family, in g/kW-hr. 

Volume = the number of engines eligible to 

participate in the averaging, banking, 

and trading program within the given 

family during the model year, as 

described in § 1045.701(j). 

Power = maximum engine power for the 

family, in kilowatts (see § 1045.140). 

UL = The useful life for the given family. 

LF = load factor. Use 0.207. We may specify 

a different load factor if we approve the 

use of special test procedures for an 

family under 40 CFR 1065.10(c)(2), 

consistent with good engineering 

judgment. 

(b) [Reserved] 

§ 1045.706 How do I generate and 

calculate evaporative emission credits? 

The provisions of this section apply 

for calculating evaporative emission 

credits. This applies only for fuel tank 

permeation. You may generate credits 

only if you are a certifying vessel 

manufacturer. This may include 

outboard engine manufacturers if they 

install under-cowl fuel tanks. 

(a) For each participating vessel, 

calculate positive or negative emission 

credits relative to the otherwise 

applicable emission standard. Calculate 

positive emission credits for a family 

that has an FEL below the standard. 

Calculate negative emission credits for a 

family that has an FEL above the 

standard. Sum your positive and 

negative credits for the model year 

before rounding. Round the sum of 

emission credits to the nearest kilogram 

(kg) using consistent units throughout 

the following equation: 

Emission credits (kg) = (STD¥FEL) × 

(Total Area) × (UL) × (AF) × (365) 

× (10¥3) 

Where: 

STD = the emission standard, in g/m2/day. 

FEL = the family emission limit for the 

family, in g/m2/day, as described in 

paragraph (b) of this section. 

Total Area = The combined internal surface 

area of all fuel tanks in the family, in m2. 

UL = 5 years, which represents the useful life 

for the given family. 

AF = adjustment factor. Use 1.0 for fuel tank 

testing performed at 28 °C and 0.60 for 

testing performed at 40 °C. 

(b) For calculating credits under 

paragraph (a) of this section, the 

emission standard and FEL must both 

be based on test measurements at the 

same temperature (28 ° or 40 °C). 

Determine the FEL for calculating 

emission credits (relative to testing at 28 

°C) as follows: 

(1) To use an FEL below 5.0 g/m2/day, 

it must be based on emission 

measurements. 

(2) The provisions of this paragraph 

(b)(2) apply for all emission families 

with FELs at or above 5.0 g/m2/day. To 

calculate emission credits for such 

emission families, you must choose 

from one of the following options and 

apply it to all your emission families 

with FELs at or above 5.0 g/m2/day: 

(i) Option 1: Establish all your FELs 

based on emission measurements. This 

may include measurements from a 

certifying fuel tank manufacturer. 

(ii) Option 2: Use an assigned FEL of 

10.4 g/m2/day. This would apply 

without regard to whether any of these 

emission families have measured 

emission levels below 10.4 g/m2/day. If 

any of your fuel tanks were otherwise 

certified (by you or the fuel tank 

manufacturer) with an FEL between 5.0 

and 10.4 g/m2/day, the assigned FEL of 

10.4 g/m2/day applies only for emission 

credit calculations. 

§ 1045.710 How do I average emission 

credits? 

(a) Averaging is the exchange of 

emission credits among your families. 

You may average emission credits only 

within the same averaging set. 

(b) You may certify one or more 

families to an FEL above the emission 

standard, subject to the FEL caps and 

other provisions in subpart B of this 

part, if you show in your application for 

certification that your projected balance 

of all emission-credit transactions in 

that model year is greater than or equal 

to zero. 

(c) If you certify a family to an FEL 

that exceeds the otherwise applicable 

standard, you must obtain enough 

emission credits to offset the family’s 

deficit by the due date for the final 

report required in § 1045.730. The 

emission credits used to address the 

deficit may come from your other 

families that generate emission credits 

in the same model year, from emission 

credits you have banked, or from 

emission credits you obtain through 

trading. 

§ 1045.715 How do I bank emission 

credits? 

(a) Banking is the retention of 

emission credits by the manufacturer 

generating the emission credits for use 

in future model years for averaging or 

trading. You may use banked emission 

credits only within the averaging set in 

which they were generated, except as 

described in this subpart. 

(b) You may designate any emission 

credits you plan to bank in the reports 

you submit under § 1045.730. During 

the model year and before the due date 

for the final report, you may designate 

your reserved emission credits for 

averaging or trading. 

(c) Reserved credits become actual 

emission credits when you submit your 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59225 

final report. However, we may revoke 

these emission credits if we are unable 

to verify them after reviewing your 

reports or auditing your records. 

§ 1045.720 How do I trade emission 

credits? 

(a) Trading is the exchange of 

emission credits between 

manufacturers. You may use traded 

emission credits for averaging, banking, 

or further trading transactions. Traded 

emission credits may be used only 

within the averaging set in which they 

were generated, except as described in 

this subpart. 

(b) You may trade actual emission 

credits as described in this subpart. You 

may also trade reserved emission 

credits, but we may revoke these 

emission credits based on our review of 

your records or reports or those of the 

company with which you traded 

emission credits. You may trade banked 

credits within an averaging set to any 

certifying engine or vessel 

manufacturer. 

(c) If a negative emission credit 

balance results from a transaction, both 

the buyer and seller are liable, except in 

cases we deem to involve fraud. See 

§ 1045.255(e) for cases involving fraud. 

We may void the certificates of all 

families participating in a trade that 

results in a manufacturer having a 

negative balance of emission credits. 

See § 1045.745. 

§ 1045.725 What must I include in my 

application for certification? 

(a) You must declare in your 

application for certification your intent 

to use the provisions of this subpart for 

each family that will be certified using 

the ABT program. You must also declare 

the FELs you select for the family for 

each pollutant for which you are using 

the ABT program. Your FELs must 

comply with the specifications of 

subpart B of this part, including the FEL 

caps. FELs must be expressed to the 

same number of decimal places as the 

emission standard. 

(b) Include the following in your 

application for certification: 

(1) A statement that, to the best of 

your belief, you will not have a negative 

balance of emission credits for any 

averaging set when all emission credits 

are calculated at the end of the year. 

(2) Detailed calculations of projected 

emission credits (positive or negative) 

based on projected production volumes. 

We may require you to include similar 

calculations from your other engine 

families to demonstrate that you will be 

able to avoid a negative credit balance 

for the model year. If you project 

negative emission credits for a family, 

state the source of positive emission 

credits you expect to use to offset the 

negative emission credits. 

§ 1045.730 What ABT reports must I send 

to EPA? 

(a) If any of your families are certified 

using the ABT provisions of this 

subpart, you must send an end-of-year 

report within 90 days after the end of 

the model year and a final report within 

270 days after the end of the model year. 

We may waive the requirement to send 

the end-of year report as long as you 

send the final report on time. 

(b) Your end-of-year and final reports 

must include the following information 

for each family participating in the ABT 

program: 

(1) Family designation. 

(2) The emission standards that would 

otherwise apply to the family. 

(3) The FEL for each pollutant. If you 

change the FEL after the start of 

production, identify the date that you 

started using the new FEL and/or give 

the engine identification number for the 

first engine covered by the new FEL. In 

this case, identify each applicable FEL 

and calculate the positive or negative 

emission credits under each FEL. 

(4) The projected and actual 

production volumes for the model year 

with a point of retail sale in the United 

States, as described in § 1045.701(j). For 

fuel tanks, state the production volume 

in terms of total surface area and 

production volume for each tank 

configuration and state the total surface 

area for the emission family. If you 

changed an FEL during the model year, 

identify the actual production volume 

associated with each FEL. 

(5) Maximum engine power for each 

engine configuration, and your declared 

value of maximum engine power for the 

engine family (see § 1045.140). 

(6) Useful life. 

(7) Calculated positive or negative 

emission credits for the whole family. 

Identify any emission credits that you 

traded, as described in paragraph (d)(1) 

of this section. 

(c) Your end-of-year and final reports 

must include the following additional 

information: 

(1) Show that your net balance of 

emission credits from all your 

participating families in each averaging 

set in the applicable model year is not 

negative. 

(2) State whether you will retain any 

emission credits for banking. 

(3) State that the report’s contents are 

accurate. 

(d) If you trade emission credits, you 

must send us a report within 90 days 

after the transaction, as follows: 

(1) As the seller, you must include the 

following information in your report: 

(i) The corporate names of the buyer 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) The families that generated 

emission credits for the trade, including 

the number of emission credits from 

each family. 

(2) As the buyer, you must include the 

following information in your report: 

(i) The corporate names of the seller 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) How you intend to use the 

emission credits, including the number 

of emission credits you intend to apply 

to each family (if known). 

(e) Send your reports electronically to 

the Designated Compliance Officer 

using an approved information format. 

If you want to use a different format, 

send us a written request with 

justification for a waiver. 

(f) Correct errors in your end-of-year 

report or final report as follows: 

(1) You may correct any errors in your 

end-of-year report when you prepare the 

final report as long as you send us the 

final report by the time it is due. 

(2) If you or we determine within 270 

days after the end of the model year that 

errors mistakenly decreased your 

balance of emission credits, you may 

correct the errors and recalculate the 

balance of emission credits. You may 

not make these corrections for errors 

that are determined more than 270 days 

after the end of the model year. If you 

report a negative balance of emission 

credits, we may disallow corrections 

under this paragraph (f)(2). 

(3) If you or we determine anytime 

that errors mistakenly increased your 

balance of emission credits, you must 

correct the errors and recalculate the 

balance of emission credits. 

§ 1045.735 What records must I keep? 

(a) You must organize and maintain 

your records as described in this 

section. We may review your records at 

any time. 

(b) Keep the records required by this 

section for at least eight years after the 

due date for the end-of-year report. You 

may not use emission credits for any 

engines or vessel if you do not keep all 

the records required under this section. 

You must therefore keep these records 

to continue to bank valid credits. Store 

these records in any format and on any 

media as long as you can promptly send 

us organized, written records in English 

if we ask for them. You must keep these 

records readily available. We may 

review them at any time. 

(c) Keep a copy of the reports we 

require in §§ 1045.725 and 1045.730. 

mstockstill on PROD1PC66 with RULES2

59226 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(d) Keep records of the engine 

identification number for each engine or 

vessel you produce that generates or 

uses emission credits under the ABT 

program. You may identify these 

numbers as a range. 

(e) We may require you to keep 

additional records or to send us relevant 

information not required by this section 

in accordance with the Clean Air Act. 

§ 1045.745 What can happen if I do not 

comply with the provisions of this subpart? 

(a) For each family participating in 

the ABT program, the certificate of 

conformity is conditional upon full 

compliance with the provisions of this 

subpart during and after the model year. 

You are responsible to establish to our 

satisfaction that you fully comply with 

applicable requirements. We may void 

the certificate of conformity for a family 

if you fail to comply with any 

provisions of this subpart. 

(b) You may certify your family to an 

FEL above an emission standard based 

on a projection that you will have 

enough emission credits to offset the 

deficit for the family. However, we may 

void the certificate of conformity if you 

cannot show in your final report that 

you have enough actual emission credits 

to offset a deficit for any pollutant in a 

family. 

(c) We may void the certificate of 

conformity for a family if you fail to 

keep records, send reports, or give us 

information we request. 

(d) You may ask for a hearing if we 

void your certificate under this section 

(see § 1045.820). 

Subpart I—Definitions and Other 

Reference Information 

§ 1045.801 What definitions apply to this 

part? 

The following definitions apply to 

this part. The definitions apply to all 

subparts unless we note otherwise. All 

undefined terms have the meaning the 

Clean Air Act gives to them. The 

definitions follow: 

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust (including those 

which are difficult to access) and that, 

if adjusted, may affect emissions or 

engine performance during emission 

testing or normal in-use operation. This 

includes, but is not limited to, 

parameters related to injection timing 

and fueling rate. You may ask us to 

exclude a parameter that is difficult to 

access if it cannot be adjusted to affect 

emissions without significantly 

degrading engine performance, or if you 

otherwise show us that it will not be 

adjusted in a way that affects emissions 

during in-use operation. 

Aftertreatment means relating to a 

catalytic converter, particulate filter, or 

any other system, component, or 

technology mounted downstream of the 

exhaust valve (or exhaust port) whose 

design function is to decrease emissions 

in the engine exhaust before it is 

exhausted to the environment. Exhaustgas recirculation (EGR), turbochargers, 

and oxygen sensors are not 

aftertreatment. 

Alcohol-fueled engine means an 

engine that is designed to run using an 

alcohol fuel. For purposes of this 

definition, alcohol fuels do not include 

fuels with a nominal alcohol content 

below 25 percent by volume. 

Amphibious vehicle means a vehicle 

with wheels or tracks that is designed 

primarily for operation on land and 

secondarily for operation in water. 

Applicable emission standard or 

applicable standard means an emission 

standard to which an engine (or vessel) 

is subject. Additionally, if an engine (or 

vessel) has been or is being certified to 

another standard or FEL, applicable 

emission standard means the FEL or 

other standard to which the engine (or 

vessel) has been or is being certified. 

This definition does not apply to 

subpart H of this part. 

Auxiliary emission control device 

means any element of design that senses 

temperature, motive speed, engine RPM, 

transmission gear, or any other 

parameter for the purpose of activating, 

modulating, delaying, or deactivating 

the operation of any part of the emission 

control system. 

Brake power means the usable power 

output of the engine, not including 

power required to fuel, lubricate, or heat 

the engine, circulate coolant to the 

engine, or to operate aftertreatment 

devices. 

Calibration means the set of 

specifications and tolerances specific to 

a particular design, version, or 

application of a component or assembly 

capable of functionally describing its 

operation over its working range. 

Carryover means relating to 

certification based on emission data 

generated from an earlier model year, as 

described in § 1045.235(d). 

Certification means relating to the 

process of obtaining a certificate of 

conformity for an engine family that 

complies with the emission standards 

and requirements in this part. 

Certified emission level means the 

highest deteriorated emission level in an 

engine family for a given pollutant from 

either transient or steady-state testing. 

Clean Air Act means the Clean Air 

Act, as amended, 42 U.S.C. 7401–7671q. 

Conventional sterndrive/inboard 

engine means a sterndrive/inboard 

engine that is not a high-performance 

engine. 

Crankcase emissions means airborne 

substances emitted to the atmosphere 

from any part of the engine crankcase’s 

ventilation or lubrication systems. The 

crankcase is the housing for the 

crankshaft and other related internal 

parts. 

Critical emission-related component 

means any of the following components: 

(1) Electronic control units, 

aftertreatment devices, fuel-metering 

components, EGR-system components, 

crankcase-ventilation valves, all 

components related to charge-air 

compression and cooling, and all 

sensors and actuators associated with 

any of these components. 

(2) Any other component whose 

primary purpose is to reduce emissions. 

Date of manufacture has the meaning 

given in 40 CFR 1068.30. 

Days means calendar days unless 

otherwise specified. For example, when 

we specify working days we mean 

calendar days, excluding weekends and 

U.S. national holidays. 

Designated Compliance Officer means 

the Manager, Heavy-Duty and Nonroad 

Engine Group (6405–J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

Designated Enforcement Officer 

means the Director, Air Enforcement 

Division (2242A), U.S. Environmental 

Protection Agency, 1200 Pennsylvania 

Ave., NW.,Washington, DC 20460. 

Deteriorated emission level means the 

emission level that results from 

applying the appropriate deterioration 

factor to the official emission result of 

the emission-data engine. 

Deterioration factor means the 

relationship between emissions at the 

end of useful life and emissions at the 

low-hour test point (see §§ 1045.240 and 

1045.245), expressed in one of the 

following ways: 

(1) For multiplicative deterioration 

factors, the ratio of emissions at the end 

of useful life to emissions at the lowhour test point. 

(2) For additive deterioration factors, 

the difference between emissions at the 

end of useful life and emissions at the 

low-hour test point. 

Discrete-mode means relating to the 

discrete-mode type of steady-state test 

described in § 1045.505. 

Dual fuel means relating to an engine 

designed for operation on two different 

fuels but not on a continuous mixture of 

those fuels. 

Emission control system means any 

device, system, or element of design that 

controls or reduces the emissions of 

regulated pollutants from an engine. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59227 

Emission-data engine means an 

engine that is tested for certification. 

This includes engines tested to establish 

deterioration factors. 

Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emission deterioration. 

Engine has the meaning given in 40 

CFR 1068.30. This includes complete 

and partially complete engines. 

Engine configuration means a unique 

combination of engine hardware and 

calibration within an engine family. 

Engines within a single engine 

configuration differ only with respect to 

normal production variability. 

Engine family has the meaning given 

in § 1045.230. 

Engine manufacturer means the 

manufacturer of the engine. See the 

definition of ‘‘manufacturer’’ in this 

section. 

Evaporative means relating to fuel 

emissions controlled by 40 CFR part 

1060. This generally includes emissions 

that result from permeation of fuel 

through the fuel-system materials or 

from ventilation of the fuel system. 

Excluded means relating to an engine 

that either: 

(1) Has been determined not to be a 

nonroad engine, as specified in 40 CFR 

1068.30; or 

(2) Is a nonroad engine that, according 

to § 1045.5, is not subject to this part 

1045. 

Exempted has the meaning given in 

40 CFR 1068.30. 

Exhaust-gas recirculation (EGR) 

means a technology that reduces 

emissions by routing exhaust gases that 

had been exhausted from the 

combustion chamber(s) back into the 

engine to be mixed with incoming air 

before or during combustion. The use of 

valve timing to increase the amount of 

residual exhaust gas in the combustion 

chamber(s) that is mixed with incoming 

air before or during combustion is not 

considered exhaust-gas recirculation for 

the purposes of this part. 

Family emission limit (FEL) means an 

emission level declared by the 

manufacturer to serve in place of the 

emission standards specified in subpart 

B of this part under the ABT program 

in subpart H of this part. The family 

emission limit must be expressed to the 

same number of decimal places as the 

emission standard it replaces. The 

family emission limit serves as the 

emission standard for the engine family 

(exhaust) or emission family 

(evaporative) with respect to all 

required testing. 

Flexible-fuel means relating to an 

engine designed for operation on any 

mixture of two or more different fuels. 

Fuel line means hose, tubing, and 

primer bulbs containing or exposed to 

liquid fuel, including hose or tubing 

that delivers fuel to or from the engine, 

as follows: 

(1) This includes flexible molded 

sections for transporting liquid fuel to or 

from the engine, but does not include 

inflexible components for connecting 

hose or tubing. 

(2) This includes hose or tubing for 

the vent line or filler neck if fuel 

systems are designed such that any 

portion of the vent-line or filler-neck 

material continues to be exposed to 

liquid fuel after completion of a 

refueling event in which an operator 

fills the fuel tank using typical methods. 

For example, we would not consider a 

filler neck to be a fuel line if an operator 

stops refueling after an initial automatic 

shutoff that signals the fuel tank is full, 

where any liquid fuel in the filler neck 

during the refueling procedure drains 

into the fuel tank. 

(3) This does not include primer bulbs 

that contain liquid fuel only for priming 

the engine before starting. 

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 natural gas. 

There can be multiple grades within a 

single fuel type, such as lowtemperature or all-season gasoline. 

Good engineering judgment has the 

meaning given in 40 CFR 1068.30. See 

40 CFR 1068.5 for the administrative 

process we use to evaluate good 

engineering judgment. 

High-performance means relating to a 

sterndrive/inboard engine with 

maximum engine power above 373 kW 

that has design features to enhance 

power output such that the expected 

operating time until rebuild is 

substantially shorter than 480 hours. 

Hydrocarbon (HC) means the 

hydrocarbon group on which the 

emission standards are based for each 

fuel type, as described in subpart B of 

this part. 

Identification number means a unique 

specification (for example, a model 

number/serial number combination) 

that allows someone to distinguish a 

particular engine from other similar 

engines. 

Jet boat means a vessel that uses an 

installed internal combustion engine 

powering a water jet pump as its 

primary source of propulsion and is 

designed with open area for carrying 

passengers. Jet boat engines qualify as 

sterndrive/inboard engines. 

Low-hour means relating to an engine 

that has stabilized emissions and 

represents the undeteriorated emission 

level. This would generally involve less 

than 30 hours of operation. 

Manufacture means the physical and 

engineering process of designing, 

constructing, and assembling an engine 

or vessel. 

Manufacturer has the meaning given 

in section 216(1) of the Clean Air Act 

(42 U.S.C. 7550(1)). In general, this term 

includes any person who manufactures 

an engine, or vessel for sale in the 

United States or otherwise introduces a 

new marine engine into U.S. commerce. 

This includes importers who import 

engines or vessels for resale, but not 

dealers. All manufacturing entities 

under the control of the same person are 

considered to be a single manufacturer. 

Marine engine means a nonroad 

engine that is installed or intended to be 

installed on a vessel. This includes a 

portable auxiliary marine engine only if 

its fueling, cooling, or exhaust system is 

an integral part of the vessel. There are 

two kinds of marine engines: 

(1) Propulsion marine engine means a 

marine engine that moves a vessel 

through the water or directs the vessel’s 

movement. 

(2) Auxiliary marine engine means a 

marine engine not used for propulsion. 

Marine vessel has the meaning given 

in 1 U.S.C. 3, except that it does not 

include amphibious vehicles. The 

definition in 1 U.S.C. 3 very broadly 

includes every craft capable of being 

used as a means of transportation on 

water. 

Maximum engine power has the 

meaning given in § 1045.140. 

Maximum test speed has one of the 

following meanings: 

(1) For all testing with two-stroke 

engines and for testing four-stroke 

engines on an engine dynamometer, 

maximum test speed has the meaning 

given in 40 CFR 1065.1001 and 

§ 1045.501. 

(2) For testing a four-stroke engine 

that remains installed in a vessel, 

maximum test speed means the engine 

speed during sustained operation with 

maximum operator demand. 

Model year means one of the 

following things: 

(1) For freshly manufactured vessels 

and engines (see definition of ‘‘new 

propulsion marine engine,’’ paragraph 

(1)), model year means one of the 

following: 

(i) Calendar year. 

(ii) Your annual new model 

production period if it is different than 

the calendar year. This must include 

mstockstill on PROD1PC66 with RULES2

59228 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

January 1 of the calendar year for which 

the model year is named. It may not 

begin before January 2 of the previous 

calendar year and it must end by 

December 31 of the named calendar 

year. For seasonal production periods 

not including January 1, model year 

means the calendar year in which the 

production occurs, unless you choose to 

certify the applicable engine family with 

the following model year. For example, 

if your production period is June 1, 

2010 through November 30, 2010, your 

model year would be 2010 unless you 

choose to certify the engine family for 

model year 2011. 

(2) For an engine that is converted to 

a propulsion marine engine after being 

certified and placed into service as a 

motor vehicle engine, a nonroad engine 

that is not a propulsion marine engine, 

or a stationary engine, model year 

means the model year in which the 

engine was originally produced. For an 

engine that is converted to a nonroad 

engine after being placed into service as 

a motor vehicle engine, a nonroad 

engine that is not a propulsion marine 

engine, or a stationary engine without 

having been certified, model year means 

the calendar year in which the engine 

becomes a new nonroad engine. (See 

definition of ‘‘new propulsion marine 

engine,’’ paragraph (2).) 

(3) [Reserved] 

(4) For engines that are not freshly 

manufactured but are installed in new 

vessels, model year means the calendar 

year in which the engine is installed in 

the new vessel (see definition of ‘‘new 

propulsion marine engine,’’ paragraph 

(4)). 

(5) For imported engines: 

(i) For imported engines described in 

paragraph (5)(i) of the definition of 

‘‘new propulsion marine engine,’’ model 

year has the meaning given in 

paragraphs (1) through (4) of this 

definition. 

(ii) For imported engines described in 

paragraph (5)(ii) of the definition of 

‘‘new propulsion marine engine,’’ model 

year means the calendar year in which 

the engine is modified. 

(iii) For imported engines described 

in paragraph (5)(iii) of the definition of 

‘‘new nonroad engine,’’ model year 

means the calendar year in which the 

engine is assembled in its imported 

configuration, unless specified 

otherwise in this part or in 40 CFR part 

1068. 

New portable marine fuel tanks and 

fuel lines means portable marine fuel 

tanks and fuel lines that have not yet 

been placed into service, or which are 

otherwise offered for sales as new 

products. 

New propulsion marine engine or new 

engine means any of the following 

things: 

(1) A freshly manufactured 

propulsion marine engine for which the 

ultimate purchaser has never received 

the equitable or legal title. This kind of 

engine might commonly be thought of 

as ‘‘brand new.’’ In the case of this 

paragraph (1), the engine is new from 

the time it is produced until the 

ultimate purchaser receives the title or 

the product is placed into service, 

whichever comes first. 

(2) An engine originally manufactured 

as a motor vehicle engine, a nonroad 

engine that is not a propulsion marine 

engine, or a stationary engine that is 

later used or intended to be used as a 

propulsion marine engine. In this case, 

the engine is no longer a motor vehicle, 

nonpropulsion, or stationary engine and 

becomes a ‘‘new propulsion marine 

engine.’’ The engine is no longer new 

when it is placed into service as a 

marine propulsion engine. This 

paragraph (2) applies for engines we 

exclude under § 1045.5, where that 

engine is later installed as a propulsion 

engine in a vessel that is covered by this 

part 1045. 

(3) [Reserved] 

(4) An engine not covered by 

paragraphs (1) through (3) of this 

definition that is intended to be 

installed in a new vessel. This generally 

includes installation of used engines in 

new vessels. The engine is no longer 

new when the ultimate purchaser 

receives a title for the vessel or the 

product is placed into service, 

whichever comes first. 

(5) An imported marine engine, 

subject to the following provisions: 

(i) An imported marine engine 

covered by a certificate of conformity 

issued under this part that meets the 

criteria of one or more of paragraphs (1) 

through (4) of this definition, where the 

original engine manufacturer holds the 

certificate, is new as defined by those 

applicable paragraphs. 

(ii) An imported engine that will be 

covered by a certificate of conformity 

issued under this part, where someone 

other than the original engine 

manufacturer holds the certificate (such 

as when the engine is modified after its 

initial assembly), is a new propulsion 

marine engine when it is imported. It is 

no longer new when the ultimate 

purchaser receives a title for the engine 

or it is placed into service, whichever 

comes first. 

(iii) An imported propulsion marine 

engine that is not covered by a 

certificate of conformity issued under 

this part at the time of importation is 

new. This addresses uncertified engines 

and vessels initially placed into service 

that someone seeks to import into the 

United States. Importation of this kind 

of engine (or vessel containing such an 

engine) is generally prohibited by 40 

CFR part 1068. However, the 

importation of such an engine is not 

prohibited if the engine has an earlier 

model year than that identified in the 

following table, since it is not subject to 

standards: 

APPLICABILITY OF EMISSION STANDARDS FOR PROPULSION MARINE ENGINES

Engine type 

Initial model 

year of emission standards 

Outboard ............................. 1998 

Personal watercraft ............. 1999 

Sterndrive/inboard .............. 2010 

New vessel means either of the 

following things: 

(1) A vessel for which the ultimate 

purchaser has never received the 

equitable or legal title. The product is 

no longer new when the ultimate 

purchaser receives this title or it is 

placed into service, whichever comes 

first. 

(2) An imported vessel that has 

already been placed into service, where 

it has an engine not covered by a 

certificate of conformity issued under 

this part at the time of importation that 

was manufactured after the 

requirements of this part start to apply 

(see § 1045.1). 

Noncompliant engine means an 

engine that was originally covered by a 

certificate of conformity but is not in the 

certified configuration or otherwise does 

not comply with the conditions of the 

certificate. 

Nonconforming engine means an 

engine not covered by a certificate of 

conformity that would otherwise be 

subject to emission standards. 

Nonmethane hydrocarbon has the 

meaning given in 40 CFR 1065.1001. 

This generally means the difference 

between the emitted mass of total 

hydrocarbons and the emitted mass of 

methane. 

Nonroad means relating to nonroad 

engines, or vessels, or equipment that 

include nonroad engines. 

Nonroad engine has the meaning 

given in 40 CFR 1068.30. In general, this 

means all internal-combustion engines 

except motor vehicle engines, stationary 

engines, engines used solely for 

competition, or engines used in aircraft. 

Official emission result means the 

measured emission rate for an emissiondata engine on a given duty cycle before 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59229 

the application of any deterioration 

factor. 

Outboard engine means an assembly 

of a spark-ignition engine and drive unit 

used to propel a vessel from a properly 

mounted position external to the hull of 

the vessel. An outboard drive unit is 

partially submerged during operation 

and can be tilted out of the water when 

not in use. 

Owners manual means a document or 

collection of documents prepared by the 

engine manufacturer for the owner or 

operator to describe appropriate engine 

maintenance, applicable warranties, and 

any other information related to 

operating or keeping the engine. The 

owners manual is typically provided to 

the ultimate purchaser at the time of 

sale. The owners manual may be in 

paper or electronic format. 

Oxides of nitrogen has the meaning 

given in 40 CFR part 1065.1001. 

Personal watercraft means a vessel 

less than 4.0 meters (13 feet) in length 

that uses an installed spark-ignition 

engine powering a water jet pump as its 

primary source of propulsion and is 

designed with no open load carrying 

area that would retain water. The vessel 

is designed to be operated by a person 

or persons positioned on, rather than 

within the confines of the hull. A vessel 

using an outboard engine as its primary 

source of propulsion is not a personal 

watercraft. 

Personal watercraft engine means a 

spark-ignition engine used to propel a 

personal watercraft. 

Placed into service means put into 

initial use for its intended purpose. 

Point of first retail sale means the 

location at which the initial retail sale 

occurs. This generally means an 

equipment dealership, but may also 

include an engine seller or distributor in 

cases where loose engines are sold to 

the general public for uses such as 

replacement engines. 

Portable marine fuel tank has the 

meaning given in 40 CFR 1060.801. 

Ramped-modal means relating to the 

ramped-modal type of steady-state test 

described in § 1045.505. 

Revoke has the meaning given in 40 

CFR 1068.30. In general this means to 

terminate the certificate or an 

exemption for an engine family. 

Round has the meaning given in 40 

CFR 1065.1001. 

Scheduled maintenance means 

adjusting, repairing, removing, 

disassembling, cleaning, or replacing 

components or systems periodically to 

keep a part or system from failing, 

malfunctioning, or wearing prematurely. 

It also may mean actions you expect are 

necessary to correct an overt indication 

of failure or malfunction for which 

periodic maintenance is not 

appropriate. 

Small-volume engine manufacturer 

means an engine manufacturer with 250 

or fewer employees. This includes any 

employees working for a parent 

company and all its subsidiaries. 

Small-volume vessel manufacturer 

means a vessel manufacturer with 500 

or fewer employees. This includes any 

employees working for a parent 

company and all its subsidiaries. 

Spark-ignition means relating to a 

gasoline-fueled engine or any other type 

of engine with a spark plug (or other 

sparking device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation. 

Steady-state means relating to 

emission tests in which engine speed 

and load are held at a finite set of 

essentially constant values. Steady-state 

tests are either discrete-mode tests or 

ramped-modal tests. 

Sterndrive/inboard engine means a 

spark-ignition engine that is used to 

propel a vessel, but is not an outboard 

engine or a personal watercraft engine. 

A sterndrive/inboard engine may be 

either a conventional sterndrive/inboard 

engine or a high-performance engine. 

Engines on propeller-driven vessels, jet 

boats, air boats, and hovercraft are all 

sterndrive/inboard engines. 

Stoichiometric means relating to the 

particular ratio of air and fuel such that 

if the fuel were fully oxidized, there 

would be no remaining fuel or oxygen. 

For example, stoichiometric combustion 

in a gasoline-fueled engine typically 

occurs at an air-to-fuel mass ratio of 

about 14.7:1. 

Suspend has the meaning given in 40 

CFR 1068.30. In general this means to 

temporarily discontinue the certificate 

or an exemption for an engine family. 

Test engine means an engine in a test 

sample. 

Test sample means the collection of 

engines selected from the population of 

an engine family for emission testing. 

This may include testing for 

certification, production-line testing, or 

in-use testing. 

Total hydrocarbon has the meaning 

given in 40 CFR 1065.1001. This 

generally means the combined mass of 

organic compounds measured by the 

specified procedure for measuring total 

hydrocarbon, expressed as a 

hydrocarbon with a hydrogen-to-carbon 

mass ratio of 1.85:1. 

Total hydrocarbon equivalent has the 

meaning given in 40 CFR 1065.1001. 

This generally means the sum of the 

carbon mass contributions of nonoxygenated hydrocarbons, alcohols and 

aldehydes, or other organic compounds 

that are measured separately as 

contained in a gas sample, expressed as 

exhaust hydrocarbon from petroleumfueled engines. The hydrogen-to-carbon 

ratio of the equivalent hydrocarbon is 

1.85:1. 

Ultimate purchaser means, with 

respect to any new vessel or new marine 

propulsion engine, the first person who 

in good faith purchases such new vessel 

or new engine for purposes other than 

resale. 

Under-cowl fuel line means a fuel line 

that is entirely contained within the 

cowl of an outboard engine. This does 

not include a fuel line that crosses 

through the cowl housing. 

United States has the meaning given 

in 40 CFR 1068.30. 

Upcoming model year for an engine 

family means the model year after the 

one currently in production. 

U.S.-directed production volume 

means the number of engine units, 

subject to the requirements of this part, 

produced by a manufacturer for which 

the manufacturer has a reasonable 

assurance that sale was or will be made 

to ultimate purchasers in the United 

States. 

Useful life means the period during 

which a vehicle is required to comply 

with all applicable emission standards, 

specified as a given number of hours of 

operation or calendar years, whichever 

comes first. It is the period during 

which an engine is required to comply 

with all applicable emission standards. 

See §§ 1045.103(e), 1045.105(e), and 

1045.112. If an engine has no hour 

meter, the specified number of hours 

does not limit the period during which 

an in-use engine is required to comply 

with emission standards unless the 

degree of service accumulation can be 

verified separately. 

Variable-speed engine means an 

engine that is not a constant-speed 

engine. 

Vessel means marine vessel. 

Void has the meaning given in 40 CFR 

1068.30. In general this means to 

invalidate a certificate or an exemption 

both retroactively and prospectively. 

Volatile liquid fuel means any fuel 

other than diesel or biodiesel that is a 

liquid at atmospheric pressure and has 

a Reid Vapor Pressure higher than 2.0 

pounds per square inch. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives. 

Wide-open throttle means maximum 

throttle opening. Unless this is specified 

at a given speed, it refers to maximum 

throttle opening at maximum speed. For 

electronically controlled or other 

mstockstill on PROD1PC66 with RULES2

59230 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

engines with multiple possible fueling 

rates, wide-open throttle also means the 

maximum fueling rate at maximum 

throttle opening under test conditions. 

§ 1045.805 What symbols, acronyms, and 

abbreviations does this part use? 

The following symbols, acronyms, 

and abbreviations apply to this part: 

ABT Averaging, banking, and trading. 

AECD Auxiliary emission control 

device. 

CFR Code of Federal Regulations. 

CH4 methane. 

CO carbon monoxide. 

CO2 carbon dioxide. 

EPA Environmental Protection 

Agency. 

FEL Family Emission Limit. 

g gram. 

HC hydrocarbon. 

hr hour. 

kPa kilopascals. 

kW kilowatt. 

m meter. 

N2O nitrous oxide. 

NARA National Archives and Records 

Administration. 

NMHC nonmethane hydrocarbons. 

NOX oxides of nitrogen (NO and NO2). 

NTE not-to-exceed 

psig pounds per square inch of gauge 

pressure. 

RPM revolutions per minute. 

SAE Society of Automotive Engineers. 

THC total hydrocarbon. 

THCE total hydrocarbon equivalent. 

U.S.C. United States Code. 

§ 1045.810 What materials does this part 

reference? 

Documents listed in this section have 

been incorporated by reference into this 

part. The Director of the Federal 

Register approved the incorporation by 

reference as prescribed in 5 U.S.C. 

552(a) and 1 CFR part 51. Anyone may 

inspect copies at the U.S. EPA, Air and 

Radiation Docket and Information 

Center, 1301 Constitution Ave., NW., 

Room B102, EPA West Building, 

Washington, DC 20460 or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/ 

federal_register/code_of_federal_

regulations/ibr_locations.html. 

(a) SAE material. Table 1 to this 

section lists material from the Society of 

Automotive Engineers that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096 or http://www.sae.org. Table 1 

follows: 

TABLE 1 TO § 1045.810—SAE 

MATERIALS

Document number and name Part 1045 

reference 

SAE J1939–05, Marine Stern 

Drive and Inboard Spark-Ignition Engine On-Board 

Diagnostics Implementation 

Guide, February 2008 ........... 1045.110 

(b) [Reserved] 

§ 1045.815 What provisions apply to 

confidential information? 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. 

(b) We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. This applies 

both to any information you send us and 

to any information we collect from 

inspections, audits, or other site visits. 

(c) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(d) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in 40 CFR 

2.204. 

§ 1045.820 How do I request a hearing? 

(a) You may request a hearing under 

certain circumstances as described 

elsewhere in this part. To do this, you 

must file a written request, including a 

description of your objection and any 

supporting data, within 30 days after we 

make a decision. 

(b) For a hearing you request under 

the provisions of this part, we will 

approve your request if we find that 

your request raises a substantial factual 

issue. 

(c) If we agree to hold a hearing, we 

will use the procedures specified in 40 

CFR part 1068, subpart G. 

§ 1045.825 What reporting and 

recordkeeping requirements apply under 

this part? 

Under the Paperwork Reduction Act 

(44 U.S.C. 3501 et seq.), the Office of 

Management and Budget approves the 

reporting and recordkeeping specified 

in the applicable regulations. The 

following items illustrate the kind of 

reporting and recordkeeping we require 

for engines and vessels regulated under 

this part: 

(a) We specify the following 

requirements related to engine and 

vessel certification in this part 1045: 

(1) In § 1045.20 we require vessel 

manufacturers to label their vessels if 

they are relying on component 

certification. 

(2) In § 1045.135 we require engine 

manufacturers to keep certain records 

related to duplicate labels sent to vessel 

manufacturers. 

(3) In § 1045.145 we include various 

reporting and recordkeeping 

requirements related to interim 

provisions. 

(4) In subpart C of this part we 

identify a wide range of information 

required to certify engines. 

(5) In §§ 1045.345 and 1045.350 we 

specify certain records related to 

production-line testing. 

(6) In §§ 1045.420 and 1045.425 we 

specify certain records related to in-use 

testing. 

(7) In subpart G of this part we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various special compliance 

provisions. 

(8) In §§ 1045.725, 1045.730, and 

1045.735 we specify certain records 

related to averaging, banking, and 

trading. 

(b) We specify the following 

requirements related to vessel or 

component certification in 40 CFR part 

1060: 

(1) In 40 CFR 1060.20 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR part 1060, subpart C, we 

identify a wide range of information 

required to certify products. 

(3) In 40 CFR 1060.301 we require 

manufacturers to make engines or 

vessels available for our testing if we 

make such a request. 

(4) In 40 CFR 1060.505 we specify 

information needs for establishing 

various changes to published test 

procedures. 

(c) We specify the following 

requirements related to testing in 40 

CFR part 1065: 

(1) In 40 CFR 1065.2 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR 1065.10 and 1065.12 we 

specify information needs for 

establishing various changes to 

published test procedures. 

(3) In 40 CFR 1065.25 we establish 

basic guidelines for storing test 

information. 

(4) In 40 CFR 1065.695 we identify 

data that may be appropriate for 

collecting during testing of in-use 

engines using portable analyzers. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59231 

(d) We specify the following 

requirements related to the general 

compliance provisions in 40 CFR part 

1068: 

(1) In 40 CFR 1068.5 we establish a 

process for evaluating good engineering 

judgment related to testing and 

certification. 

(2) In 40 CFR 1068.25 we describe 

general provisions related to sending 

and keeping information. 

(3) In 40 CFR 1068.27 we require 

manufacturers to make engines available 

for our testing or inspection if we make 

such a request. 

(4) In 40 CFR 1068.105 we require 

vessel manufacturers to keep certain 

records related to duplicate labels from 

engine manufacturers. 

(5) In 40 CFR 1068.120 we specify 

recordkeeping related to rebuilding 

engines. 

(6) In 40 CFR part 1068, subpart C, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various exemptions. 

(7) In 40 CFR part 1068, subpart D, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to importing engines. 

(8) In 40 CFR 1068.450 and 1068.455 

we specify certain records related to 

testing production-line engines in a 

selective enforcement audit. 

(9) In 40 CFR 1068.501 we specify 

certain records related to investigating 

and reporting emission-related defects. 

(10) In 40 CFR 1068.525 and 1068.530 

we specify certain records related to 

recalling nonconforming engines. 

Appendix I to Part 1045—Summary of 

Previous Emission Standards 

(a) The following standards apply to 

outboard and personal watercraft engines 

produced before the model years specified in 

§ 1045.1 (since the end of the phase-in period 

specified in 40 CFR 91.104): 

(1) For engines at or below 4.3 kW, the 

HC+NOX standard is 81.00 g/kW-hr. 

(2) For engines above 4.3 kW, the following 

HC+NOX standard applies: 

STD = 6.00 + 0.250 · (151 + 557/P0.9) 

Where: 

STD = The HC+NOX emission standard, in g/ 

kW-hr. 

P = The average power of an engine family, 

in kW. 

(b) See 40 CFR 91.104 for standards that 

applied to outboard and personal watercraft 

engines during the phase-in period. 

Appendix II to Part 1045—Duty Cycles 

for Propulsion Marine Engines 

(a) The following duty cycle applies for 

discrete-mode testing: 

E4 Mode No. Engine 

speed1

Torque 

(percent) 2

Weighting 

factors 

1 ................................................................................... Maximum test speed ................................................... 100 0.06 

2 ................................................................................... 80% ............................................................................. 71 .6 0.14 

3 ................................................................................... 60% ............................................................................. 46 .5 0.15 

4 ................................................................................... 40% ............................................................................. 25 .3 0.25 

5 ................................................................................... Warm idle .................................................................... 0 0.40 

1Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed. 

2Except as noted in § 1045.505, the percent torque is relative to maximum torque at maximum test speed. 

(b) The following duty cycle applies for 

ramped-modal testing: 

RMC Mode Time in mode 

(seconds) Engine speed 1,2 Torque (percent) 2,3

1a Steady-state ......................................................... 225 Idle ........................................................................... 0 

1b Transition ............................................................. 20 Linear transition ....................................................... Linear transition 

2a Steady-state ......................................................... 63 Maximum test speed ................................................ 100 

2b Transition ............................................................. 20 Linear transition ....................................................... Linear transition 

*3a Steady-state ....................................................... 271 40% .......................................................................... 25.3% 

3b Transition ............................................................. 20 Linear transition ....................................................... Linear transition 

4a Steady-state ......................................................... 151 80% .......................................................................... 71.6% 

4b Transition ............................................................. 20 Linear transition ....................................................... Linear transition 

5a Steady-state ......................................................... 161 60% .......................................................................... 46.5% 

5b Transition ............................................................. 20 Linear transition ....................................................... Linear transition 

6 Steady-state ........................................................... 229 Warm idle ................................................................. 0 

1Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed. 

2Advance from one mode to the next within a 20-second transition phase. During the transition phase, command linear progressions of speed 

and torque from the speed setting and torque setting of the current mode to the speed setting and torque setting of the next mode. 3Except as noted in § 1045.505, the percent torque is relative to maximum torque at maximum test speed. 

PART 1048—CONTROL OF EMISSIONS 

FROM NEW, LARGE NONROAD 

SPARK-IGNITION ENGINES 

■ 99. The authority citation for part 

1048 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 100. Section 1048.1 is amended by 

revising paragraph (d) to read as 

follows: 

§ 1048.1 Does this part apply to me? 

* * * * * 

(d) In certain cases, the regulations in 

this part 1048 apply to engines with 

maximum engine power at or below 19 

kW that would otherwise be covered by 

40 CFR part 90 or 1054. See 40 CFR 

90.913 or 1054.615 for provisions 

related to this allowance. 

■ 101. A new § 1048.2 is added to read 

as follows: 

§ 1048.2 Who is responsible for 

compliance? 

The regulations in this part 1048 

contain provisions that affect both 

engine manufacturers and others. 

However, the requirements of this part 

mstockstill on PROD1PC66 with RULES2

59232 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

are generally addressed to the engine 

manufacturer. The term ‘‘you’’ generally 

means the engine manufacturer, as 

defined in § 1048.801, especially for 

issues related to certification (including 

production-line testing, reporting, etc.). 

■ 102. Section 1048.5 is amended by 

revising paragraph (b) and adding 

paragraph (c) to read as follows: 

§ 1048.5 Which engines are excluded from 

this part’s requirements? 

* * * * * 

(b) Propulsion marine engines. See 40 

CFR parts 91 and 1045. This part 

applies with respect to auxiliary marine 

engines. 

(c) Engines that are certified to meet 

the requirements of 40 CFR parts 92 or 

1033 (locomotive engines), or are 

otherwise subject to 40 CFR parts 92 or 

1033. 

■ 103. Section 1048.10 is amended by 

revising the introductory text to read as 

follows: 

§ 1048.10 How is this part organized? 

This part 1048 is divided into the 

following subparts: 

* * * * * 

■ 104. Section 1048.15 is amended as 

follows: 

■ a. By revising the section heading. 

■ b. By redesignating paragraphs (a) 

through (c) as paragraphs (b) through 

(d), respectively. 

■ c. By adding a new paragraph (a). 

§ 1048.15 Do any other regulation parts 

apply to me? 

(a) Part 1060 of this chapter describes 

standards and procedures for 

controlling evaporative emissions from 

engines fueled by gasoline or other 

volatile liquid fuels and the associated 

fuel systems. These requirements apply 

to engine manufacturers as specified in 

this part 1048. Part 1060 applies 

optionally for equipment manufacturers 

and fuel-tank manufacturers for 

certifying their products. 

* * * * * 

Subpart B—[Amended] 

■ 105. Section 1048.101 is amended to 

read as follows: 

■ a. By adding paragraph (a)(2)(iv). 

■ b. By removing paragraph (a)(4). 

■ c. By revising paragraphs (e)(1), (e)(2), 

and (e)(3). 

■ d. By revising paragraphs (f) and (h) 

to read as follows: 

§ 1048.101 What exhaust emission 

standards must my engines meet? 

* * * * * 

(a) * * * 

(2) * * * 

(iv) Constant-speed engines and 

severe-duty engines. 

* * * * * 

(e) * * * 

(1) Natural gas-fueled engines: NMHC 

emissions. 

(2) Alcohol-fueled engines: THCE 

emissions. 

(3) Other engines: THC emissions. 

(f) Small engines. Certain engines 

with total displacement at or below 

1000 cc may comply with the 

requirements of 40 CFR part 90 or 1054 

instead of complying with the 

requirements of this part, as described 

in § 1048.615. 

* * * * * 

(h) Applicability for testing. The dutycycle emission standards in this subpart 

apply to all testing performed according 

to the procedures in §§ 1048.505 and 

1048.510, including certification, 

production-line, and in-use testing. The 

field-testing standards apply for all 

testing performed according to the 

procedures of subpart F of this part. 

■ 106. Section 1048.105 is revised to 

read as follows: 

§ 1048.105 What evaporative emission 

standards and requirements apply? 

Starting in the 2007 model year, new 

engines that run on a volatile liquid fuel 

(such as gasoline) must meet the 

emission standards of this section over 

a useful life of five years, except as 

specified in paragraph (f) of this section. 

Note that § 1048.245 allows you to use 

design-based certification instead of 

generating new emission data. 

(a) Fuel line permeation. For 

nonmetallic fuel lines, you must specify 

and use products that meet the Category 

1 specifications for permeation in SAE 

J2260 (incorporated by reference in 

§ 1048.810). 

(b) [Reserved] 

(c) Diurnal emissions. Evaporative 

hydrocarbon emissions may not exceed 

0.2 grams per gallon of fuel tank 

capacity when measured using the test 

procedures specified in § 1048.501. 

Diurnal emission controls must 

continue to function during engine 

operation. 

(d) Running loss. Liquid fuel in the 

fuel tank may not reach boiling during 

continuous engine operation in the final 

installation at an ambient temperature 

of 30 °C. Note that gasoline with a Reid 

vapor pressure of 62 kPa (9 psi) begins 

to boil at about 53 °C at atmospheric 

pressure, and at about 60 °C for fuel 

tanks that hold pressure as described in 

§ 1048.245(e)(1)(i). 

(e) Installation. If other companies 

install your engines in their equipment, 

you may introduce your engines into 

U.S. commerce without meeting all the 

requirements in this section. However, 

you must give equipment manufacturers 

any appropriate instructions so that 

fully assembled equipment will meet all 

the requirements in this section, as 

described in § 1048.130. Your 

instructions may specify that equipment 

manufacturers may alternatively use 

other fuel-system components that have 

been certified under 40 CFR part 1060. 

Introducing equipment into U.S. 

commerce without meeting all the 

requirements of this section violates 40 

CFR 1068.101(a)(1). 

(f) Motor vehicles and marine vessels. 

Motor vehicles and marine vessels may 

contain engines subject to the exhaust 

emission standards in this part 1048. 

Evaporative emission standards apply to 

these products as follows: 

(1) Marine vessels using sparkignition engines are subject to the 

requirements of 40 CFR part 1045. The 

vessels are not required to comply with 

the evaporative emission standards and 

related requirements of this part 1048. 

(2) Motor vehicles are subject to the 

requirements of 40 CFR part 86. They 

are not required to comply with the 

evaporative emission standards and 

related requirements of this part 1048. 

■ 107. Section 1048.110 is amended by 

adding introductory text and revising 

paragraphs (b) introductory text, (c), (d), 

and (g) introductory text to read as 

follows: 

§ 1048.110 How must my engines 

diagnose malfunctions? 

The following engine-diagnostic 

requirements apply for engines 

equipped with three-way catalysts and 

closed-loop control of air-fuel ratios: 

* * * * * 

(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 the following 

circumstances: 

* * * * * 

(c) Control when the MIL can go out. 

If the MIL goes on to show a 

malfunction or system error, it must 

remain on during all later engine 

operation until servicing corrects the 

malfunction. If the engine is not 

serviced, but the malfunction or system 

error does not recur for three 

consecutive engine starts during which 

the malfunctioning system is evaluated 

and found to be working properly, the 

MIL may stay off during later engine 

operation. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59233 

(d) Store trouble codes in computer 

memory. Record and store in computer 

memory any diagnostic trouble codes 

showing a malfunction that should 

illuminate the MIL. The stored codes 

must identify the malfunctioning system 

or component as uniquely as possible. 

Make these codes available through the 

data link connector as described in 

paragraph (g) of this section. You may 

store codes for conditions that do not 

turn on the MIL. The system must store 

a separate code to show when the 

diagnostic system is disabled. 

* * * * * 

(g) Follow standard references for 

formats, codes, and connections. Follow 

conventions defined in 40 CFR 1045.110 

or in the following documents 

(incorporated by reference in 

§ 1048.810) or ask us to approve using 

updated versions of (or variations from) 

these documents: 

* * * * * 

■ 108. Section 1048.115 is amended by 

revising the section heading, 

introductory text, and paragraph (e) to 

read as follows: 

§ 1048.115 What other requirements 

apply? 

Engines that are required to meet the 

emission standards of this part must 

meet the following requirements: 

* * * * * 

(e) Adjustable parameters. Engines 

that have adjustable parameters must 

meet all the requirements of this part for 

any adjustment in the physically 

adjustable range. An operating 

parameter is not considered adjustable if 

you permanently seal it or if it is not 

normally accessible using ordinary 

tools. We may require that you set 

adjustable parameters to any 

specification within the adjustable range 

during any testing, including 

certification testing, production-line 

testing, or in-use testing. 

* * * * * 

■ 109. Section 1048.120 is amended by 

revising paragraph (c) to read as follows: 

§ 1048.120 What emission-related warranty 

requirements apply to me? 

* * * * * 

(c) Components covered. The 

emission-related warranty covers all 

your components whose failure would 

increase an engine’s emissions of any 

regulated pollutant, including 

components listed in 40 CFR part 1068, 

Appendix I, and components from any 

other system you develop to control 

emissions. The emission-related 

warranty covers these components even 

if another company produces the 

component for you. Your emissionrelated warranty does not cover 

components whose failure would not 

increase an engine’s emissions of any 

regulated pollutant. 

* * * * * 

■ 110. Section 1048.125 is amended by 

revising paragraphs (a)(1)(iii) and (d) to 

read as follows: 

§ 1048.125 What maintenance instructions 

must I give to buyers? 

* * * * * 

(a) * * * 

(1) * * * 

(iii) You provide the maintenance free 

of charge and clearly say so in your 

maintenance instructions. 

* * * * * 

(d) Noncritical emission-related 

maintenance. Subject to the provisions 

of this paragraph (d), you may schedule 

any amount of emission-related 

inspection or maintenance that is not 

covered by paragraph (a) of this section 

(i.e., maintenance that is neither 

explicitly identified as critical emissionrelated maintenance, nor that we 

approve as critical emission-related 

maintenance). Noncritical emissionrelated maintenance generally includes 

changing spark plugs, re-seating valves, 

or any other emission-related 

maintenance on the components we 

specify in 40 CFR part 1068, Appendix 

I that is not covered in paragraph (a) of 

this section. You must state in the 

owners manual that these steps are not 

necessary to keep the emission-related 

warranty valid. If operators fail to do 

this maintenance, this does not allow 

you to disqualify those engines from inuse testing or deny a warranty claim. Do 

not take these inspection or 

maintenance steps during service 

accumulation on your emission-data 

engines. 

* * * * * 

■ 111. Section 1048.135 is amended by 

revising paragraphs (c) and (f) to read as 

follows: 

§ 1048.135 How must I label and identify 

the engines I produce? 

* * * * * 

(c) The label must— 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. You may identify 

another company and use its trademark 

instead of yours if you comply with the 

provisions of § 1048.635. 

(3) Include EPA’s standardized 

designation for the engine family (and 

subfamily, where applicable). 

(4) State the engine’s displacement (in 

liters); however, you may omit this from 

the label if all the engines in the engine 

family have the same per-cylinder 

displacement and total displacement. 

(5) State the date of manufacture 

[DAY (optional), MONTH, and YEAR]; 

however, you may omit this from the 

label if you stamp, engrave, or otherwise 

permanently identify it elsewhere on 

the engine, in which case you must also 

describe in your application for 

certification where you will identify the 

date on the engine. 

(6) Identify the emission control 

system. Use terms and abbreviations as 

described in 40 CFR 1068.45. You may 

omit this information from the label if 

there is not enough room for it and you 

put it in the owners manual instead. 

(7) State: ‘‘THIS ENGINE IS 

CERTIFIED TO OPERATE ON [specify 

operating fuel or fuels].’’ 

(8) Identify any requirements for fuel 

and lubricants. You may omit this 

information from the label if there is not 

enough room for it and you put it in the 

owners manual instead. 

(9) List specifications and adjustments 

for engine tuneups; show the proper 

position for the transmission during 

tuneup and state which accessories 

should be operating. You may omit this 

information from the label if there is not 

enough room for it and you put it in the 

owners manual instead. 

(10) State the useful life for your 

engine family if it has a longer useful 

life under § 1048.101(g)(1) or a 

shortened useful life under 

§ 1048.101(g)(2). 

(11) Identify the emission standards to 

which you have certified the engine (in 

g/kW-hr). 

(12) Include one of the following 

compliance statements: 

(i) For engines that may be used in 

nonroad or stationary equipment, state: 

‘‘THIS ENGINE COMPLIES WITH U.S. 

EPA REGULATIONS FOR [MODEL 

YEAR] NONROAD AND STATIONARY 

ENGINES.’’ 

(ii) For engines that will be used only 

in nonroad equipment, state: ‘‘THIS 

ENGINE COMPLIES WITH U.S. EPA 

REGULATIONS FOR [MODEL YEAR] 

NONROAD ENGINES.’’ 

(iii) For engines that will be used only 

in stationary equipment, state: ‘‘THIS 

ENGINE COMPLIES WITH U.S. EPA 

REGULATIONS FOR [MODEL YEAR] 

STATIONARY ENGINES.’’ 

(13) Include any of the following 

additional statements for special 

situations if they apply to your engines: 

(i) If your engines are certified only 

for constant-speed operation, state: 

‘‘USE IN CONSTANT-SPEED 

APPLICATIONS ONLY.’’ 

(ii) If your engines are certified only 

for variable-speed operation, state: ‘‘USE 

mstockstill on PROD1PC66 with RULES2

59234 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

IN VARIABLE-SPEED APPLICATIONS 

ONLY.’’ 

(iii) If your engines are certified only 

for high-load engines, state: ‘‘THIS 

ENGINE IS NOT INTENDED FOR 

OPERATION AT LESS THAN 75 

PERCENT OF FULL LOAD.’’ 

(iv) If you certify your engines under 

§ 1048.101(d), and show in your 

application for certification that in-use 

engines will experience infrequent highload operation, state: ‘‘THIS ENGINE IS 

NOT INTENDED FOR OPERATION AT 

MORE THAN 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. 

(v) If your engines are certified to the 

voluntary standards in § 1048.140, state: 

‘‘BLUE SKY SERIES’’ and identify the 

standard to which you certify the 

engines. 

* * * * * 

(f) If you obscure the engine label 

while installing the engine in the 

equipment such that the label cannot be 

read during normal maintenance, you 

must place a duplicate label on the 

equipment. If others install your engine 

in their equipment in a way that 

obscures the engine label, we require 

them to add a duplicate label on the 

equipment (see 40 CFR 1068.105); in 

that case, give them the number of 

duplicate labels they request and keep 

the following records for at least five 

years: 

(1) Written documentation of the 

request from the equipment 

manufacturer. 

(2) The number of duplicate labels 

you send for each engine family and the 

date you sent them. 

■ 112. Section 1048.140 is revised to 

read as follows: 

§ 1048.140 What are the provisions for 

certifying Blue Sky Series engines? 

This section defines voluntary 

standards for a recognized level of 

superior emission control for engines 

designated as ‘‘Blue Sky Series’’ 

engines. If you certify an engine family 

under this section, it is subject to all the 

requirements of this part as if these 

voluntary standards were mandatory. To 

receive a certificate of conformity as 

‘‘Blue Sky Series,’’ you must certify to 

one of the sets of exhaust emission 

standards in the following table: 

TABLE 1 OF § 1048.140—STANDARDS

FOR BLUE SKY SERIES ENGINES (g/ 

KW–hr) 

Standards for steadystate and transient 

test 

procedures 

Standards for 

field-testing procedures 

HC+NOX CO HC+NOX CO 

0.80 4.4 1.10 6.6 

0.60 4.4 0.84 6.6 

0.40 4.4 0.56 6.6 

0.20 4.4 0.28 6.6 

0.10 4.4 0.14 6.6 

■ 113. Section 1048.145 is amended by 

adding paragraphs (j) and (k) to read as 

follows: 

§ 1048.145 What provisions apply only for 

a limited time? 

* * * * * 

(j) Delayed compliance with labeling 

requirements. Before the 2010 model 

year, you may omit the dates of 

manufacture from the emission control 

information label as specified in 

§ 1048.135(c)(5) if you keep those 

records and provide them to us upon 

request. 

(k) Delayed compliance with fuel tank 

permeation requirements. Before the 

2010 model year, you may omit the 

permeation-related requirements related 

to plastic fuel tanks in 

§ 1048.245(e)(1)(i) and § 1048.501(e). 

Subpart C—[Amended] 

■ 114. Section 1048.201 is amended by 

revising paragraph (a) to read as follows: 

§ 1048.201 What are the general 

requirements for obtaining a certificate of 

conformity? 

(a) You must send us a separate 

application for a certificate of 

conformity for each engine family. A 

certificate of conformity is valid starting 

with the indicated effective date, but it 

is not valid for any production after 

December 31 of the model year for 

which it is issued. No certificate will be 

issued after December 31 of the model 

year. 

* * * * * 

■ 115. Section 1048.205 is amended as 

follows: 

■ a. By revising paragraph (p)(1). 

■ b. By revising paragraph (q). 

■ c. By revising paragraph (r) 

introductory text. 

■ d. By revising paragraph (s). 

■ e. By revising paragraph (y). 

■ f. By revising paragraph (aa). 

§ 1048.205 What must I include in my 

application? 

* * * * * 

(p) * * * 

(1) Present exhaust emission data for 

HC, NOX, and CO on an emission-data 

engine to show your engines meet the 

applicable duty-cycle emission 

standards we specify in § 1048.101. 

Show emission figures before and after 

applying deterioration factors for each 

engine. Include emission results for 

each mode if you do discrete-mode 

testing under § 1048.505. Include test 

data for each type of fuel from 40 CFR 

part 1065, subpart H, on which you 

intend for engines in the engine family 

to operate (for example, gasoline, 

liquefied petroleum gas, methanol, or 

natural gas). If we specify more than one 

grade of any fuel type (for example, a 

summer grade and winter grade of 

gasoline), you need to submit test data 

only for one grade unless the regulations 

of this part specify otherwise for your 

engine. Note that § 1048.235 allows you 

to submit an application in certain cases 

without new emission data. 

* * * * * 

(q) State that all the engines in the 

engine family comply with the fieldtesting emission standards we specify in 

§ 1048.101(c) for all normal operation 

and use when tested as specified in 

§ 1048.515. Describe any relevant 

testing, engineering analysis, or other 

information in sufficient detail to 

support your statement. 

(r) For engines not subject to transient 

testing requirements in § 148.101(a), 

include information showing how your 

emission controls will function during 

normal in-use transient operation. For 

example, this might include the 

following: 

* * * * * 

(s) Report all test results, including 

those from invalid tests or from any 

other tests, whether or not they were 

conducted according to the test 

procedures of subpart F of this part. If 

you measure CO2, report those emission 

levels (in g/kW-hr). We may ask you to 

send other information to confirm that 

your tests were valid under the 

requirements of this part and 40 CFR 

part 1065. 

* * * * * 

(y) Include good-faith estimates of 

U.S.-directed production volumes. 

Include a justification for the estimated 

production volumes if they are 

substantially different than actual 

production volumes in earlier years for 

similar models. 

* * * * * 

(aa) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59235 

United States related to the 

requirements of this part. 

■ 116. Section 1048.220 is amended by 

revising the introductory text and 

paragraph (a) to read as follows: 

§ 1048.220 How do I amend the 

maintenance instructions in my 

application? 

You may amend your emissionrelated maintenance instructions after 

you submit your application for 

certification as long as the amended 

instructions remain consistent with the 

provisions of § 1048.125. You must send 

the Designated Compliance Officer a 

written request to amend your 

application for certification for an 

engine family if you want to change the 

emission-related maintenance 

instructions in a way that could affect 

emissions. In your request, describe the 

proposed changes to the maintenance 

instructions. If operators follow the 

original maintenance instructions rather 

than the newly specified maintenance, 

this does not allow you to disqualify 

those engines from in-use testing or 

deny a warranty claim. 

(a) If you are decreasing, replacing, or 

eliminating any specified maintenance, 

you may distribute the new 

maintenance instructions to your 

customers 30 days after we receive your 

request, unless we disapprove your 

request. This would generally include 

replacing one maintenance step with 

another. We may approve a shorter time 

or waive this requirement. 

* * * * * 

■ 117. Section 1048.225 is revised to 

read as follows: 

§ 1048.225 How do I amend my application 

for certification to include new or modified 

engine configurations? 

Before we issue you a certificate of 

conformity, you may amend your 

application to include new or modified 

engine configurations, subject to the 

provisions of this section. After we have 

issued your certificate of conformity, 

you may send us an amended 

application requesting that we include 

new or modified engine configurations 

within the scope of the certificate, 

subject to the provisions of this section. 

You must amend your application if any 

changes occur with respect to any 

information included in your 

application. 

(a) You must amend your application 

before you take any of the following 

actions: 

(1) Add an engine configuration to an 

engine family. In this case, the engine 

configuration added must be consistent 

with other engine configurations in the 

engine family with respect to the criteria 

listed in § 1048.230. 

(2) Change an engine configuration 

already included in an engine family in 

a way that may affect emissions, or 

change any of the components you 

described in your application for 

certification. This includes production 

and design changes that may affect 

emissions any time during the engine’s 

lifetime. 

(b) To amend your application for 

certification, send the Designated 

Compliance Officer the following 

information: 

(1) Describe in detail the addition or 

change in the engine model or 

configuration you intend to make. 

(2) Include engineering evaluations or 

data showing that the amended engine 

family complies with all applicable 

requirements. You may do this by 

showing that the original emission-data 

engine is still appropriate for showing 

that the amended family complies with 

all applicable requirements. 

(3) If the original emission-data 

engine for the engine family is not 

appropriate to show compliance for the 

new or modified engine configuration, 

include new test data showing that the 

new or modified engine configuration 

meets the requirements of this part. 

(c) We may ask for more test data or 

engineering evaluations. You must give 

us these within 30 days after we request 

them. 

(d) For engine families already 

covered by a certificate of conformity, 

we will determine whether the existing 

certificate of conformity covers your 

newly added or modified engine. You 

may ask for a hearing if we deny your 

request (see § 1048.820). 

(e) For engine families already 

covered by a certificate of conformity, 

you may start producing the new or 

modified engine configuration anytime 

after you send us your amended 

application and before we make a 

decision under paragraph (d) of this 

section. However, if we determine that 

the affected engines do not meet 

applicable requirements, we will notify 

you to cease production of the engines 

and may require you to recall the 

engines at no expense to the owner. 

Choosing to produce engines under this 

paragraph (e) is deemed to be consent to 

recall all engines that we determine do 

not meet applicable emission standards 

or other requirements and to remedy the 

nonconformity at no expense to the 

owner. If you do not provide 

information required under paragraph 

(c) of this section within 30 days after 

we request it, you must stop producing 

the new or modified engines. 

■ 118. Section 1048.230 is amended by 

revising paragraphs (a), (b)(3), and (d) 

and removing paragraph (b)(7) to read as 

follows: 

§ 1048.230 How do I select engine 

families? 

(a) For purposes of certification, 

divide your product line into families of 

engines that are expected to have 

similar emission characteristics 

throughout the useful life as described 

in this section. Your engine family is 

limited to a single model year. 

(b) * * * 

(3) Configuration of the fuel system 

(for example, fuel-injected vs. 

carbureted gasoline engines). 

* * * * * 

(d) In unusual circumstances, you 

may group engines that are not identical 

with respect to the things listed in 

paragraph (b) of this section in the same 

engine family if you show that their 

emission characteristics during the 

useful life will be similar. 

* * * * * 

■ 119. Section 1048.235 is amended by 

revising paragraphs (a), (c)(4), (d) 

introductory text, (d)(1), and (e) to read 

as follows: 

§ 1048.235 What emission testing must I 

perform for my application for a certificate 

of conformity? 

* * * * * 

(a) Test your emission-data engines 

using the procedures and equipment 

specified in subpart F of this part. 

* * * * * 

(c) * * * 

(4) Before we test one of your engines, 

we may calibrate it within normal 

production tolerances for anything we 

do not consider an adjustable parameter. 

For example, this would apply where 

we determine that an engine parameter 

is not an adjustable parameter (as 

defined in § 1048.801) but that it is 

subject to production variability. 

(d) You may ask to use carryover 

emission data from a previous model 

year instead of doing new tests, but only 

if all the following are true: 

(1) The engine family from the 

previous model year differs from the 

current engine family only with respect 

to model year or other characteristics 

unrelated to emissions. You may also 

ask to add a configuration subject to 

§ 1048.225. 

* * * * * 

(e) We may require you to test another 

engine of the same or different 

configuration in addition to the engine 

tested under paragraph (b) of this 

section. 

* * * * * 

mstockstill on PROD1PC66 with RULES2

59236 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

■ 120. Section 1048.240 is amended by 

revising paragraphs (a), (b), and (c) to 

read as follows: 

§ 1048.240 How do I demonstrate that my 

engine family complies with exhaust 

emission standards? 

(a) For purposes of certification, your 

engine family is considered in 

compliance with the applicable 

numerical emission standards in 

§ 1048.101(a) and (b) if all emission-data 

engines representing that family have 

test results showing deteriorated 

emission levels at or below these 

standards. This includes all test points 

over the course of the durability 

demonstration. 

(b) Your engine family is deemed not 

to comply if any emission-data engine 

representing that family has test results 

showing a deteriorated emission level 

for any pollutant that is above an 

applicable emission standard from 

§ 1048.101. This includes all test points 

over the course of the durability 

demonstration. 

(c) To compare emission levels from 

the emission-data engine with the 

applicable emission standards, apply 

deterioration factors to the measured 

emission levels for each pollutant. 

Specify the deterioration factors based 

on emission measurements using four 

significant figures, consistent with good 

engineering judgment. For example, 

your deterioration factors must take into 

account any available data from in-use 

testing with similar engines (see subpart 

E of this part). Small-volume engine 

manufacturers may use assigned 

deterioration factors that we establish. 

In addition, anyone may use assigned 

deterioration factors for engine families 

with a projected U.S.-directed 

production volume at or below 300 

engines. Apply deterioration factors as 

follows: 

(1) Multiplicative deterioration factor. 

Except as specified in paragraph (c)(2) 

of this section, use a multiplicative 

deterioration factor for exhaust 

emissions. A multiplicative 

deterioration factor is the ratio of 

exhaust emissions at the end of useful 

life to exhaust emissions at the low-hour 

test point. Adjust the official emission 

results for each tested engine at the 

selected test point by multiplying the 

measured emissions by the deterioration 

factor. If the factor is less than one, use 

one. 

(2) Additive deterioration factor. Use 

an additive deterioration factor for 

exhaust emissions if engines do not use 

aftertreatment technology. Also, you 

may use an additive deterioration factor 

for exhaust emissions for a particular 

pollutant if all the emission-data 

engines in the engine family have lowhour emission levels at or below 0.3 g/ 

kW-hr for HC+NOX or 0.5 g/kW-hr for 

CO, unless a multiplicative 

deterioration factor is more appropriate. 

For example, you should use a 

multiplicative deterioration factor if 

emission increases are best represented 

by the ratio of exhaust emissions at the 

end of the useful life to exhaust 

emissions at the low-hour test point. An 

additive deterioration factor is the 

difference between exhaust emissions at 

the end of useful life and exhaust 

emissions at the low-hour test point. 

Adjust the official emission results for 

each tested engine at the selected test 

point by adding the factor to the 

measured emissions. If the factor is less 

than zero, use zero. 

* * * * * 

■ 121. Section 1048.245 is amended by 

revising paragraphs (c) and (e) to read as 

follows: 

§ 1048.245 How do I demonstrate that my 

engine family complies with evaporative 

emission standards? 

* * * * * 

(c) Use good engineering judgment to 

develop a test plan to establish 

deterioration factors to show how much 

emissions increase at the end of the 

useful life. 

* * * * * 

(e) 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); however, they may contain air 

inlets that open when there is a vacuum 

pressure inside the tank. Nonmetal fuel 

tanks must also use one of the 

qualifying designs for controlling 

permeation emissions specified in 40 

CFR 1060.240. 

(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. If you install engines 

in equipment, you may do this using 

fuel temperature data measured during 

normal operation. Otherwise, you may 

do this by including appropriate 

information in your emission-related 

installation instructions. 

(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 

■ 122. Section 1048.250 is amended as 

follows: 

■ a. By removing paragraph (d). 

■ b. By redesignating paragraphs (a) 

through (c) as paragraphs (b) through 

(d), respectively. 

■ c. By adding a new paragraph (a). 

■ d. By revising the newly redesignated 

paragraph (c). 

§ 1048.250 What records must I keep and 

make available to EPA? 

(a) Send the Designated Compliance 

Officer information related to your U.S.- 

directed production volumes as 

described in § 1048.345. In addition, 

within 45 days after the end of the 

model year, you must send us a report 

describing information about engines 

you produced during the model year as 

follows: 

(1) State the total production volume 

for each engine family that is not subject 

to reporting under § 1048.345. 

(2) State the total production volume 

for any engine family for which you 

produce engines after completing the 

reports required in § 1048.345. 

(3) For production volumes you report 

under this paragraph (a), identify 

whether or not the figures include 

California sales. Include a separate 

count of production volumes for 

California sales if those figures are 

available. 

* * * * * 

(c) Keep data from routine emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in this section for 

eight years after we issue your 

certificate. 

* * * * * 

■ 123. Section 1048.255 is amended by 

revising the section heading and 

paragraph (d) to read as follows: 

§ 1048.255 What decisions may EPA make 

regarding my certificate of conformity? 

* * * * * 

(d) We may void your certificate if 

you do not keep the records we require 

or do not give us information as 

required under this part or the Act. 

* * * * * 

Subpart D—[Amended] 

■ 124. Section 1048.301 is revised to 

read as follows: 

§ 1048.301 When must I test my 

production-line engines? 

(a) If you produce engines that are 

subject to the requirements of this part, 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59237 

you must test them as described in this 

subpart, except as follows: 

(1) [Reserved] 

(2) We may exempt engine families 

with a projected U.S.-directed 

production volume below 150 units 

from routine testing under this subpart. 

Request this exemption in your 

application for certification and include 

your basis for projecting a production 

volume below 150 units. We will 

approve your request if we agree that 

you have made good-faith estimates of 

your production volumes. Your 

exemption is approved when we grant 

your certificate. You must promptly 

notify us if your actual production 

exceeds 150 units during the model 

year. If you exceed the production limit 

or if there is evidence of a 

nonconformity, we may require you to 

test production-line engines under this 

subpart, or under 40 CFR part 1068, 

subpart E, even if we have approved an 

exemption under this paragraph (a)(2). 

(b) We may suspend or revoke your 

certificate of conformity for certain 

engine families if your production-line 

engines do not meet the requirements of 

this part or you do not fulfill your 

obligations under this subpart (see 

§§ 1048.325 and 1048.340). 

(c) Other regulatory provisions 

authorize us to suspend, revoke, or void 

your certificate of conformity, or order 

recalls for engine families, without 

regard to whether they have passed 

these production-line testing 

requirements. The requirements of this 

subpart do not affect our ability to do 

selective enforcement audits, as 

described in part 1068 of this chapter. 

Individual engines in families that pass 

these production-line testing 

requirements must also conform to all 

applicable regulations of this part and 

part 1068 of this chapter. 

(d) You may use alternate programs 

for testing production-line engines in 

the following circumstances: 

(1) You may use analyzers and 

sampling systems that meet the fieldtesting requirements of 40 CFR part 

1065, subpart J, but not the otherwise 

applicable requirements in 40 CFR part 

1065 for laboratory testing, to 

demonstrate compliance with dutycycle emission standards if you double 

the minimum sampling rate specified in 

§ 1048.310(b). Use measured test results 

to determine whether engines comply 

with applicable standards without 

applying a measurement allowance. 

This alternate program does not require 

prior approval but we may disallow use 

of this option where we determine that 

use of field-grade equipment would 

prevent you from being able to 

demonstrate that your engines are being 

produced to conform to the 

specifications in your application for 

certification. 

(2) You may ask to use another 

alternate program for testing 

production-line engines. In your 

request, you must show us that the 

alternate program gives equal assurance 

that your products meet the 

requirements of this part. We may waive 

some or all of this subpart’s 

requirements if we approve your 

alternate approach. For example, in 

certain circumstances you may be able 

to give us equal assurance that your 

products meet the requirements of this 

part by using less rigorous measurement 

methods if you offset that by increasing 

the number of test engines. 

(e) If you certify an engine family with 

carryover emission data, as described in 

§ 1048.235(d), 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. 

■ 125. Section 1048.305 is amended by 

adding introductory text and revising 

paragraphs (a), (d), and (g) to read as 

follows: 

§ 1048.305 How must I prepare and test my 

production-line engines? 

This section describes how to prepare 

and test production-line engines. You 

must assemble the test engine in a way 

that represents the assembly procedures 

for other engines in the engine family. 

You must ask us to approve any 

deviations from your normal assembly 

procedures for other production engines 

in the engine family. 

(a) Test procedures. Test your 

production-line engines using either the 

steady-state or transient testing 

procedures specified in subpart F of this 

part to show you meet the duty-cycle 

emission standards in subpart B of this 

part. The field-testing standards apply 

for this testing, but you need not do 

additional testing to show that 

production-line engines meet the fieldtesting standards. 

* * * * * 

(d) Setting adjustable parameters. 

Before any test, we may require you to 

adjust any adjustable parameter to any 

setting within its physically adjustable 

range. 

(1) We may require you to adjust idle 

speed outside the physically adjustable 

range as needed, but only until the 

engine has stabilized emission levels 

(see paragraph (e) of this section). We 

may ask you for information needed to 

establish an alternate minimum idle 

speed. 

(2) We may specify adjustments 

within the physically adjustable range 

by considering their effect on emission 

levels. We may also consider how likely 

it is that someone will make such an 

adjustment with in-use equipment. 

* * * * * 

(g) Retesting after invalid tests. You 

may retest an engine if you determine 

an emission test is invalid under 

subpart F of this part. Explain in your 

written report reasons for invalidating 

any test and the emission results from 

all tests. If we determine that you 

improperly invalidated a test, we may 

require you to ask for our approval for 

future testing before substituting results 

of the new tests for invalid ones. 

■ 126. Section 1048.310 is amended as 

follows: 

■ a. By revising paragraph (a). 

■ b. By revising paragraph (c) 

introductory text. 

■ c. By revising paragraph (c)(2). 

■ d. By revising paragraph (f). 

■ e. By revising paragraph (g). 

■ f. By revising paragraph (h). 

§ 1048.310 How must I select engines for 

production-line testing? 

(a) Use test results from two engines 

each quarter to calculate the required 

sample size for the model year for each 

engine family. 

* * * * * 

(c) Calculate the required sample size 

for each engine family. Separately 

calculate this figure for HC+NOX and 

CO. The required sample size is the 

greater of these calculated values. Use 

the following equation: 

N

t

x STD = ( ) ⋅

( ) −

















+ 95

2

1

σ

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. 

s = Test sample standard deviation (see 

paragraph (c)(2) of this section). 


mstockstill on PROD1PC66 with RULES2ER08OC08.091</MATH>
59238 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

x = Mean of emission test results of the 

sample. 

STD = Emission standard. 

* * * * * 

(2) Calculate the standard deviation, 

s, for the test sample using the 

following formula: 

Where: 

σ = ( ) −

( ) −















 ∑ X x

n

i

2

1

2

1

Xi = Emission test result for an individual 

engine. 

n = The number of tests completed in an 

engine family. 

* * * * * 

(f) Distribute the remaining tests 

evenly throughout the rest of the year. 

You may need to adjust your schedule 

for selecting engines if the required 

sample size changes. If your scheduled 

quarterly testing for the remainder of the 

model year is sufficient to meet the 

calculated sample size, you may wait 

until the next quarter to do additional 

testing. Continue to randomly select 

engines from each engine family. 

(g) Continue testing until one of the 

following things happens: 

(1) After completing the minimum 

number of tests required in paragraph 

(b) of this section, the number of tests 

completed in an engine family, n, is 

greater than the required sample size, N, 

and the sample mean, x, is less than or 

equal to the emission standard. For 

example, if N = 5.1 after the fifth test, 

the sample-size calculation does not 

allow you to stop testing. 

(2) The engine family does not 

comply according to § 1048.315. 

(3) You test 30 engines from the 

engine family. 

(4) You test one percent of your 

projected annual U.S.-directed 

production volume for the engine 

family, rounded to the nearest whole 

number. Do not count an engine under 

this paragraph (g)(4) if it fails to meet an 

applicable emission standard. You may 

stop testing after you test one percent of 

your production volume even if you 

have not tested the number of engines 

specified in paragraph (b) of this 

section. For example, if projected 

volume is 475 engines, test two engines 

in each of the first two quarters and one 

engine in the third quarter to fulfill your 

testing requirements under this section 

for that 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 one 

pollutant but not another, you must 

continue measuring emission levels of 

all pollutants for any additional tests 

required under this section. However, 

you need not continue making the 

calculations specified in this subpart for 

the pollutant for which testing is not 

required. This paragraph (h) does not 

affect the number of tests required 

under this section, the required 

calculations in § 1048.315, or the 

remedial steps required under 

§ 1048.320. 

* * * * * 

■ 127. Section 1048.315 is amended by 

revising paragraphs (a) and (b) to read 

as follows: 

§ 1048.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

* * * * * 

(a) Calculate your test results as 

follows: 

(1) Initial and final test results. 

Calculate and round the test results for 

each engine. If you do several tests on 

an engine, calculate the initial results 

for each test, then add all the test results 

together and divide by the number of 

tests. Round this final calculated value 

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)). 

(3) Round deteriorated test results. 

Round the results to the number of 

decimal places in the emission standard 

expressed to one more decimal place. 

(b) Construct the following CumSum 

Equation for each engine family for 

HC+NOX and CO emissions: 

Ci = Max [0 or Ci-1 + Xi ¥ (STD + 0.25 

× s)] 

Where: 

Ci = The current CumSum statistic. 

Ci-1 = The previous CumSum statistic. For 

the first test, the CumSum statistic is 0 

(i.e., C1 = 0). 

Xi = The current emission test result for an 

individual engine. 

STD = Emission standard. 

* * * * * 

■ 128. Section 1048.320 is amended by 

revising paragraph (b) to read as follows: 

§ 1048.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

* * * * * 

(b) Include the test results and 

describe the remedy for each engine in 

the written report required under 

§ 1048.345. 

■ 129. Section 1048.325 is amended by 

revising the section heading and 

paragraph (c) to read as follows: 

§ 1048.325 What happens if an engine 

family fails the production-line testing 

requirements? 

* * * * * 

(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 occurs that we 

used erroneous information in deciding 

to suspend the certificate, we will 

reinstate the certificate. 

* * * * * 

■ 130. Section 1048.345 is amended as 

follows: 

■ a. By removing the introductory text. 

■ b. By revising paragraphs (a)(4), (a)(5), 

(a)(6), and (a)(8). 

■ c. By revising paragraphs (b) and (c). 

§ 1048.345 What production-line testing 

records must I send to EPA? 

(a) * * * 

(4) Describe each test engine, 

including the engine family’s 

identification and the engine’s model 

year, build date, model number, 

identification number, and number of 

hours of operation before testing. 

(5) Identify how you accumulated 

hours of operation on the engines and 

describe the procedure and schedule 

you used. 

(6) Provide the test number; the date, 

time and duration of testing; test 

procedure; all initial test results; 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. 

* * * * * 

(8) Provide the CumSum analysis 

required in § 1048.315 and the samplesize calculation required in § 1048.310 

for each engine family. 

* * * * * 

(b) We may ask you to add 

information to your written report, so 

we can determine whether your new 

engines conform with the requirements 

of this subpart. We may also ask you to 

send less information. 

(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 test engines in a way that 

might affect emission controls. All the 

information in this report is true and 

accurate, to the best of my knowledge. 

I know of the penalties for violating the 


mstockstill on PROD1PC66 with RULES2ER08OC08.092</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59239 

Clean Air Act and the regulations. 

(Authorized Company Representative) 

* * * * * 

■ 131. Section 1048.350 is amended by 

revising paragraphs (b), (e), and (f) to 

read as follows: 

§ 1048.350 What records must I keep? 

* * * * * 

(b) Keep paper or electronic records of 

your production-line testing for eight 

years after you complete all the testing 

required for an engine family in a model 

year. 

* * * * * 

(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 engine power, displacement, 

fuel type, or assembly plant (if you 

produce engines at more than one 

plant). 

(f) Keep records of the engine 

identification number for each engine 

you produce under each certificate of 

conformity. You may identify these 

numbers as a range. Give us these 

records within 30 days if we ask for 

them. 

* * * * * 

Subpart E—[Amended] 

■ 132. Section 1048.405 is amended by 

adding paragraph (d) to read as follows: 

§ 1048.405 How does this program work? 

* * * * * 

(d) In appropriate extreme and 

unusual circumstances that are clearly 

outside your control and could not have 

been avoided by the exercise of 

prudence, diligence, and due care, we 

may waive the in-use testing 

requirement for an engine family. For 

example, if your test fleet is destroyed 

by severe weather during service 

accumulation and we agree that 

completion of testing is not possible, we 

would generally waive testing 

requirements for that engine family. 

■ 133. Section 1048.410 is amended by 

revising paragraph (e) to read as follows: 

§ 1048.410 How must I select, prepare, and 

test my in-use engines? 

* * * * * 

(e) You may do repeat measurements 

with a test engine; however, you must 

conduct the same number of tests on 

each engine. 

* * * * * 

■ 134. Section 1048.415 is amended by 

revising paragraphs (c) and (d) to read 

as follows: 

§ 1048.415 What happens if in-use engines 

do not meet requirements? 

* * * * * 

(c) We will consider failure rates, 

average emission levels, and any 

defects—among other things—to decide 

on taking remedial action under this 

subpart (see 40 CFR 1068.505). We may 

consider the results from any voluntary 

additional testing you perform. We may 

also consider information related to 

testing from other engine families 

showing that you designed them to 

exceed the minimum requirements for 

controlling emissions. We may order a 

recall before or after you complete 

testing of an engine family if we 

determine a substantial number of 

engines do not conform to section 213 

of the Act or to this part. The scope of 

the recall may include other engine 

families in the same or different model 

years if the cause of the problem 

identified in paragraph (a) of this 

section applies more broadly than the 

tested engine family, as allowed by the 

Act. 

(d) If in-use testing reveals a design or 

manufacturing defect that prevents 

engines from meeting the requirements 

of this part, you must correct the defect 

as soon as possible for any future 

production for engines in every family 

affected by the defect. See 40 CFR 

1068.501 for additional requirements 

related to defect reporting. 

* * * * * 

Subpart F—[Amended] 

■ 135. Section 1048.501 is amended by 

revising paragraphs (c) and (e) and 

removing paragraph (h) to read as 

follows: 

§ 1048.501 How do I run a valid emission 

test? 

* * * * * 

(c) Use the fuels and lubricants 

specified in 40 CFR part 1065, subpart 

H, to perform valid tests for all the 

testing we require in this part, except as 

noted in § 1048.515. For service 

accumulation, use the test fuel or any 

commercially available fuel that is 

representative of the fuel that in-use 

engines will use. 

* * * * * 

(e) To test engines for evaporative 

emissions, use the equipment and 

procedures specified for testing diurnal 

emissions as described in 40 CFR 

1060.525, subject to the following 

provisions: 

(1) Precondition nonmetal fuel tanks 

as specified in 40 CFR 1060.520(a) and 

(b). 

(2) For engines equipped with carbon 

canisters that store fuel vapors that will 

be purged for combustion in the engine, 

precondition the canister as specified in 

40 CFR 86.132–96(h) and then operate 

the engine for 60 minutes over repeat 

runs of the duty cycle specified in 

Appendix I of this part. 

(3) Start the diurnal emission test after 

the engine is stabilized at room 

temperatures, but within 36 hours after 

the engine operation specified in 

paragraph (e)(2) of this section. 

(4) You may not separately measure 

permeation emissions from nonmetal 

fuel tanks for subtracting from the 

diurnal emission measurement. 

(5) Note that you may omit testing for 

evaporative emissions during 

certification if you certify by design, as 

specified in § 1048.245. 

* * * * * 

■ 136. Section 1048.505 is revised to 

read as follows: 

§ 1048.505 What transient duty cycles 

apply for laboratory testing? 

This section describes how to test 

engines under steady-state conditions. 

In some cases, we allow you to choose 

the appropriate steady-state duty cycle 

for an engine. In these cases, you must 

use the duty cycle you select in your 

application for certification for all 

testing you perform for that engine 

family. If we test your engines to 

confirm that they meet emission 

standards, we will use the duty cycles 

you select for your own testing. We may 

also perform other testing as allowed by 

the Clean Air Act. 

(a) You may perform steady-state 

testing with either discrete-mode or 

ramped-modal cycles, as follows: 

(1) For discrete-mode testing, sample 

emissions separately for each mode, 

then calculate an average emission level 

for the whole cycle using the weighting 

factors specified for each mode. 

Calculate cycle statistics and compare 

with the established criteria as specified 

in 40 CFR 1065.514 to confirm that the 

test is valid. Operate the engine and 

sampling system as follows: 

(i) Engines with lean NOX

aftertreatment. For lean-burn engines 

that depend on aftertreatment to meet 

the NOX emission standard, operate the 

engine for 5–6 minutes, then sample 

emissions for 1–3 minutes in each 

mode. 

(ii) Engines without lean NOX

aftertreatment. For other engines, 

operate the engine for at least 5 minutes, 

then sample emissions for at least 1 

minute in each mode. 

(2) For ramped-modal testing, start 

sampling at the beginning of the first 

mode and continue sampling until the 

end of the last mode. Calculate 

emissions and cycle statistics the same 

mstockstill on PROD1PC66 with RULES2

59240 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

as for transient testing as specified in 40 

CFR part 1065, subpart G. 

(b) Measure emissions by testing the 

engine on a dynamometer with one or 

more of the following sets of duty cycles 

to determine whether it meets the 

steady-state emission standards in 

§ 1048.101(b): 

(1) For engines from an engine family 

that will be used only in variable-speed 

applications, use one of the following 

duty cycles: 

(i) The following duty cycle applies 

for discrete-mode testing: 

TABLE 1 OF § 1048.505 

C2 mode No. Engine speed 1 Torque 

(percent) 2

Weighting 

factors 

1 ....................................................... Maximum test speed ................................................................................. 25 0.06 

2 ....................................................... Intermediate test ........................................................................................ 100 0.02 

3 ....................................................... Intermediate test ........................................................................................ 75 0.05 

4 ....................................................... Intermediate test ........................................................................................ 50 0.32 

5 ....................................................... Intermediate test ........................................................................................ 25 0.30 

6 ....................................................... Intermediate test ........................................................................................ 10 0.10 

7 ....................................................... Warm idle .................................................................................................. 0 0.15 

1Speed terms are defined in 40 CFR part 1065. 

2The percent torque is relative to the maximum torque at the given engine speed. 

(ii) The following duty cycle applies 

for ramped-modal testing: 

TABLE 2 OF § 1048.505 

RMC mode Time in mode 

(seconds) Engine speed 1,2 Torque 

(percent) 2,3

1a Steady-state ..................................................... 119 Warm idle .............................................................. 0 

1b Transition .......................................................... 20 Linear transition ..................................................... Linear transition. 

2a Steady-state ..................................................... 29 Intermediate speed ................................................ 100 

2b Transition .......................................................... 20 Intermediate speed ................................................ Linear transition. 

3a Steady-state ..................................................... 150 Intermediate speed ................................................ 10 

3b Transition .......................................................... 20 Intermediate speed ................................................ Linear transition. 

4a Steady-state ..................................................... 80 Intermediate speed ................................................ 75 

4b Transition .......................................................... 20 Intermediate speed ................................................ Linear transition. 

5a Steady-state ..................................................... 513 Intermediate speed ................................................ 25 

5b Transition .......................................................... 20 Intermediate speed ................................................ Linear transition. 

6a Steady-state ..................................................... 549 Intermediate speed ................................................ 50 

6b Transition .......................................................... 20 Linear transition ..................................................... Linear transition. 

7a Steady-state ..................................................... 96 Maximum test speed ............................................. 25 

7b Transition .......................................................... 20 Linear transition ..................................................... Linear transition. 

8 Steady-state ....................................................... 124 Warm idle .............................................................. 0 

1Speed terms are defined in 40 CFR part 1065. 

2Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode. 3The percent torque is relative to maximum torque at the commanded engine speed. 

(2) For engines from an engine family 

that will be used only at a single, rated 

speed, use the 5-mode duty cycle or the 

corresponding ramped-modal cycle 

described in 40 CFR part 1039, 

Appendix II, paragraph (a). 

(3) Use a duty cycle from both 

paragraphs (b)(1) and (b)(2) of this 

section if you will not restrict an engine 

family to constant-speed or variablespeed applications. 

(4) Use a duty cycle specified in 

paragraph (b)(2) of this section for all 

severe-duty engines. 

(5) For high-load engines, use one of 

the following duty cycles: 

(i) The following duty cycle applies 

for discrete-mode testing: 

TABLE 3 OF § 1048.505 

D1 mode No. Engine speed Torque 

(percent) 1

Minimum time 

in mode 

(minutes) 

Weighting 

factors 

1 ............................................. Maximum test .......................................................................... 100 3.0 0.50 

2 ............................................. Maximum test .......................................................................... 75 3.0 0.50 

1The percent torque is relative to the maximum torque at maximum test speed. 

(ii) The following duty cycle applies 

for discrete-mode testing: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59241 

TABLE 4 OF § 1048.505 

RMC modes Time in mode 

(seconds) 

Engine speed 

(percent) 

Torque 

(percent) 1, 2

1a Steady-state ..................................................... 290 Engine governed ................................................... 100 

1b Transition .......................................................... 20 Engine governed ................................................... Linear transition. 

2 Steady-state ....................................................... 290 Engine governed ................................................... 75 

1The percent torque is relative to maximum test torque. 

2Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode. 

(c) 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. 

(d) During idle mode, operate the 

engine at its warm idle speed as 

described in 40 CFR 1065.510. 

(e) For full-load operating modes, 

operate the engine at wide-open throttle. 

(f) See 40 CFR part 1065 for detailed 

specifications of tolerances and 

calculations. 

(g) For those cases where steady-state 

testing does not directly follow a 

transient test, perform the steady-state 

test according to this section after an 

appropriate warm-up period, consistent 

with 40 CFR part 1065, subpart F. 

■ 137. Section 1048.510 is amended to 

read as follows: 

■ a. By revising the section heading. 

■ b. By revising paragraph (a). 

■ c. By removing and reserving 

paragraph (b). 

■ d. By revising paragraph (c) 

introductory text and (c)(1). 

§ 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 the duty cycle 

described in Appendix II to determine 

whether it meets the transient emission 

standards in § 1048.101(a). 

(b) [Reserved] 

(c) Warm up the test engine as follows 

before running a transient test: 

(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. 

* * * * * 

■ 138. Section 1048.515 is amended by 

revising paragraph (b)(1)(i) to read as 

follows: 

§ 1048.515 What are the field-testing 

procedures? 

* * * * * 

(b) * * * 

(1) * * * 

(i) Average power must be at least 5 

percent of maximum brake power. 

* * * * * 

Subpart G—[Amended] 

■ 139. Section 1048.601 is revised to 

read as follows: 

§ 1048.601 What compliance provisions 

apply to these engines? 

(a) Engine and equipment 

manufacturers, as well as owners, 

operators, and rebuilders of engines 

subject to the requirements of this part, 

and all other persons, must observe the 

provisions of this part, the requirements 

and prohibitions in 40 CFR part 1068, 

and the provisions of the Act. 

(b) This paragraph (b) describes how 

the replacement-engine provisions of 40 

CFR 1068.240 apply for engines subject 

to the requirements of this part in 

conjunction with the secondary engine 

manufacturer provisions in 40 CFR 

1068.262. For cases in which the 

secondary engine manufacturer 

completes assembly of the engine, these 

provisions apply as written. If the 

secondary engine manufacturer arranges 

for a third party to complete engine 

assembly, the following additional 

provisions apply: 

(1) The ultimate purchaser must 

purchase (or otherwise order) the 

replacement engine from the secondary 

engine manufacturer. The secondary 

engine manufacturer must provide 

assembly instructions to the engine 

assembler (unless the engine being 

replaced was not subject to emission 

standards). The secondary engine 

manufacturer may arrange for the 

original engine manufacturer to ship the 

engine directly to the engine assembler. 

However, if the secondary engine 

manufacturer does not take possession 

of the engine, it must supply the engine 

label specified in 40 CFR 1068.240 to 

the engine assembler and the engine 

assembler must apply the label before 

shipping the engine. 

(2) The secondary engine 

manufacturer and engine assembler are 

both responsible if the engine is 

installed in new equipment or otherwise 

violates the circumvention provisions of 

40 CFR 1068.240. 

(3) Consider the following example. A 

secondary engine manufacturer 

receiving a valid request for a 

replacement engine for which it does 

not already have an engine available in 

inventory may order a partially 

complete engine from an original engine 

manufacturer and have it shipped 

directly to an independent engine 

assembler. In this case, the secondary 

engine manufacturer must state in its 

order that the partially complete engine 

should be labeled as being exempt 

under 40 CFR 1068.240 and identify the 

engine assembler’s address; the 

secondary engine manufacture must 

also provide instructions to the engine 

assembler. The original engine 

manufacturer would label the engine as 

described in 40 CFR 1068.262, 

identifying the replacement-engine 

exemption as the basis for shipping an 

uncertified engine, and ship the engine 

directly to the assembler. The engine 

assembler would complete the assembly 

by applying the label and otherwise 

following the instructions provided by 

the secondary engine manufacturer. 

■ 140. Section 1048.605 is amended by 

revising the section heading and 

paragraph (d)(7)(ii) to read as follows: 

§ 1048.605 What provisions apply to 

engines certified under the motor vehicle 

program? 

* * * * * 

(d) * * * 

(7) * * * 

(ii) List the engine or equipment 

models you expect to produce under 

this exemption in the coming year and 

describe your basis for meeting the sales 

restrictions of paragraph (d)(3) of this 

section. 

* * * * * 

■ 141. Section 1048.610 is amended by 

revising the section heading and 

paragraphs (d)(7)(ii) and (g) to read as 

follows: 

mstockstill on PROD1PC66 with RULES2

59242 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

§ 1048.610 What provisions apply to 

vehicles certified under the motor vehicle 

program? 

* * * * * 

(d) * * * 

(7) * * * 

(ii) List the equipment models you 

expect to produce under this exemption 

in the coming year and describe your 

basis for meeting the sales restrictions of 

paragraph (d)(3) of this section. 

* * * * * 

(g) Participation in averaging, banking 

and trading. Vehicles adapted for 

nonroad use under this section may 

generate credits under the ABT 

provisions in 40 CFR part 86. These 

vehicles must be included in the 

calculation of the applicable fleet 

average in 40 CFR part 86. 

■ 142. A new § 1048.612 is added to 

subpart G to read as follows: 

§ 1048.612 What is the exemption for 

delegated final assembly? 

The provisions of 40 CFR 1068.261 

related to delegated final assembly 

apply for engines certified under this 

part 1048, with the following exceptions 

and clarifications: 

(a) The provisions related to reduced 

auditing rates in 40 CFR 

1068.261(d)(3)(iii) apply starting with 

the 2014 model year. 

(b) [Reserved] 

■ 143. Section 1048.615 is revised to 

read as follows: 

§ 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 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 nominal 

displacement of 1000 cc or less. 

(2) The engine must have a maximum 

engine power at or below 30 kW. 

(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 or 1054 for the 

appropriate model year. 

(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. 

(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. Introducing 

these engines into commerce without a 

valid exemption or certificate of 

conformity violates 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 or 1054. The requirements 

and restrictions of 40 CFR part 90 or 

1054 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 

engine power at or below 19 kW. 

■ 144. Section 1048.620 is amended by 

revising the section heading to read as 

follows: 

§ 1048.620 What are the provisions for 

exempting large engines fueled by natural 

gas or liquefied petroleum gas? 

* * * * * 

■ 145. Section 1048.630 is revised to 

read as follows: 

§ 1048.630 What are the provisions for 

exempting engines used solely for 

competition? 

We may grant you an exemption from 

the standards and requirements of this 

part for a new engine on the grounds 

that it is to be used solely for 

competition under the provisions of 40 

CFR 1054.620. The requirements of this 

part do not apply to engines that we 

exempt for use solely for competition. 

■ 146. Section 1048.635 is amended by 

revising paragraph (b) to read as follows: 

§ 1048.635 What special provisions apply 

to branded engines? 

* * * * * 

(b) In your application for 

certification, identify the company 

whose trademark you will use. 

* * * * * 

■ 147. A new § 1048.640 is added to 

subpart G to read as follows: 

§ 1048.640 What special provisions apply 

for small-volume engine manufacturers? 

This section describes how we apply 

the special provisions in this part for 

small-volume engine manufacturers. 

(a) Special provisions apply for smallvolume engine manufacturers, as 

illustrated by the following examples: 

(1) Waived requirements related to 

torque broadcasting. See § 1048.115. 

(2) Assigned deterioration factors to 

reduce testing burden. See § 1048.240. 

(3) Additional special provisions 

apply for small-volume engine and 

equipment manufacturers under 40 CFR 

part 1068. For example, see 40 CFR 

1068.250. 

(b) If you use any of the provisions of 

this part that apply specifically to smallvolume engine manufacturers and we 

find that you do not qualify to use these 

provisions, we may consider you to be 

in violation of the requirements that 

apply for companies that are not smallvolume engine manufacturers. If you no 

longer qualify as a small-volume engine 

manufacturer (based on increased 

production volumes or other factors), 

we will work with you to determine a 

reasonable schedule for complying with 

additional requirements that apply. For 

example, if you no longer qualify as a 

small-volume engine manufacturer 

shortly before you certify your engines 

for the next model year, we might allow 

you to use assigned deterioration factors 

for one more model year. 

Subpart I—[Amended] 

■ 148. Section 1048.801 is amended as 

follows: 

■ a. By revising the definitions for 

‘‘Aftertreatment’’, ‘‘Constant-speed 

operation’’, ‘‘Designated Compliance 

Officer’’, ‘‘Emission-control system’’, 

‘‘Engine configuration’’, ‘‘Low-hour’’ 

‘‘Maximum engine power’’, ‘‘Model 

year’’, ‘‘New nonroad engine’’, 

‘‘Noncommercial fuel’’, ‘‘Nonmethane 

hydrocarbon’’, ‘‘Official emission 

result’’, ‘‘Owners manual’’, ‘‘Oxides of 

nitrogen’’,‘‘Small-volume engine 

manufacturer’’, ‘‘Steady-state’’, ‘‘Total 

hydrocarbon’’, ‘‘Total hydrocarbon 

equivalent’’, and ‘‘Useful life’’. 

■ b. By adding definitions for ‘‘Alcoholfueled engine’’, ‘‘Days’’, ‘‘Engine’’, and 

‘‘Sealed’’ in alphabetical order. 

§ 1048.801 What definitions apply to this 

part? 

* * * * * 

Aftertreatment means relating to a 

catalytic converter, particulate filter, or 

any other system, component, or 

technology mounted downstream of the 

exhaust valve (or exhaust port) whose 

design function is to decrease emissions 

in the engine exhaust before it is 

exhausted to the environment. Exhaustgas recirculation (EGR), turbochargers, 

and oxygen sensors are not 

aftertreatment. 

* * * * * 

Alcohol-fueled engine means an 

engine that is designed to run using an 

alcohol fuel. For purposes of this 

definition, alcohol fuels do not include 

fuels with a nominal alcohol content 

below 25 percent by volume. 

* * * * * 

Constant-speed operation has the 

meaning given in 40 CFR 1065.1001. 

* * * * * 

Days means calendar days unless 

otherwise specified. For example, where 

we specify working days, we mean 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59243 

calendar days excluding weekends and 

U.S. national holidays. 

Designated Compliance Officer means 

the Manager, Heavy-Duty and Nonroad 

Engine Group (6405–J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

* * * * * 

Emission-control system means any 

device, system, or element of design that 

controls or reduces the emissions of 

regulated pollutants from an engine. 

* * * * * 

Engine has the meaning given in 40 

CFR 1068.30. This includes complete 

and partially complete engines. 

Engine configuration means a unique 

combination of engine hardware and 

calibration within an engine family. 

Engines within a single engine 

configuration differ only with respect to 

normal production variability or factors 

unrelated to emissions. 

* * * * * 

Low-hour means relating to an engine 

with stabilized emissions and represents 

the undeteriorated emission level. This 

would generally involve less than 125 

hours of operation. 

* * * * * 

Maximum engine power has one of 

the following meanings: 

(1) For engines at or below 100 kW, 

maximum engine power has the 

meaning given in 40 CFR 90.3 for 2010 

and earlier model years and in 40 CFR 

1054.140 for 2011 and later model years. 

(2) For engines above 100 kW, 

maximum engine power has the 

meaning given in 40 CFR 1039.140. 

* * * * * 

Model year means one of the 

following things: 

(1) For freshly manufactured 

equipment and 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 as a stationary engine, or being 

certified and placed into service as a 

motor vehicle engine, model year means 

the calendar year in which the engine 

was originally produced. For a motor 

vehicle engine that is converted to be a 

nonroad engine without having been 

certified, model year means the calendar 

year in which the engine becomes a new 

nonroad engine. (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 

(see definition of ‘‘new nonroad 

engine,’’ paragraph (4)). 

(5) For imported engines: 

(i) For imported engines described in 

paragraph (5)(i) of the definition of 

‘‘new nonroad engine,’’ model year has 

the meaning given in paragraphs (1) 

through (4) of this definition. 

(ii) For imported engines described in 

paragraph (5)(ii) of the definition of 

‘‘new nonroad engine,’’ model year 

means the calendar year in which the 

engine is modified. 

(iii) For imported engines described 

in paragraph (5)(iii) of the definition of 

‘‘new nonroad engine,’’ model year 

means the calendar year in which the 

engine is assembled in its imported 

configuration, unless specified 

otherwise in this part or in 40 CFR part 

1068. 

* * * * * 

New nonroad engine means any of the 

following things: 

(1) A freshly manufactured nonroad 

engine for which the ultimate purchaser 

has never received the equitable or legal 

title. This kind of engine might 

commonly be thought of as ‘‘brand 

new.’’ In the case of this paragraph (1), 

the engine is new from the time it is 

produced until the ultimate purchaser 

receives the title or the product is 

placed into service, whichever comes 

first. 

(2) An engine originally manufactured 

as a motor vehicle engine or a stationary 

engine that is later used or intended to 

be used in a piece of nonroad 

equipment. In this case, the engine is no 

longer a motor vehicle or stationary 

engine and becomes a ‘‘new nonroad 

engine.’’ The engine is no longer new 

when it is placed into nonroad service. 

This paragraph (2) applies if a motor 

vehicle engine or a stationary engine is 

installed in nonroad equipment, or if a 

motor vehicle or a piece of stationary 

equipment is modified (or moved) to 

become nonroad equipment. 

(3) A nonroad engine that has been 

previously placed into service in an 

application we exclude under § 1048.5, 

when that engine is installed in a piece 

of equipment that is covered by this part 

1048. The engine is no longer new when 

it is placed into nonroad service covered 

by this part 1048. For example, this 

would apply to a marine-propulsion 

engine that is no longer used in a 

marine vessel but is instead installed in 

a piece of nonroad equipment subject to 

the provisions of this part. 

(4) An engine not covered by 

paragraphs (1) through (3) of this 

definition that is intended to be 

installed in new nonroad equipment. 

This generally includes installation of 

used engines in new equipment. The 

engine is no longer new when the 

ultimate purchaser receives a title for 

the equipment or the product is placed 

into service, whichever comes first. 

(5) An imported nonroad engine, 

subject to the following provisions: 

(i) An imported nonroad engine 

covered by a certificate of conformity 

issued under this part that meets the 

criteria of one or more of paragraphs (1) 

through (4) of this definition, where the 

original engine manufacturer holds the 

certificate, is new as defined by those 

applicable paragraphs. 

(ii) An imported engine covered by a 

certificate of conformity issued under 

this part, where someone other than the 

original engine manufacturer holds the 

certificate (such as when the engine is 

modified after its initial assembly), is a 

new nonroad engine when it is 

imported. It is no longer new when the 

ultimate purchaser receives a title for 

the engine or it is placed into service, 

whichever comes first. 

(iii) An imported nonroad engine that 

is not covered by a certificate of 

conformity issued under this part at the 

time of importation is new. This 

addresses uncertified engines and 

equipment initially placed into service 

that someone seeks to import into the 

United States. Importation of this kind 

of engine (or equipment containing such 

an engine) is generally prohibited by 40 

CFR part 1068. However, the 

importation of such an engine is not 

prohibited if the engine has a model 

year before 2004, since it is not subject 

to standards. 

* * * * * 

Noncommercial fuel means a 

combustible product that is not 

marketed as a commercial fuel, but is 

used as a fuel for nonroad engines. For 

example, this includes methane that is 

produced and released from landfills or 

oil wells, or similar unprocessed fuels 

that are not intended to meet any 

otherwise applicable fuel specifications. 

See § 1048.625 for provisions related to 

mstockstill on PROD1PC66 with RULES2

59244 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

engines designed to burn 

noncommercial fuels. 

* * * * * 

Nonmethane hydrocarbon has the 

meaning given in 40 CFR 1065.1001. 

* * * * * 

Official emission result means the 

measured emission rate for an emissiondata engine on a given duty cycle before 

the application of any deterioration 

factor. 

Owners manual means a document or 

collection of documents prepared by the 

engine manufacturer for the owner or 

operator to describe appropriate engine 

maintenance, applicable warranties, and 

any other information related to 

operating or keeping the engine. The 

owners manual is typically provided to 

the ultimate purchaser at the time of 

sale. The owners manual may be in 

paper or electronic format. 

Oxides of nitrogen has the meaning 

given in 40 CFR 1065.1001. 

* * * * * 

Sealed has the meaning given in 40 

CFR 1060.801. 

* * * * * 

Small-volume engine manufacturer 

means a company meeting either of the 

following characteristics: 

(1) An engine manufacturer with U.S.- 

directed production volumes of engines 

subject to the requirements of this part 

totaling no more than 2,000 units in any 

year. This includes engines produced by 

parent or subsidiary companies. 

(2) An engine manufacturer with 

fewer than 200 employees. This 

includes any employees working for 

parent or subsidiary companies. 

* * * * * 

Steady-state has the meaning given in 

40 CFR 1065.1001. 

* * * * * 

Total hydrocarbon has the meaning 

given in 40 CFR 1065.1001. This 

generally means the combined mass of 

organic compounds measured by the 

specified procedure for measuring total 

hydrocarbon, expressed as a 

hydrocarbon with a hydrogen-to-carbon 

mass ratio of 1.85:1. 

Total hydrocarbon equivalent has the 

meaning given in 40 CFR 1065.1001. 

* * * * * 

Useful life means the period during 

which the engine is designed to 

properly function in terms of reliability 

and fuel consumption, without being 

remanufactured, specified as a number 

of hours of operation or calendar years, 

whichever comes first. It is the period 

during which a nonroad engine is 

required to comply with all applicable 

emission standards. See § 1048.101(g). If 

an engine has no hour meter, the 

specified number of hours does not 

limit the period during which an in-use 

engine is required to comply with 

emission standards unless the degree of 

service accumulation can be verified 

separately. 

* * * * * 

■ 149. Section 1048.810 is revised to 

read as follows: 

§ 1048.810 What materials does this part 

reference? 

Documents listed in this section have 

been incorporated by reference into this 

part. The Director of the Federal 

Register approved the incorporation by 

reference as prescribed in 5 U.S.C. 

552(a) and 1 CFR part 51. Anyone may 

inspect copies at the U.S. EPA, Air and 

Radiation Docket and Information 

Center, 1301 Constitution Ave., NW., 

Room B102, EPA West Building, 

Washington, DC 20460 or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 

(a) SAE material. Table 1 of this 

section lists material from the Society of 

Automotive Engineers that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096 or http://www.sae.org. Table 1 

follows: 

TABLE 1 OF § 1048.810—SAE MATERIALS

Document number and name Part 1048 

reference 

SAE J2260, Nonmetallic Fuel System Tubing with One or More Layers, November 2004 ............................................................... 1048.105 

(b) ISO material. Table 2 of this 

section lists material from the 

International Organization for 

Standardization that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the section of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

International Organization for 

Standardization, Case Postale 56, 

CH–1211 Geneva 20, Switzerland or 

http://www.iso.org. Table 2 follows: 

TABLE 2 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 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59245 

■ 150. A new § 1048.825 is added to 

read as follows: 

§ 1048.825 What reporting and 

recordkeeping requirements apply under 

this part? 

Under the Paperwork Reduction Act 

(44 U.S.C. 3501 et seq.), the Office of 

Management and Budget approves the 

reporting and recordkeeping specified 

in the applicable regulations. The 

following items illustrate the kind of 

reporting and recordkeeping we require 

for engines and equipment regulated 

under this part: 

(a) We specify the following 

requirements related to engine 

certification in this part 1048: 

(1) In § 1048.20 we require 

manufacturers of stationary engines to 

label their engines in certain cases. 

(2) In § 1048.135 we require engine 

manufacturers to keep certain records 

related to duplicate labels sent to 

equipment manufacturers. 

(3) In § 1048.145 we include various 

reporting and recordkeeping 

requirements related to interim 

provisions. 

(4) In subpart C of this part we 

identify a wide range of information 

required to certify engines. 

(5) In §§ 1048.345 and 1048.350 we 

specify certain records related to 

production-line testing. 

(6) In §§ 1048.420 and 1048.425 we 

specify certain records related to in-use 

testing. 

(7) In subpart G of this part we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various special compliance 

provisions. 

(b) [Reserved] 

(c) We specify the following 

requirements related to testing in 40 

CFR part 1065: 

(1) In 40 CFR 1065.2 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR 1065.10 and 1065.12 we 

specify information needs for 

establishing various changes to 

published test procedures. 

(3) In 40 CFR 1065.25 we establish 

basic guidelines for storing test 

information. 

(4) In 40 CFR 1065.695 we identify 

data that may be appropriate for 

collecting during testing of in-use 

engines using portable analyzers. 

(d) We specify the following 

requirements related to the general 

compliance provisions in 40 CFR part 

1068: 

(1) In 40 CFR 1068.5 we establish a 

process for evaluating good engineering 

judgment related to testing and 

certification. 

(2) In 40 CFR 1068.25 we describe 

general provisions related to sending 

and keeping information. 

(3) In 40 CFR 1068.27 we require 

manufacturers to make engines available 

for our testing or inspection if we make 

such a request. 

(4) In 40 CFR 1068.105 we require 

equipment manufacturers to keep 

certain records related to duplicate 

labels from engine manufacturers. 

(5) In 40 CFR 1068.120 we specify 

recordkeeping related to rebuilding 

engines. 

(6) In 40 CFR part 1068, subpart C, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various exemptions. 

(7) In 40 CFR part 1068, subpart D, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to importing engines. 

(8) In 40 CFR 1068.450 and 1068.455 

we specify certain records related to 

testing production-line engines in a 

selective enforcement audit. 

(9) In 40 CFR 1068.501 we specify 

certain records related to investigating 

and reporting emission-related defects. 

(10) In 40 CFR 1068.525 and 1068.530 

we specify certain records related to 

recalling nonconforming engines. 

Appendix I—[Reserved] 

■ 151. Appendix I to part 1048 is 

removed and reserved. 

PART 1051—CONTROL OF EMISSIONS 

FROM RECREATIONAL ENGINES AND 

VEHICLES 

■ 152. The authority citation for part 

1051 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 153. Section 1051.1 is amended by 

revising paragraph (a)(4) to read as 

follows: 

§ 1051.1 Does this part apply for my 

vehicles or engines? 

(a) * * * 

(4) Offroad utility vehicles with 

engines with displacement less than or 

equal to 1000 cc, maximum engine 

power less than or equal to 30 kW, and 

maximum vehicle speed higher than 25 

miles per hour. 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. 

* * * * * 

■ 154. A new § 1051.2 is added to read 

as follows: 

§ 1051.2 Who is responsible for 

compliance? 

The regulations in this part 1051 

contain provisions that affect both 

vehicle manufacturers and others. 

However, the requirements of this part 

are generally addressed to the vehicle 

manufacturer. The term ‘‘you’’ generally 

means the vehicle manufacturer, as 

defined in § 1051.801, especially for 

issues related to certification (including 

production-line testing, reporting, etc.). 

■ 155. Section 1051.5 is amended by 

revising paragraph (a) to read as follows: 

§ 1051.5 Which engines are excluded from 

this part’s requirements? 

(a)(1) You may exclude vehicles with 

compression-ignition engines. See 40 

CFR parts 89 and 1039 for regulations 

that cover these engines. 

(2) Vehicles with a combined total 

vehicle dry weight under 20.0 kilograms 

are excluded from this part. Sparkignition engines in these vehicles must 

instead meet emission standards 

specified in 40 CFR parts 90 and 1054. 

See 40 CFR 90.103(a) and the definition 

of handheld in 40 CFR 1054.801. 

* * * * * 

■ 156. Section 1051.10 is amended by 

revising the introductory text to read as 

follows: 

§ 1051.10 How is this part organized? 

This part 1051 is divided into the 

following subparts: 

* * * * * 

■ 157. Section 1051.15 is amended by 

redesignating paragraphs (b) and (c) as 

paragraphs (c) and (d) and adding a new 

paragraph (b) to read as follows: 

§ 1051.15 Do any other regulation parts 

apply to me? 

* * * * * 

(b) Part 1060 of this chapter describes 

standards and procedures that 

optionally apply for controlling 

evaporative emissions from engines 

fueled by gasoline or other volatile 

liquid fuels and the associated fuel 

systems. 

* * * * * 

■ 158. Section 1051.25 is amended by 

revising paragraphs (a) and (c) to read as 

follows: 

§ 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 must certify your vehicle 

with respect to the evaporative emission 

standards in § 1051.110, but you need 

mstockstill on PROD1PC66 with RULES2

59246 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

not certify the vehicle with respect to 

exhaust emissions under this part. The 

vehicle must nevertheless meet all 

emission standards with the engine 

installed. You must also label fuel tanks 

and fuel lines as specified in 

§ 1051.135(d). 

* * * * * 

(c) If you obscure the engine label 

while installing the engine in the 

vehicle such that the label cannot be 

read during normal maintenance, you 

must place a duplicate label on the 

vehicle as described in 40 CFR 

1068.105. 

Subpart B—[Amended] 

■ 159. Section 1051.103 is amended by 

revising paragraphs (b)(1), (b)(2), and 

(b)(3) to read as follows: 

§ 1051.103 What are the exhaust emission 

standards for snowmobiles? 

* * * * * 

(b) * * * 

(1) Natural gas-fueled snowmobiles: 

NMHC emissions. 

(2) Alcohol-fueled snowmobiles: 

THCE emissions. 

(3) Other snowmobiles: THC 

emissions. 

* * * * * 

■ 160. Section 1051.105 is amended by 

revising paragraphs (b)(1), (b)(2), and 

(b)(3) to read as follows: 

§ 1051.105 What are the exhaust emission 

standards for off-highway motorcycles? 

* * * * * 

(b) * * * 

(1) Natural gas-fueled off-highway 

motorcycles: NMHC emissions. 

(2) Alcohol-fueled off-highway 

motorcycles: THCE emissions. 

(3) Other off-highway motorcycles: 

THC emissions. 

* * * * * 

■ 161. Section 1051.107 is amended by 

revising paragraphs (b)(1), (b)(2), and 

(b)(3) to read as follows: 

§ 1051.107 What are the exhaust emission 

standards for all-terrain vehicles (ATVs) and 

offroad utility vehicles? 

* * * * * 

(b) * * * 

(1) Natural gas-fueled ATVs: NMHC 

emissions. 

(2) Alcohol-fueled ATVs: THCE 

emissions. 

(3) Other ATVs: THC emissions. 

* * * * * 

■ 162. Section 1051.110 is amended by 

revising the introductory text and 

adding paragraph (c) to read as follows: 

§ 1051.110 What evaporative emission 

standards must my vehicles meet? 

Your new vehicles that run on a 

volatile liquid fuel (such as gasoline) 

must meet the emission standards of 

this section over their full useful life. 

Note that § 1051.245 allows you to use 

design-based certification instead of 

generating new emission data. 

* * * * * 

(c) You may certify your fuel tanks 

and fuel lines under the provisions of 40 

CFR part 1060. You may also specify in 

your application for certification that 

you are using components that have 

been certified by the component 

manufacturer. 

■ 163. Section 1051.115 is amended by 

revising the section heading and 

introductory text to read as follows: 

§ 1051.115 What other requirements 

apply? 

Vehicles that are required to meet the 

emission standards of this part must 

meet the following requirements: 

* * * * * 

■ 164. Section 1051.120 is amended by 

revising paragraph (c) to read as follows: 

§ 1051.120 What emission-related warranty 

requirements apply to me? 

* * * * * 

(c) Components covered. The 

emission-related warranty covers all 

components whose failure would 

increase an engine’s emissions of any 

regulated pollutant, including 

components listed in 40 CFR part 1068, 

Appendix I, and components from any 

other system you develop to control 

emissions. The emission-related 

warranty covers these components even 

if another company produces the 

component. Your emission-related 

warranty does not cover components 

whose failure would not increase an 

engine’s emissions of any regulated 

pollutant. 

* * * * * 

■ 165. Section 1051.125 is amended by 

revising paragraphs (a)(1)(iii) and (d) to 

read as follows: 

§ 1051.125 What maintenance instructions 

must I give to buyers? 

* * * * * 

(a) * * * 

(1) * * * 

(iii) You provide the maintenance free 

of charge and clearly say so in your 

maintenance instructions. 

* * * * * 

(d) Noncritical emission-related 

maintenance. Subject to the provisions 

of this paragraph (d), you may schedule 

any amount of emission-related 

inspection or maintenance that is not 

covered by paragraph (a) of this section 

(i.e., maintenance that is neither 

explicitly identified as critical emissionrelated maintenance, nor that we 

approve as critical emission-related 

maintenance). Noncritical emissionrelated maintenance generally includes 

changing spark plugs, re-seating valves, 

or any other emission-related 

maintenance on the components we 

specify in 40 CFR part 1068, Appendix 

I that is not covered in paragraph (a) of 

this section. You must state in the 

owner’s manual that these steps are not 

necessary to keep the emission-related 

warranty valid. If operators fail to do 

this maintenance, this does not allow 

you to disqualify those vehicles from inuse testing or deny a warranty claim. Do 

not take these inspection or 

maintenance steps during service 

accumulation on your emission-data 

vehicles. 

* * * * * 

■ 166. Section 1051.135 is amended to 

read as follows: 

■ a. By revising paragraphs (c)(6), (c)(7), 

and (c)(8). 

■ b. By adding a new paragraph (c)(13). 

■ d. By removing and reserving 

paragraph (f). 

§ 1051.135 How must I label and identify 

the vehicles I produce? 

* * * * * 

(c) * * * 

(6) State the date of manufacture 

[DAY (optional), MONTH, and YEAR]; 

however, you may omit this from the 

label if you stamp, engrave, or otherwise 

permanently identify it elsewhere on 

the vehicle or engine, in which case you 

must also describe in your application 

for certification where you will identify 

the date on the vehicle or engine. 

(7) State the exhaust emission 

standards or FELs to which the vehicles 

are certified (in g/km or g/kW-hr). Also, 

state the FEL that applies for the fuel 

tank if it is different than the otherwise 

applicable standard. 

(8) Identify the emission-control 

system. Use terms and abbreviations as 

described in 40 CFR 1068.45. You may 

omit this information from the label if 

there is not enough room for it and you 

put it in the owner’s manual instead. 

* * * * * 

(13) Identify evaporative emission 

controls as specified in 40 CFR 

1060.135. 

* * * * * 

■ 167. Section 1051.137 is amended by 

revising the introductory text to read as 

follows: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59247 

§ 1051.137 What are the consumer labeling 

requirements? 

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 section 

to determine the normalized emission 

rate (NER) from the FEL for your 

vehicle. If the vehicle is certified 

without a family emission limit that is 

different than the otherwise applicable 

standard, use the final deteriorated 

emission level. Round the resulting 

normalized emission rate for your 

vehicle to one decimal place. If the 

calculated NER value is less than zero, 

consider NER to be zero for that vehicle. 

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). 

* * * * * 

■ 168. A new § 1051.140 is added to 

read as follows: 

§ 1051.140 What is my vehicle’s maximum 

engine power and displacement? 

This section describes how to 

quantify your vehicle’s maximum 

engine power and displacement for the 

purposes of this part. 

(a) An engine configuration’s 

maximum engine power is the 

maximum brake power point on the 

nominal power curve for the engine 

configuration, as defined in this section. 

Round the power value to the nearest 

0.5 kilowatts. The nominal power curve 

of an engine configuration is the 

relationship between maximum 

available engine brake power and 

engine speed for an engine, using the 

mapping procedures of 40 CFR part 

1065, based on the manufacturer’s 

design and production specifications for 

the engine. This information may also 

be expressed by a torque curve that 

relates maximum available engine 

torque with engine speed. 

(b) An engine configuration’s 

displacement is the intended swept 

volume of the engine rounded to the 

nearest cubic centimeter. The swept 

volume of the engine is the product of 

the internal cross-section area of the 

cylinders, the stroke length, and the 

number of cylinders. For example, for a 

one-cylinder engine with a circular 

cylinder having an internal diameter of 

6.00 cm and a 6.25 cm stroke length, the 

rounded displacement would be: 

(1)×(6.00/2) 2 × (π) × (6.25) = 177 cc. 

Calculate the engine’s intended swept 

volume from the design specifications 

for the cylinders using enough 

significant figures to allow 

determination of the displacement to 

the nearest 0.1 cc. 

(c) The nominal power curve and 

intended swept volume must be within 

the range of the actual power curves and 

swept volumes of production engines 

considering normal production 

variability. If after production begins it 

is determined that either your nominal 

power curve or your intended swept 

volume does not represent production 

engines, we may require you to amend 

your application for certification under 

§ 1051.225. 

■ 169. Section 1051.145 is amended by 

revising paragraphs (b) and (e)(1) and 

adding paragraph (i) to read as follows: 

§ 1051.145 What provisions apply only for 

a limited time? 

* * * * * 

(b) Optional emission standards for 

ATVs. To meet ATV standards for 

model years before 2014, 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. In model year 2014 you may 

apply this provision for exhaust 

emission engine families representing 

up to 50 percent of your U.S.-directed 

production volume. This provision is 

not available in the 2015 or later-model 

years. If you certify only one ATV 

exhaust emission engine family in the 

2014 model year this provision is 

available for that family in the 2014 

model year. 

(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 total U.S.- 

directed production that must comply 

with the emission standards for those 

model years (i.e., the percentage 

requirement does not apply separately 

for engine families above and below 225 

cc). Table 1 follows: 

TABLE 1 OF § 1051.145—OPTIONAL EXHAUST EMISSION STANDARDS FOR ATVS (g/kW-hr) 

Engine displacement Model year Phase-in 

Emission standards Maximum allowable family 

emission limits 

HC+NOX CO 

HC+NOX

<225 cc ............................................. 2006 ................................................. 50% 16.1 400 32.2 

2007 and later .................................. 100 16.1 400 32.2 

≥225 cc ............................................. 2006 ................................................. 50 13.4 400 26.8 

2007 and later .................................. 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: 

mstockstill on PROD1PC66 with RULES2

59248 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

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 

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 

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 

equations to determine the normalized 

emission rate required by § 1051.137: 

(i) For engines at or above 225 cc, use 

the following equation: 

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. 

(ii) For engines below 225 cc, use the 

following equation: 

NER = 9.898 × log [(HC+NOX) × 0.83] 

¥4.898 

Where: 

HC + NOX is the sum of the cycle-weighted 

emission rates for hydrocarbons and 

oxides of nitrogen in g/kW-hr. 

* * * * * 

(e) * * * 

(1) Snowmobile. You may use the raw 

sampling procedures described in 40 

CFR part 90 or 91 for snowmobiles 

subject to Phase 1 or Phase 2 standards. 

* * * * * 

(i) Delayed compliance with labeling 

requirements. Before the 2010 model 

year, you may omit the date of 

manufacture from the emission control 

information label if you keep those 

records and provide them to us upon 

request. Before the 2010 model year, 

you may also omit the label information 

specified for evaporative emission 

controls. 

Subpart C—[Amended] 

■ 170. Section 1051.201 is amended by 

revising paragraph (a) to read as follows: 

§ 1051.201 What are the general 

requirements for obtaining a certificate of 

conformity? 

(a) You must send us a separate 

application for a certificate of 

conformity for each engine family. A 

certificate of conformity is valid starting 

with the indicated effective date, but it 

is not valid for any production after 

December 31 of the model year for 

which it is issued. No certificate will be 

issued after December 31 of the model 

year. 

* * * * * 

■ 171. Section 1051.205 is amended by 

revising paragraphs (b), (o)(1), (p), (t), 

and (w) to read as follows: 

§ 1051.205 What must I include in my 

application? 

* * * * * 

(b) Explain how the emission control 

systems operate. Describe the 

evaporative emission controls. Also 

describe in detail all system 

components for controlling exhaust 

emissions, including all auxiliary 

emission control devices (AECDs) and 

all fuel-system components you will 

install on any production or test vehicle 

or engine. Identify the part number of 

each component you describe. For this 

paragraph (b), treat as separate AECDs 

any devices that modulate or activate 

differently from each other. Include 

sufficient detail to allow us to evaluate 

whether the AECDs are consistent with 

the defeat device prohibition of 

§ 1051.115. 

* * * * * 

(o) * * * 

(1) Present exhaust emission data for 

hydrocarbons (such as NMHC or THCE, 

as applicable), NOX, and CO on an 

emission-data vehicle to show your 

vehicles meet the exhaust emission 

standards as specified in subpart B of 

this part. Show emission figures before 

and after applying deterioration factors 

for each vehicle or engine. If we specify 

more than one grade of any fuel type 

(for example, a summer grade and 

winter grade of gasoline), you need to 

submit test data only for one grade 

unless the regulations of this part 

specify otherwise for your engine. 

* * * * * 

(p) Report all test results, including 

those from invalid tests or from any 

other tests, whether or not they were 

conducted according to the test 

procedures of subpart F of this part. If 

you measure CO2, report those emission 

levels (in g/kW-hr or g/km, as 

appropriate). We may ask you to send 

other information to confirm that your 

tests were valid under the requirements 

of this part and 40 CFR part 1065. 

* * * * * 

(t) Include good-faith estimates of 

U.S.-directed production volumes. 

Include a justification for the estimated 

production volumes if they are 

substantially different than actual 

production volumes in earlier years for 

similar models. 

* * * * * 

(w) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

■ 172. Section 1051.220 is amended by 

revising the introductory text and 

paragraph (a) to read as follows: 

§ 1051.220 How do I amend the 

maintenance instructions in my 

application? 

You may amend your emissionrelated maintenance instructions after 

you submit your application for 

certification as long as the amended 

instructions remain consistent with the 

provisions of § 1051.125. You must send 

the Designated Compliance 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. If operators 

follow the original maintenance 

instructions rather than the newly 

specified maintenance, this does not 

allow you to disqualify those engines 

from in-use testing or deny a warranty 

claim. 

(a) If you are decreasing, replacing, or 

eliminating any specified maintenance, 

you may distribute the new 

maintenance instructions to your 

customers 30 days after we receive your 

request, unless we disapprove your 

request. This would generally include 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59249 

replacing one maintenance step with 

another. We may approve a shorter time 

or waive this requirement. 

* * * * * 

■ 173. Section 1051.225 is revised to 

read as follows: 

§ 1051.225 How do I amend my application 

for certification to include new or modified 

vehicle configurations or to change an 

FEL? 

Before we issue you a certificate of 

conformity, you may amend your 

application to include new or modified 

vehicle configurations, subject to the 

provisions of this section. After we have 

issued your certificate of conformity, 

you may send us an amended 

application requesting that we include 

new or modified vehicle configurations 

within the scope of the certificate, 

subject to the provisions of this section. 

You must amend your application if any 

changes occur with respect to any 

information included in your 

application. 

(a) You must amend your application 

before you take any of the following 

actions: 

(1) Add a vehicle configuration to an 

engine family. In this case, the vehicle 

configuration added must be consistent 

with other vehicle configurations in the 

engine family with respect to the criteria 

listed in § 1051.230. 

(2) Change a vehicle configuration 

already included in an engine family in 

a way that may affect emissions, or 

change any of the components you 

described in your application for 

certification. This includes production 

and design changes that may affect 

emissions any time during the engine’s 

lifetime. 

(3) Modify an FEL for an engine 

family, as described in paragraph (f) of 

this section. 

(b) To amend your application for 

certification, send the Designated 

Compliance Officer the following 

information: 

(1) Describe in detail the addition or 

change in the vehicle model or 

configuration you intend to make. 

(2) Include engineering evaluations or 

data showing that the amended engine 

family complies with all applicable 

requirements. You may do this by 

showing that the original emission-data 

vehicle is still appropriate for showing 

that the amended family complies with 

all applicable requirements. 

(3) If the original emission-data 

vehicle for the engine family is not 

appropriate to show compliance for the 

new or modified vehicle configuration, 

include new test data showing that the 

new or modified vehicle configuration 

meets the requirements of this part. 

(c) We may ask for more test data or 

engineering evaluations. You must give 

us these within 30 days after we request 

them. 

(d) For engine families already 

covered by a certificate of conformity, 

we will determine whether the existing 

certificate of conformity covers your 

new or modified vehicle configuration. 

You may ask for a hearing if we deny 

your request (see § 1051.820). 

(e) For engine families already 

covered by a certificate of conformity, 

you may start producing the new or 

modified vehicle configuration anytime 

after you send us your amended 

application, before we make a decision 

under paragraph (d) of this section. 

However, if we determine that the 

affected vehicles do not meet applicable 

requirements, we will notify you to 

cease production of the vehicles and 

may require you to recall the vehicles at 

no expense to the owner. Choosing to 

produce vehicles under this paragraph 

(e) is deemed to be consent to recall all 

vehicles that we determine do not meet 

applicable emission standards or other 

requirements and to remedy the 

nonconformity at no expense to the 

owner. If you do not provide 

information required under paragraph 

(c) of this section within 30 days after 

we request it, you must stop producing 

the new or modified vehicle 

configuration. 

(f) You may ask us to approve a 

change to your FEL in certain cases after 

the start of production. The changed 

FEL may not apply to vehicles you have 

already introduced into commerce, 

except as described in this paragraph (f). 

If we approve a changed FEL after the 

start of production, you must include 

the new FEL on the emission control 

information label for all vehicles 

produced after the change. You may ask 

us to approve a change to your FEL in 

the following cases: 

(1) You may ask to raise your FEL for 

your engine family at any time. In your 

request, you must show that you will 

still be able to meet the emission 

standards as specified in subparts B and 

H of this part. If you amend your 

application by submitting new test data 

to include a newly added or modified 

vehicle, as described in paragraph (b)(3) 

of this section, use the appropriate FELs 

with corresponding production volumes 

to calculate your average emission level 

for the model year, as described in 

subpart H of this part. In all other 

circumstances, you must use the higher 

FEL for the entire family to calculate 

your average emission level under 

subpart H of this part. 

(2) You may ask to lower the FEL for 

your engine family only if you have test 

data from production engines showing 

that the engines have emissions below 

the proposed lower FEL. The lower FEL 

applies only to engines you produce 

after we approve the new FEL. Use the 

appropriate FELs with corresponding 

production volumes to calculate your 

average emission level for the model 

year, as described in subpart H of this 

part. 

■ 174. Section 1051.230 is amended by 

revising the paragraphs (a), (b)(8), and 

(e)(1) to read as follows: 

§ 1051.230 How do I select engine 

families? 

(a) For purposes of certification, 

divide your product line into families of 

vehicles as described in this section. 

Except as specified in paragraph (f) of 

this section, you must have separate 

engine families for meeting exhaust and 

evaporative emissions. Your engine 

family is limited to a single model year. 

(b) * * * 

(8) Numerical level of the emission 

standards that apply to the vehicle. For 

example, an engine family may not 

include vehicles certified to different 

family emission limits, though you may 

change family emission limits without 

recertifying as specified in § 1051.225. 

* * * * * 

(e) * * * 

(1) In unusual circumstances, you 

may group such vehicles in the same 

engine family if you show that their 

emission characteristics during the 

useful life will be similar. 

* * * * * 

■ 175. Section 1051.235 is amended by 

revising paragraphs (c)(4), (d)(1) 

introductory text, and (d)(1)(i) to read as 

follows: 

§ 1051.235 What emission testing must I 

perform for my application for a certificate 

of conformity? 

* * * * * 

(c) * * * 

(4) Before we test one of your vehicles 

or engines, we may calibrate it within 

normal production tolerances for 

anything we do not consider an 

adjustable parameter. For example, this 

would apply where we determine that 

an engine parameter is not an adjustable 

parameter (as defined in § 1051.801) but 

that it is subject to production 

variability. 

(d) * * * 

(1) You may ask to use carryover 

emission data from a previous model 

year instead of doing new tests, but only 

if all the following are true: 

(i) The engine family from the 

previous model year differs from the 

current engine family only with respect 

to model year or other characteristics 

mstockstill on PROD1PC66 with RULES2

59250 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

unrelated to emissions. You may also 

ask to add a configuration subject to 

§ 1051.225. 

* * * * * 

■ 176. Section 1051.240 is amended by 

revising paragraphs (a), (b), and (c)(1) to 

read as follows: 

§ 1051.240 How do I demonstrate that my 

engine family complies with exhaust 

emission standards? 

(a) For purposes of certification, your 

engine family is considered in 

compliance with the applicable 

numerical exhaust emission standards 

in subpart B of this part if all emissiondata vehicles representing that family 

have test results showing deteriorated 

emission levels at or below these 

standards. This includes all test points 

over the course of the durability 

demonstration. (Note: if you participate 

in the ABT program in subpart H of this 

part, your FELs are considered to be the 

applicable emission standards with 

which you must comply.) 

(b) Your engine family is deemed not 

to comply if any emission-data vehicle 

representing that family has test results 

showing a deteriorated emission level 

for any pollutant that is above an 

applicable FEL or emission standard. 

This includes all test points over the 

course of the durability demonstration. 

(c) * * * 

(1) For vehicles that use 

aftertreatment technology, such as 

catalytic converters, use a multiplicative 

deterioration factor for exhaust 

emissions. A multiplicative 

deterioration factor is the ratio of 

exhaust emissions at the end of the 

useful life and exhaust emissions at the 

low-hour test point. In these cases, 

adjust the official emission results for 

each tested vehicle or engine at the 

selected test point by multiplying the 

measured emissions by the deterioration 

factor. If the factor is less than one, use 

one. Multiplicative deterioration factors 

must be specified to three significant 

figures. 

* * * * * 

■ 177. Section 1051.243 is amended by 

revising the introductory text and 

paragraphs (b)(6) and (c)(1) to read as 

follows: 

§ 1051.243 How do I determine 

deterioration factors from exhaust 

durability testing? 

This section describes how to 

determine deterioration factors, either 

with pre-existing test data or with new 

emission measurements. 

* * * * * 

(b) * * * 

(6) You may use other testing methods 

to determine deterioration factors, 

consistent with good engineering 

judgment, as long as we approve those 

methods in advance. 

(c) * * * 

(1) If you determine your 

deterioration factors based on test data 

from a different engine family, explain 

why this is appropriate and include all 

the emission measurements on which 

you base the deterioration factor. 

* * * * * 

■ 178. Section 1051.245 is amended by 

revising paragraph (e) to read as follows: 

§ 1051.245 How do I demonstrate that my 

engine family complies with evaporative 

emission standards? 

* * * * * 

(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 lowpermeability material.

1.5 g/m2/day. 

(ii) A metal fuel tank with 

non-metal gaskets with an 

exposed surface area of 

1000 mm2 or less.

1.5 g/m2/day. 

(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 . . . 

Then you may 

design-certify 

with a fuel line 

permeation 

emission level 

of . . . 

(i) Hose meeting the specifications for Low Emission 

Fuel Lines as described in 

40 CFR 1048.105.

15 g/m2/day. 

TABLE 2 OF § 1051.245—DESIGN-CERTIFICATION TECHNOLOGIES FOR

CONTROLLING FUEL-LINE PERMEATION—Continued 

If the fuel-line permeability 

control technology is . . . 

Then you may 

design-certify 

with a fuel line 

permeation 

emission level 

of . . . 

(ii) Hose meeting the R11–A 

or R12 permeation specifications in SAE J30 as described in 40 CFR 

1060.810.

15 g/m2/day. 

■ 179. Section 1051.250 is amended as 

follows: 

■ a. By removing paragraph (d). 

■ b. By redesignating paragraphs (a) 

through (c) as paragraphs (b) through 

(d), respectively. 

■ c. By adding a new paragraph (a). 

■ d. By revising the newly redesignated 

paragraph (c). 

§ 1051.250 What records must I keep and 

make available to EPA? 

(a) Send the Designated Compliance 

Officer information related to your U.S.- 

directed production volumes as 

described in § 1051.345. In addition, 

within 45 days after the end of the 

model year, you must send us a report 

describing information about vehicles 

you produced during the model year as 

follows: 

(1) State the total production volume 

for each engine family that is not subject 

to reporting under § 1051.345. 

(2) State the total production volume 

for any engine family for which you 

produce vehicles after completing the 

reports required in § 1051.345. 

(3) For production volumes you report 

under this paragraph (a), identify 

whether or not the figures include 

California sales. Include a separate 

count of production volumes for 

California sales if those figures are 

available. 

* * * * * 

(c) Keep data from routine emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in this section for 

eight years after we issue your 

certificate. 

* * * * * 

Subpart D—[Amended] 

■ 180. Section 1051.301 is amended by 

revising paragraphs (a), (c), (d), (e), and 

(h) introductory text to read as follows: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59251 

§ 1051.301 When must I test my 

production-line vehicles or engines? 

(a) If you produce vehicles that are 

subject to the requirements of this part, 

you must test them as described in this 

subpart, except as follows: 

(1) Small-volume manufacturers may 

omit testing under this subpart. 

(2) We may exempt engine families 

with a projected U.S.-directed 

production volume below 150 units 

from routine testing under this subpart. 

Request this exemption in your 

application for certification and include 

your basis for projecting a production 

volume below 150 units. We will 

approve your request if we agree that 

you have made good-faith estimates of 

your production volumes. Your 

exemption is approved when we grant 

your certificate. You must promptly 

notify us if your actual production 

exceeds 150 units during the model 

year. If you exceed the production limit 

or if there is evidence of a 

nonconformity, we may require you to 

test production-line engines under this 

subpart, or under 40 CFR part 1068, 

subpart E, even if we have approved an 

exemption under this paragraph (a)(2). 

* * * * * 

(c) Other regulatory provisions 

authorize us to suspend, revoke, or void 

your certificate of conformity, or order 

recalls for engine families, without 

regard to whether they have passed 

these production-line testing 

requirements. The requirements of this 

subpart do not affect our ability to do 

selective enforcement audits, as 

described in part 1068 of this chapter. 

Individual 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 use alternate programs 

for testing production-line vehicles or 

engines in the following circumstances: 

(1) You may use analyzers and 

sampling systems that meet the fieldtesting requirements of 40 CFR part 

1065, subpart J, but not the otherwise 

applicable requirements in 40 CFR part 

1065 for laboratory testing, to 

demonstrate compliance with emission 

standards if you double the minimum 

sampling rate specified in § 1054.310(b). 

Use measured test results to determine 

whether vehicles or engines comply 

with applicable standards without 

applying a measurement allowance. 

This alternate program does not require 

prior approval but we may disallow use 

of this option where we determine that 

use of field-grade equipment would 

prevent you from being able to 

demonstrate that your vehicles or 

engines are being produced to conform 

to the specifications in your application 

for certification. 

(2) You may ask to use another 

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. We may waive 

some or all of this subpart’s 

requirements if we approve your 

alternate approach. For example, in 

certain circumstances you may be able 

to give us equal assurance that your 

products meet the requirements of this 

part by using less rigorous measurement 

methods if you offset that by increasing 

the number of test vehicles or engines. 

(e) If you certify an engine family with 

carryover emission data, as described in 

§ 1051.235(d), 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 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. 

* * * * * 

(h) Vehicles certified to the following 

standards are exempt from the 

production-line testing requirements of 

this subpart if no engine families in the 

averaging set have family emission 

limits that are different than the 

otherwise applicable standard: 

* * * * * 

■ 181. Section 1051.305 is amended by 

adding introductory text and revising 

paragraphs (d) and (g) to read as follows: 

§ 1051.305 How must I prepare and test my 

production-line vehicles or engines? 

This section describes how to prepare 

and test production-line vehicles or 

engines. Test the engine if your vehicle 

is certified to g/kW-hr standards; 

otherwise test the vehicle. You must 

assemble the test vehicle or engine in a 

way that represents the assembly 

procedures for other vehicles or engines 

in the engine family. You must ask us 

to approve any deviations from your 

normal assembly procedures for other 

production vehicles or engines in the 

engine family. 

* * * * * 

(d) Setting adjustable parameters. 

Before any test, we may require you to 

adjust any adjustable parameter to any 

setting within its physically adjustable 

range. 

(1) We may require you to adjust idle 

speed outside the physically adjustable 

range as needed, but only until the 

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 specify adjustments 

within the physically adjustable range 

by considering their effect on emission 

levels. We may also consider how likely 

it is that someone will make such an 

adjustment with in-use vehicles. 

(3) We may specify an air-fuel ratio 

within the adjustable range specified in 

§ 1051.115(d). 

* * * * * 

(g) Retesting after invalid tests. You 

may retest a vehicle or engine if you 

determine an emission test is invalid 

under subpart F of this part. Explain in 

your written report reasons for 

invalidating any test and the emission 

results from all tests. If we determine 

that you improperly invalidated a test, 

we may require you to ask for our 

approval for future testing before 

substituting results of the new tests for 

invalid ones. 

■ 182. Section 1051.310 is amended by 

revising paragraphs (a), (b), (c) 

introductory text, (c)(2), (f), (g), and (h) 

to read as follows: 

§ 1051.310 How must I select vehicles or 

engines for production-line testing? 

(a) Test engines from each engine 

family as described in this section based 

on test periods, as follows: 

(1) For engine families with projected 

U.S.-directed production volume of at 

least 1,600, the test periods are 

consecutive quarters (3 months). 

However, if your annual production 

period is less than 12 months long, you 

may take the following alternative 

approach to define quarterly test 

periods: 

(i) If your annual production period is 

120 days or less, the whole model year 

constitutes a single test period. 

(ii) If your annual production period 

is 121 to 210 days, divide the annual 

production period evenly into two test 

periods. 

(iii) If your annual production period 

is 211 to 300 days, divide the annual 

production period evenly into three test 

periods. 

(iv) If your annual production period 

is 301 days or longer, divide the annual 

production period evenly into four test 

periods. 

(2) For engine families with projected 

U.S.-directed production volume below 

mstockstill on PROD1PC66 with RULES2

59252 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

1,600, the whole model year constitutes 

a single test period. 

(b) Early in each test period, randomly 

select and test an engine from the end 

of the assembly line for each engine 

family. 

(1) In the first test period for newly 

certified engines, randomly select and 

test one more engine. Then, calculate 

the required sample size for the model 

year as described in paragraph (c) of this 

section. 

(2) In later test periods of the same 

model year, combine the new test result 

with all previous testing in the model 

year. Then, calculate the required 

sample size for the model year as 

described in paragraph (c) of this 

section. 

(3) In the first test period for engine 

families relying on previously submitted 

test data, combine the new test result 

with the last test result from the 

previous model year. Then, calculate 

the required sample size for the model 

year as described in paragraph (c) of this 

section. Use the last test result from the 

previous model year only for this first 

calculation. For all subsequent 

calculations, use only results from the 

current model year. 

(c) Calculate the required sample size 

for each engine family. Separately 

calculate this figure for HC, NOX (or HC 

+ NOX), and CO. The required sample 

size is the greater of these calculated 

values. Use the following equation: 

N

t

x STD = ( ) ⋅

( ) −

















+ 95

2

1

σ

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. 

s = Test sample standard deviation (see 

paragraph (c)(2) of this section). 

x = Mean of emission test results of the 

sample. 

STD = Emission standard (or family emission 

limit, if applicable). 

* * * * * 

(2) Calculate the standard deviation, 

s, for the test sample using the 

following formula: 

σ = ( ) −

( ) −















 ∑ X x

n

i

2

1

2

1

Where: 

Xi = Emission test result for an individual 

vehicle or engine. 

n = The number of tests completed in an 

engine family. 

* * * * * 

(f) Distribute the remaining tests 

evenly throughout the rest of the year. 

You may need to adjust your schedule 

for selecting vehicles or engines if the 

required sample size changes. If your 

scheduled quarterly testing for the 

remainder of the model year is sufficient 

to meet the calculated sample size, you 

may wait until the next quarter to do 

additional testing. Continue to 

randomly select vehicles or engines 

from each engine family. 

(g) Continue testing until one of the 

following things happens: 

(1) After completing the minimum 

number of tests required in paragraph 

(b) of this section, the number of tests 

completed in an engine family, n, is 

greater than the required sample size, N, 

and the sample mean, x, is less than or 

equal to the emission standard. For 

example, if N = 5.1 after the fifth test, 

the sample-size calculation does not 

allow you to stop testing. 

(2) The engine family does not 

comply according to § 1051.315. 

(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, rounded to the nearest whole 

number. Do not count a vehicle or 

engine under this paragraph (g)(4) if it 

fails to meet an applicable emission 

standard. 

(5) You choose to declare that the 

engine family does not comply with the 

requirements of this subpart. 

(h) If the sample-size calculation 

allows you to stop testing for one 

pollutant but not another, you must 

continue measuring emission levels of 

all pollutants for any additional tests 

required under this section. However, 

you need not continue making the 

calculations specified in this subpart for 

the pollutant for which testing is not 

required. This paragraph (h) does not 

affect the number of tests required 

under this section, the required 

calculations in § 1051.315, or the 

remedial steps required under 

§ 1051.320. 

* * * * * 

■ 183. Section 1051.315 is amended by 

revising paragraphs (a), (b), and (g) to 

read as follows: 

§ 1051.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

* * * * * 

(a) Calculate your test results as 

follows: 

(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 results for each test, then add 

all the test results together and divide 

by the number of tests. Round this final 

calculated value 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)). 

(3) Round deteriorated test results. 

Round the results to the number of 

decimal places in the emission standard 

expressed to one more decimal place. 

(b) Construct the following CumSum 

Equation for each engine family for HC, 

NOX (HC + NOX), and CO emissions: 

Ci = Max [0 or Ci¥1 + Xi¥(STD + 0.25 

× s)] 

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 (or family emission 

limit, if applicable). 

* * * * * 

(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 as described in 

§ 1051.225(f). 

* * * * * 

■ 184. Section 1051.320 is amended by 

revising paragraph (a)(2) to read as 

follows: 

§ 1051.320 What happens if one of my 

production-line vehicles or engines fails to 

meet emission standards? 

(a) * * * 

(2) Include the test results and 

describe the remedy for each engine in 

the written report required under 

§ 1051.345. 

* * * * * 

■ 185. Section 1051.325 is amended by 

revising the section heading and 

paragraphs (c) and (e) to read as follows: 

§ 1051.325 What happens if an engine 

family fails the production-line testing 

requirements? 

* * * * * 

(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 occurs that we 

used erroneous information in deciding 


mstockstill on PROD1PC66 with RULES2ER08OC08.093</MATH> ER08OC08.094</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59253 

to suspend the certificate, we will 

reinstate the certificate. 

* * * * * 

(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 as described 

in § 1051.225(f). We will approve your 

request if it is clear that you used good 

engineering judgment in establishing 

the original FEL. 

■ 186. Section 1051.345 is amended as 

follows: 

■ a. By removing the introductory text. 

■ b. By revising paragraphs (a)(4), (a)(6), 

and (a)(8). 

■ c. By revising paragraphs (b) and (c). 

§ 1051.345 What production-line testing 

records must I send to EPA? 

(a) * * * 

(4) Describe each test vehicle or 

engine, 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. 

* * * * * 

(6) Provide the test number; the date, 

time and duration of testing; test 

procedure; all initial test results; 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. 

* * * * * 

(8) Provide the CumSum analysis 

required in § 1051.315 and the samplesize calculation required in § 1051.310 

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. We may also ask you to 

send less information. 

(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 test 

engines (or vehicles) in a way that might 

affect emission controls. All the 

information in this report is true and 

accurate, to the best of my knowledge. 

I know of the penalties for violating the 

Clean Air Act and the regulations. 

(Authorized Company Representative) 

* * * * * 

■ 187. Section 1051.350 is amended by 

revising paragraphs (b), (e), and (f) to 

read as follows: 

§ 1051.350 What records must I keep? 

* * * * * 

(b) Keep paper or electronic records of 

your production-line testing for eight 

years after you complete all the testing 

required for an engine family in a model 

year. 

* * * * * 

(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 engine power, displacement, 

fuel type, or assembly plant (if you 

produce vehicles or engines at more 

than one plant). 

(f) Keep records of the vehicle or 

engine identification number for each 

vehicle or engine you produce under 

each certificate of conformity. You may 

identify these numbers as a range. Give 

us these records within 30 days if we 

ask for them. 

* * * * * 

Subpart F—[Amended] 

■ 188. Section 1051.501 is amended as 

follows: 

■ a. By revising paragraphs (c)(2) and 

(d). 

■ b. By redesignating paragraphs (e) and 

(f) as paragraphs (g) and (h). 

■ c. By adding a new paragraph (e). 

■ d. By reserving paragraph (f). 

§ 1051.501 What procedures must I use to 

test my vehicles or engines? 

* * * * * 

(c) * * * 

(2) Prior to permeation testing of fuel 

hose, the hose must be preconditioned 

by filling the hose with the fuel 

specified in paragraph (d)(3) of this 

section, sealing the openings, and 

soaking the hose for 4 weeks at 23 ± 5 

°C. To measure fuel-line permeation 

emissions, use the equipment and 

procedures specified in SAE J30 as 

described in 40 CFR 1060.810. The 

measurements must be performed at 23 

± 2 °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 H, for all the exhaust 

testing we require in this part. For 

service accumulation, use the test fuel 

or any commercially available fuel that 

is representative of the fuel that in-use 

engines will use. The following 

provisions apply for using specific fuel 

types: 

(i) For gasoline-fueled engines, use 

the grade of gasoline specified for 

general testing. 

(ii) For diesel-fueled engines, use 

either low-sulfur diesel fuel or ultra 

low-sulfur diesel fuel meeting the 

specifications in 40 CFR 1065.703. If 

you use sulfur-sensitive technology as 

defined in 40 CFR 1039.801 and you 

measure emissions using ultra lowsulfur diesel fuel, you must add a 

permanent label near the fuel inlet with 

the following statement: ‘‘ULTRA LOW 

SULFUR FUEL ONLY’’. 

(2) Fuel Tank Permeation. (i) For the 

preconditioning soak described in 

§ 1051.515(a)(1) and fuel slosh 

durability test described in 

§ 1051.515(d)(3), use the fuel specified 

in Table 1 of 40 CFR 1065.710 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 (see 40 CFR 1060.810) 

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 40 CFR 1065.710. 

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 40 CFR 1065.710 

blended with 10 percent ethanol by 

volume for permeation testing of fuel 

lines. As an alternative, you may use 

Fuel CE10, which is Fuel C as specified 

in ASTM D 471–98 (see 40 CFR 

1060.810) blended with 10 percent 

ethanol by volume. 

(e) Engine stabilization. Instead of the 

provisions of 40 CFR 1065.405, you may 

consider emission levels stable without 

measurement after 12 hours of engine 

operation. 

(f) [Reserved] 

* * * * * 

■ 189. Section 1051.505 is amended by 

revising paragraphs (a) and (b) to read 

as follows: 

§ 1051.505 What special provisions apply 

for testing snowmobiles? 

* * * * * 

(a) You may perform steady-state 

testing with either discrete-mode or 

ramped-modal cycles. You must use the 

type of testing you select in your 

application for certification for all 

testing you perform for that engine 

family. If we test your engines to 

confirm that they meet emission 

standards, we will do testing the same 

way. If you submit certification test data 

collected with both discrete-mode and 

ramped-modal testing (either in your 

original application or in an amendment 

to your application), either method may 

mstockstill on PROD1PC66 with RULES2

59254 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

be used for subsequent testing. We may 

also perform other testing as allowed by 

the Clean Air Act. Measure steady-state 

emissions as follows: 

(1) For discrete-mode testing, sample 

emissions separately for each mode, 

then calculate an average emission level 

for the whole cycle using the weighting 

factors specified for each mode. In each 

mode, operate the engine for at least 5 

minutes, then sample emissions for at 

least 1 minute. Calculate cycle statistics 

and compare with the established 

criteria as specified in 40 CFR 1065.514 

to confirm that the test is valid. 

(2) For ramped-modal testing, start 

sampling at the beginning of the first 

mode and continue sampling until the 

end of the last mode. Calculate 

emissions and cycle statistics the same 

as for transient testing as specified in 40 

CFR part 1065, subpart G. 

(3) Measure emissions by testing the 

engine on a dynamometer with one or 

more of the following sets of duty cycles 

to determine whether it meets the 

steady-state emission standards in 

§ 1051.103: 

(i) The following duty cycle applies 

for discrete-mode testing: 

TABLE 1 OF § 1051.505—5-MODE DUTY CYCLE FOR SNOWMOBILES

Mode No. Speed 

(percent) 1

Torque 

(percent) 2

Minimum 

time in 

mode 

(minutes) 

Weighting 

factors 

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 

1Percent speed is percent of maximum test speed. 

2Percent torque is percent of maximum torque at maximum test speed. 

(ii) The following duty cycle applies 

for ramped-modal testing: 

TABLE 2 OF § 1051.505—RAMPED-MODAL CYCLE FOR TESTING SNOWMOBILES

RMC mode Time in 

mode Speed (percent) 1 Torque (percent) 2, 3

1a Steady-state ......................................... 27 Warm Idle ................................................. 0 

1b Transition ............................................. 20 Linear Transition ....................................... Linear Transition 

2a Steady-state ......................................... 121 100 ............................................................ 100 

2b Transition ............................................. 20 Linear Transition ....................................... Linear Transition 

3a Steady-state ......................................... 347 65 .............................................................. 19 

3b Transition ............................................. 20 Linear Transition ....................................... Linear Transition 

4a Steady-state ......................................... 305 85 .............................................................. 51 

4b Transition ............................................. 20 Linear Transition ....................................... Linear Transition 

5a Steady-state ......................................... 272 75 .............................................................. 33 

5b Transition ............................................. 20 Linear Transition ....................................... Linear Transition 

6 Steady-state ........................................... 28 Warm Idle ................................................. 0 

1Percent speed is percent of maximum test speed. 

2Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode. 3Percent torque is percent of maximum torque at maximum test speed. 

(b) During idle mode, operate the 

engine at its warm idle speed as 

described in 40 CFR 1065.510. 

* * * * * 

Subpart G—[Amended] 

■ 190. Section 1051.605 is amended by 

revising the section heading and 

paragraph (d)(7)(ii) to read as follows: 

§ 1051.605 What provisions apply to 

engines already certified under the motor 

vehicle program or the Large Spark-ignition 

program? 

* * * * * 

(d) * * * 

(7) * * * 

(ii) List the engine or vehicle models 

you expect to produce under this 

exemption in the coming year and 

describe your basis for meeting the sales 

restrictions of paragraph (d)(3) of this 

section. 

* * * * * 

■ 191. Section 1051.610 is amended by 

revising the section heading and 

paragraphs (d)(7)(ii) and (g) to read as 

follows: 

§ 1051.610 What provisions apply to 

vehicles already certified under the motor 

vehicle program? 

* * * * * 

(d) * * * 

(7) * * * 

(ii) List the vehicle models you expect 

to produce under this exemption in the 

coming year and describe your basis for 

meeting the sales restrictions of 

paragraph (d)(3) of this section. 

* * * * * 

(g) Participation in averaging, banking 

and trading. Vehicles adapted for 

recreational use under this section may 

not generate or use emission credits 

under this part 1051. These vehicles 

may generate credits under the ABT 

provisions in 40 CFR part 86. These 

vehicles must use emission credits 

under 40 CFR part 86 if they are 

certified to an FEL that exceeds an 

emission standard that applies. 

■ 192. Section 1051.615 is amended by 

revising paragraphs (d) introductory 

text, (d)(3), and (d)(4) to read as follows: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59255 

§ 1051.615 What are the special provisions 

for certifying small recreational engines? 

* * * * * 

(d) Measure steady-state emissions by 

testing the engine on an engine 

dynamometer using the equipment and 

procedures of 40 CFR part 1065 with 

either discrete-mode or ramped-modal 

cycles. You must use the type of testing 

you select in your application for 

certification for all testing you perform 

for that engine family. If we test your 

engines to confirm that they meet 

emission standards, we will do testing 

the same way. If you submit 

certification test data collected with 

both discrete-mode and ramped-modal 

testing (either in your original 

application or in an amendment to your 

application), either method may be used 

for subsequent testing. We may also 

perform other testing as allowed by the 

Clean Air Act. Measure steady-state 

emissions as follows: 

* * * * * 

(3) Measure emissions by testing the 

engine on a dynamometer with one or 

more of the following sets of duty cycles 

to determine whether it meets 

applicable emission standards: 

(i) The following duty cycle applies 

for discrete-mode testing: 

TABLE 1 OF § 1051.615—6-MODE DUTY CYCLE FOR RECREATIONAL ENGINES

Mode No. 

Engine 

speed 

(percent) 1

Torque 

(percent) 2

Minimum 

time in 

mode 

(minutes) 

Weighting 

factors 

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 

1Percent speed is percent of maximum test speed. 

2Percent torque is percent of maximum torque at the commanded test speed. 

(ii) The following duty cycle applies 

for ramped-modal testing: 

TABLE 2 OF § 1051.615—RAMPED-MODAL CYCLE FOR TESTING RECREATIONAL ENGINES

RMC mode Time Speed 

(percent) 1, 2

Torque 

(percent) 2, 3

1a Steady-state ......................................... 41 Warm Idle ................................................. 0. 

1b Transition ............................................. 20 Linear Transition ....................................... Linear Transition. 

2a Steady-state ......................................... 135 85 .............................................................. 100. 

2b Transition ............................................. 20 85 .............................................................. Linear Transition. 

3a Steady-state ......................................... 112 85 .............................................................. 10.

3b Transition ............................................. 20 85 .............................................................. Linear Transition. 

4a Steady-state ......................................... 337 85 .............................................................. 75.

4b Transition ............................................. 20 85 .............................................................. Linear Transition. 

5a Steady-state ......................................... 518 85 .............................................................. 25.

5b Transition ............................................. 20 85 .............................................................. Linear Transition. 

6a Steady-state ......................................... 494 85 .............................................................. 50.

6b Transition ............................................. 20 Linear Transition ....................................... Linear Transition. 

7 Steady-state ........................................... 43 Warm Idle ................................................. 0. 

1Percent speed is percent of maximum test speed. 

2Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode. 3Percent torque is percent of maximum torque at the commanded test speed. 

(4) During idle mode, operate the 

engine at its warm idle speed as 

described in 40 CFR 1065.510. 

* * * * * 

■ 193. Section 1051.635 is amended by 

revising paragraph (a) to read as follows: 

§ 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 at 13 CFR 121.201) that 

manufactures recreational vehicles, but 

does not otherwise qualify for the smallvolume 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. 

* * * * * 

■ 194. Section 1051.645 is amended by 

revising paragraph (b) to read as follows: 

§ 1051.645 What special provisions apply 

to branded engines? 

* * * * * 

(b) In your application for 

certification, identify the company 

whose trademark you will use. 

* * * * * 

■ 195. A new § 1051.650 is added to 

subpart G to read as follows: 

§ 1051.650 What special provisions apply 

for converting a vehicle to use an alternate 

fuel? 

A certificate of conformity is no 

longer valid for a vehicle if the vehicle 

is modified such that it is not in a 

configuration covered by the certificate. 

This section applies if such 

modifications are done to convert the 

vehicle to run on a different fuel type. 

Such vehicles may be recertified as 

specified in this section if the original 

mstockstill on PROD1PC66 with RULES2

59256 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

certificate is no longer valid for that 

vehicle. 

(a) Converting a certified new vehicle 

to run on a different fuel type violates 

40 CFR 1068.101(a)(1) if the modified 

vehicle is not covered by a certificate of 

conformity. 

(b) Converting a certified vehicle that 

is not new to run on a different fuel type 

violates 40 CFR 1068.101(b)(1) if the 

modified vehicle is not covered by a 

certificate of conformity. We may 

specify alternate certification provisions 

consistent with the requirements of this 

part. For example, you may certify the 

modified vehicle for a partial useful life. 

For example, if the vehicle is modified 

halfway through its original useful life 

period, you may generally certify the 

vehicle based on completing the original 

useful life period; or if the vehicle is 

modified after the original useful life 

period is past, you may generally certify 

the vehicle based on testing that does 

not involve further durability 

demonstration. 

(c) Vehicles (or engines) may be 

certified using the certification 

procedures for new vehicles (or engines) 

as specified in this part or using the 

certification procedures for aftermarket 

parts as specified in 40 CFR part 85, 

subpart V. Unless the original vehicle 

manufacturer continues to be 

responsible for the vehicle as specified 

in paragraph (d) of this section, you 

must remove the original manufacturer’s 

emission control information label if 

you recertify the vehicle. 

(d) The original vehicle manufacturer 

is not responsible for operation of 

modified vehicles in configurations 

resulting from modifications performed 

by others. In cases where the 

modification allows a vehicle to be 

operated in either its original 

configuration or a modified 

configuration, the original vehicle 

manufacturer remains responsible for 

operation of the modified vehicle in its 

original configuration. 

(e) Entities producing conversion kits 

may obtain certificates of conformity for 

the converted vehicles. Such entities are 

vehicle manufacturers for purposes of 

this part. 

Subpart H—[Amended] 

■ 196. Section 1051.701 is amended by 

revising paragraph (a) to read as follows: 

§ 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 certify 

your engines to Family Emission Limits 

(FELs) and show that your average 

emission levels for all your engine 

families together are below the emission 

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). 

* * * * * 

■ 197. Section 1051.710 is amended by 

revising paragraphs (d) and (e) and 

removing paragraph (f) to read as 

follows: 

§ 1051.710 How do I generate and bank 

emission credits? 

* * * * * 

(d) You may designate any emission 

credits you plan to bank in the reports 

you submit under § 1051.730. During 

the model year and before the due date 

for the final report, you may designate 

your reserved emission credits for 

averaging or trading. 

(e) Reserved credits become actual 

emission credits when you submit your 

final report. However, we may revoke 

these emission credits if we are unable 

to verify them after reviewing your 

reports or auditing your records. 

■ 198. Section 1051.715 is amended by 

revising paragraph (b) and removing and 

reserving paragraph (c) to read as 

follows: 

§ 1051.715 How do I trade emission 

credits? 

* * * * * 

(b) You may trade actual emission 

credits as described in this subpart. You 

may also trade reserved emission 

credits, but we may revoke these 

emission credits based on our review of 

your records or reports or those of the 

company with which you traded 

emission credits. You may trade banked 

credits within an averaging set to any 

certifying manufacturer. 

(c) [Reserved] 

* * * * * 

■ 199. Section 1051.720 is amended by 

revising paragraph (a)(2) to read as 

follows: 

§ 1051.720 How do I calculate my average 

emission level or emission credits? 

(a) * * * 

(2) For vehicles that have standards 

expressed as g/kW-hr and a useful life 

in kilometers, convert the useful life to 

kW-hr based on the maximum engine 

power and an assumed vehicle speed of 

30 km/hr as follows: UL (kW-hr) = UL 

(km) × Maximum Engine 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.) 

* * * * * 

■ 200. Section 1051.725 is amended by 

revising paragraph (b)(2) to read as 

follows: 

§ 1051.725 What must I include in my 

applications for certification? 

* * * * * 

(b) * * * 

(2) Detailed calculations of projected 

emission credits (positive or negative) 

based on projected production volumes. 

We may require you to include similar 

calculations from your other engine 

families to demonstrate that you will be 

able to avoid a negative credit balance 

for the model year. If you project 

negative emission credits for an engine 

family, state the source of positive 

emission credits you expect to use to 

offset the negative emission credits. 

■ 201. Section 1051.730 is amended by 

revising paragraphs (b)(3), (b)(4), (b)(5), 

(c)(2), and (f) to read as follows: 

§ 1051.730 What ABT reports must I send 

to EPA? 

* * * * * 

(b) * * * 

(3) The FEL for each pollutant. If you 

change the FEL after the start of 

production, identify the date that you 

started using the new FEL and/or give 

the vehicle identification number for the 

first vehicle covered by the new FEL. In 

this case, identify each applicable FEL 

and calculate the positive or negative 

emission credits under each FEL. 

(4) The projected and actual 

production volumes for the model year 

with a point of retail sale in the United 

States, as described in § 1051.701(d). 

For fuel tanks, state the production 

volume in terms of surface area and 

production volume for each tank 

configuration and state the total surface 

area for the emission family. If you 

changed an FEL during the model year, 

identify the actual production volume 

associated with each FEL. 

(5) For vehicles that have standards 

expressed as g/kW-hr, maximum engine 

power for each vehicle configuration, 

and the average engine power weighted 

by U.S.-directed production volumes for 

the engine family. 

* * * * * 

(c) * * * 

(2) State whether you will retain any 

emission credits for banking. 

* * * * * 

(f) Correct errors in your end-of-year 

report or final report as follows: 

(1) You may correct any errors in your 

end-of-year report when you prepare the 

final report as long as you send us the 

final report by the time it is due. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59257 

(2) If you or we determine within 270 

days after the end of the model year that 

errors mistakenly decreased your 

balance of emission credits, you may 

correct the errors and recalculate the 

balance of emission credits. You may 

not make these corrections for errors 

that are determined more than 270 days 

after the end of the model year. If you 

report a negative balance of emission 

credits, we may disallow corrections 

under this paragraph (f)(2). 

(3) If you or we determine anytime 

that errors mistakenly increased your 

balance of emission credits, you must 

correct the errors and recalculate the 

balance of emission credits. 

■ 202. Section 1051.735 is amended by 

revising paragraphs (b), (d), and (e) to 

read as follows: 

§ 1051.735 What records must I keep? 

* * * * * 

(b) Keep the records required by this 

section for at least eight years after the 

due date for the end-of-year report. You 

may not use emission credits on any 

engines if you do not keep all the 

records required under this section. You 

must therefore keep these records to 

continue to bank valid credits. Store 

these records in any format and on any 

media as long as you can promptly send 

us organized, written records in English 

if we ask for them. You must keep these 

records readily available. We may 

review them at any time. 

* * * * * 

(d) Keep records of the identification 

number for each vehicle or engine or 

piece of equipment you produce that 

generates or uses emission credits under 

the ABT program. You may identify 

these numbers as a range. 

(e) We may require you to keep 

additional records or to send us relevant 

information not required by this section 

in accordance with the Clean Air Act. 

■ 203. Section 1051.740 is amended by 

revising paragraph (b)(4)(ii) to read as 

follows: 

§ 1051.740 Are there special averaging 

provisions for snowmobiles? 

* * * * * 

(b) * * * 

(4) * * * 

(ii) HC and CO credits for Phase 3 are 

calculated relative to 75 g/kW-hr and 

200 g/kW-hr values, respectively. 

* * * * * 

Subpart I—[Amended] 

■ 204. Section 1051.801 is amended as 

follows: 

■ a. By removing the definitions for 

‘‘Maximum test power’’ and ‘‘Maximum 

test torque’’. 

■ b. By revising the definitions for 

‘‘Aftertreatment’’, ‘‘Designated 

Compliance Officer’’, ‘‘Emission-control 

system’’, ‘‘Engine configuration’’, 

‘‘Maximum engine power’’, ‘‘Model 

year’’, ‘‘New’’, ‘‘Nonmethane 

hydrocarbon’’, ‘‘Official emission 

result’’, ‘‘Owners manual’’, 

‘‘Recreational’’, ‘‘Total hydrocarbon’’, 

and ‘‘Total hydrocarbon equivalent’’. 

■ c. By adding definitions for ‘‘Alcoholfueled’’, ‘‘Days’’, ‘‘Low-permeability 

material’’, and ‘‘Volatile liquid fuel’’ in 

alphabetical order. 

§ 1051.801 What definitions apply to this 

part? 

* * * * * 

Aftertreatment means relating to a 

catalytic converter, particulate filter, or 

any other system, component, or 

technology mounted downstream of the 

exhaust valve (or exhaust port) whose 

design function is to decrease emissions 

in the engine exhaust before it is 

exhausted to the environment. Exhaustgas recirculation (EGR), turbochargers, 

and oxygen sensors are not 

aftertreatment. 

Alcohol-fueled means relating to a 

vehicle with an engine that is designed 

to run using an alcohol fuel. For 

purposes of this definition, alcohol fuels 

do not include fuels with a nominal 

alcohol content below 25 percent by 

volume. 

* * * * * 

Days means calendar days unless 

otherwise specified. For example, where 

we specify working days, we mean 

calendar days excluding weekends and 

U.S. national holidays. 

Designated Compliance Officer means 

the Manager, Light-Duty Engine Group, 

U.S. Environmental Protection Agency, 

2000 Traverwood Drive, Ann Arbor, MI 

48105. 

* * * * * 

Emission-control system means any 

device, system, or element of design that 

controls or reduces the emissions of 

regulated pollutants from an engine. 

* * * * * 

Engine configuration means a unique 

combination of engine hardware and 

calibration within an engine family. 

Engines within a single engine 

configuration differ only with respect to 

normal production variability or factors 

unrelated to emissions. 

* * * * * 

Low-permeability material has the 

meaning given in 40 CFR 1060.801. 

* * * * * 

Maximum engine power has the 

meaning given in 40 CFR 90.3 for 2010 

and earlier model years and in 

§ 1051.140 for 2011 and later model 

years. Note that maximum engine power 

is based on the engine alone, without 

regard to any governing or other 

restrictions from the vehicle 

installation. 

* * * * * 

Model year means one of the 

following things: 

(1) For freshly manufactured vehicles 

(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. For seasonal production periods 

not including January 1, model year 

means the calendar year in which the 

production occurs, unless you choose to 

certify the applicable emission family 

with the following model year. For 

example, if your production period is 

June 1, 2010, through November 30, 

2010, your model year would be 2010 

unless you choose to certify the 

emission family for model year 2011. 

(2) For an engine originally certified 

and manufactured as a motor vehicle 

engine or a stationary engine that is later 

used or intended to be used in a vehicle 

subject to the standards and 

requirements of this part 1051, model 

year means the calendar year in which 

the engine was originally produced. For 

an engine originally manufactured as a 

motor vehicle engine or a stationary 

engine without having been certified 

that is later used or intended to be used 

in a vehicle subject to the standards and 

requirements of this part 1051, model 

year means the calendar year in which 

the engine becomes subject to this part 

1051. (See definition of ‘‘new,’’ 

paragraph (2)). 

(3) For a nonroad engine that has been 

previously placed into service in an 

application covered by 40 CFR part 90, 

91, 1048, or 1054, where that engine is 

installed in a piece of equipment that is 

covered by this part 1051, model year 

means the calendar year in which the 

engine was originally produced (see 

definition of ‘‘new,’’ paragraph (3)). 

(4) For engines that are not freshly 

manufactured but are installed in new 

recreational vehicles, model year means 

the calendar year in which the engine is 

installed in the recreational vehicle (see 

definition of ‘‘new,’’ paragraph (4)). 

(5) For imported engines: 

(i) For imported engines described in 

paragraph (5)(i) of the definition of 

‘‘new,’’ model year has the meaning 

mstockstill on PROD1PC66 with RULES2

59258 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

given in paragraphs (1) through (4) of 

this definition. 

(ii) For imported engines described in 

paragraph (5)(ii) of the definition of 

‘‘new,’’ model year means the calendar 

year in which the vehicle is modified. 

(iii) For imported engines described 

in paragraph (5)(iii) of the definition of 

‘‘new’’ model year means the calendar 

year in which the engine is assembled 

in its imported configuration, unless 

specified otherwise in this part or in 40 

CFR part 1068. 

* * * * * 

New means relating to any of the 

following things: 

(1) A freshly manufactured vehicle for 

which the ultimate purchaser 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 is new from the time it is 

produced until the ultimate purchaser 

receives the title or the product is 

placed into service, whichever comes 

first. 

(2) An engine originally manufactured 

as a motor vehicle engine or a stationary 

engine that is later used or intended to 

be used in a vehicle subject to the 

standards and requirements of this part 

1051. In this case, the engine is no 

longer a motor vehicle or stationary 

engine and becomes new. The engine is 

no longer new when it is placed into 

service as a recreational vehicle covered 

by this part 1051. 

(3) A nonroad engine that has been 

previously placed into service in an 

application covered by 40 CFR part 90, 

91, 1048, or 1054, when that engine is 

installed in a piece of equipment that is 

covered by this part 1051. The engine is 

no longer new when it is placed into 

service in a recreational vehicle covered 

by this part 1051. For example, this 

would apply to a marine propulsion 

engine that is no longer used in a 

marine vessel. 

(4) An engine not covered by 

paragraphs (1) through (3) of this 

definition that is intended to be 

installed in a new vehicle covered by 

this part 1051. This generally includes 

installation of used engines in new 

recreational vehicles. The engine is no 

longer new when the ultimate purchaser 

receives a title for the vehicle or it is 

placed into service, whichever comes 

first. 

(5) An imported vehicle or engine, 

subject to the following provisions: 

(i) An imported recreational vehicle 

or recreational-vehicle engine covered 

by a certificate of conformity issued 

under this part that meets the criteria of 

one or more of paragraphs (1) through 

(4) of this definition, where the original 

manufacturer holds the certificate, is 

new as defined by those applicable 

paragraphs. 

(ii) An imported vehicle or engine 

covered by a certificate of conformity 

issued under this part, where someone 

other than the original manufacturer 

holds the certificate (such as when the 

engine is modified after its initial 

assembly), is new when it is imported. 

It is no longer new when the ultimate 

purchaser receives a title for the vehicle 

or engine or it is placed into service, 

whichever comes first. 

(iii) An imported recreational vehicle 

or recreational-vehicle engine that is not 

covered by a certificate of conformity 

issued under this part at the time of 

importation is new. This addresses 

uncertified vehicles and engines 

initially placed into service that 

someone seeks to import into the United 

States. Importation of this kind of 

vehicle or engine is generally prohibited 

by 40 CFR part 1068. However, the 

importation of such a vehicle or engine 

is not prohibited if it has a model year 

before 2006, since it is not subject to 

standards. 

* * * * * 

Nonmethane hydrocarbon has the 

meaning given in 40 CFR 1065.1001. 

* * * * * 

Official emission result means the 

measured emission rate for an emissiondata vehicle on a given duty cycle 

before the application of any 

deterioration factor. 

* * * * * 

Owners manual means a document or 

collection of documents prepared by the 

engine manufacturer for the owner or 

operator to describe appropriate engine 

maintenance, applicable warranties, and 

any other information related to 

operating or keeping the engine. The 

owners manual is typically provided to 

the ultimate purchaser at the time of 

sale. The owners manual may be in 

paper or electronic format. 

* * * * * 

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 parts 90 and 1054 apply to engines 

used in other recreational vehicles. 

* * * * * 

Total hydrocarbon has the meaning 

given in 40 CFR 1065.1001. This 

generally means the combined mass of 

organic compounds measured by the 

specified procedure for measuring total 

hydrocarbon, expressed as a 

hydrocarbon with a hydrogen-to-carbon 

mass ratio of 1.85:1. 

Total hydrocarbon equivalent has the 

meaning given in 40 CFR 1065.1001. 

* * * * * 

Volatile liquid fuel means any fuel 

other than diesel or biodiesel that is a 

liquid at atmospheric pressure and has 

a Reid Vapor Pressure higher than 2.0 

pounds per square inch. 

* * * * * 

§ 1051.810 [Removed] 

■ 205. Section 1051.810 is removed. 

■ 206. A new § 1051.825 is added to 

subpart I to read as follows: 

§ 1051.825 What reporting and 

recordkeeping requirements apply under 

this part? 

Under the Paperwork Reduction Act 

(44 U.S.C. 3501 et seq.), the Office of 

Management and Budget approves the 

reporting and recordkeeping specified 

in the applicable regulations. The 

following items illustrate the kind of 

reporting and recordkeeping we require 

for vehicles regulated under this part: 

(a) We specify the following 

requirements related to certification in 

this part 1051: 

(1) In §§ 1051.20 and 1051.25 we 

describe special provisions for 

manufacturers to certify recreational 

engines instead of vehicles. 

(2) [Reserved] 

(3) In § 1051.145 we include various 

reporting and recordkeeping 

requirements related to interim 

provisions. 

(4) In subpart C of this part we 

identify a wide range of information 

required to certify vehicles. 

(5) In §§ 1051.345 and 1051.350 we 

specify certain records related to 

production-line testing. 

(6) [Reserved] 

(7) In § 1051.501 we specify 

information needs for establishing 

various changes to published vehiclebased test procedures. 

(8) In subpart G of this part we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various special compliance 

provisions. 

(9) In §§ 1051.725, 1051.730, and 

1051.735 we specify certain records 

related to averaging, banking, and 

trading. 

(b) [Reserved] 

(c) We specify the following 

requirements related to testing in 40 

CFR part 1065: 

(1) In 40 CFR 1065.2 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR 1065.10 and 1065.12 we 

specify information needs for 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59259 

establishing various changes to 

published engine-based test procedures. 

(3) In 40 CFR 1065.25 we establish 

basic guidelines for storing test 

information. 

(4) In 40 CFR 1065.695 we identify 

data that may be appropriate for 

collecting during testing of in-use 

engines or vehicles using portable 

analyzers. 

(d) We specify the following 

requirements related to the general 

compliance provisions in 40 CFR part 

1068: 

(1) In 40 CFR 1068.5 we establish a 

process for evaluating good engineering 

judgment related to testing and 

certification. 

(2) In 40 CFR 1068.25 we describe 

general provisions related to sending 

and keeping information 

(3) In 40 CFR 1068.27 we require 

manufacturers to make engines or 

vehicles available for our testing or 

inspection if we make such a request. 

(4) In 40 CFR 1068.105 we require 

manufacturers to keep certain records 

related to duplicate labels from engine 

manufacturers. 

(5) In 40 CFR 1068.120 we specify 

recordkeeping related to rebuilding 

engines. 

(6) In 40 CFR part 1068, subpart C, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various exemptions. 

(7) In 40 CFR part 1068, subpart D, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to importing engines or vehicles. 

(8) In 40 CFR 1068.450 and 1068.455 

we specify certain records related to 

testing production-line engines in a 

selective enforcement audit. 

(9) In 40 CFR 1068.501 we specify 

certain records related to investigating 

and reporting emission-related defects. 

(10) In 40 CFR 1068.525 and 1068.530 

we specify certain records related to 

recalling nonconforming vehicles. 

■ 207 A new part 1054 is added to 

subchapter U of chapter I to read as 

follows: 

PART 1054—CONTROL OF EMISSIONS 

FROM NEW, SMALL NONROAD 

SPARK-IGNITION ENGINES AND 

EQUIPMENT 

Subpart A—Overview and Applicability 

Sec. 

1054.1 Does this part apply for my engines 

and equipment? 

1054.2 Who is responsible for compliance? 

1054.5 Which nonroad engines are 

excluded from this part’s requirements? 

1054.10 How is this part organized? 

1054.15 Do any other CFR parts apply to 

me? 

1054.20 What requirements apply to my 

equipment? 

1054.30 Submission of information. 

Subpart B—Emission Standards and 

Related Requirements 

1054.101 What emission standards and 

requirements must my engines meet? 

1054.103 What exhaust emission standards 

must my handheld engines meet? 

1054.105 What exhaust emission standards 

must my nonhandheld engines meet? 

1054.107 What is the useful life period for 

meeting exhaust emission standards? 

1054.110 What evaporative emission 

standards must my handheld equipment 

meet? 

1054.112 What evaporative emission 

standards must my nonhandheld 

equipment meet? 

1054.115 What other requirements apply? 

1054.120 What emission-related warranty 

requirements apply to me? 

1054.125 What maintenance instructions 

must I give to buyers? 

1054.130 What installation instructions 

must I give to equipment manufacturers? 

1054.135 How must I label and identify the 

engines I produce? 

1054.140 What is my engine’s maximum 

engine power and displacement? 

1054.145 Are there interim provisions that 

apply only for a limited time? 

Subpart C—Certifying Emission Families 

1054.201 What are the general requirements 

for obtaining a certificate of conformity? 

1054.205 What must I include in my 

application? 

1054.210 May I get preliminary approval 

before I complete my application? 

1054.220 How do I amend the maintenance 

instructions in my application? 

1054.225 How do I amend my application 

for certification to include new or 

modified engines or fuel systems or 

change an FEL? 

1054.230 How do I select emission 

families? 

1054.235 What exhaust emission testing 

must I perform for my application for a 

certificate of conformity? 

1054.240 How do I demonstrate that my 

emission family complies with exhaust 

emission standards? 

1054.245 How do I determine deterioration 

factors from exhaust durability testing? 

1054.250 What records must I keep and 

what reports must I send to EPA? 

1054.255 What decisions may EPA make 

regarding my certificate of conformity? 

Subpart D—Production-line Testing 

1054.300 Applicability. 

1054.301 When must I test my productionline engines? 

1054.305 How must I prepare and test my 

production-line engines? 

1054.310 How must I select engines for 

production-line testing? 

1054.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

1054.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

1054.325 What happens if an engine family 

fails the production-line testing 

requirements? 

1054.330 May I sell engines from an engine 

family with a suspended certificate of 

conformity? 

1054.335 How do I ask EPA to reinstate my 

suspended certificate? 

1054.340 When may EPA revoke my 

certificate under this subpart and how 

may I sell these engines again? 

1054.345 What production-line testing 

records must I send to EPA? 

1054.350 What records must I keep? 

Subpart E—In-use Testing 

1054.401 General provisions. 

Subpart F—Test Procedures 

1054.501 How do I run a valid emission 

test? 

1054.505 How do I test engines? 

1054.520 What testing must I perform to 

establish deterioration factors? 

Subpart G—Special Compliance Provisions 

1054.601 What compliance provisions 

apply to these engines? 

1054.610 What is the exemption for 

delegated final assembly? 

1054.612 What special provisions apply for 

equipment manufacturers modifying 

certified nonhandheld engines? 

1054.615 What is the exemption for engines 

certified to standards for Large SI 

engines? 

1054.620 What are the provisions for 

exempting engines used solely for 

competition? 

1054.625 What requirements apply under 

the Transition Program for Equipment 

Manufacturers? 

1054.626 What special provisions apply to 

equipment imported under the 

Transition Program for Equipment 

Manufacturers? 

1054.630 What provisions apply for 

importation of individual items for 

personal use? 

1054.635 What special provisions apply for 

small-volume engine and equipment 

manufacturers? 

1054.640 What special provisions apply to 

branded engines? 

1054.645 What special provisions apply for 

converting an engine to use an alternate 

fuel? 

1054.650 What special provisions apply for 

adding or changing governors? 

1054.655 What special provisions apply for 

installing and removing altitude kits? 

1054.660 What are the provisions for 

exempting emergency rescue equipment? 

1054.690 What bond requirements apply for 

certified engines? 

Subpart H—Averaging, Banking, and 

Trading for Certification 

1054.701 General provisions. 

1054.705 How do I generate and calculate 

exhaust emission credits? 

1054.706 How do I generate and calculate 

evaporative emission credits? 

mstockstill on PROD1PC66 with RULES2

59260 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

1054.710 How do I average emission 

credits? 

1054.715 How do I bank emission credits? 

1054.720 How do I trade emission credits? 

1054.725 What must I include in my 

application for certification? 

1054.730 What ABT reports must I send to 

EPA? 

1054.735 What records must I keep? 

1054.740 What special provisions apply for 

generating and using emission credits? 

1054.745 What can happen if I do not 

comply with the provisions of this 

subpart? 

Subpart I—Definitions and Other Reference 

Information 

1054.801 What definitions apply to this 

part? 

1054.805 What symbols, acronyms, and 

abbreviations does this part use? 

1054.815 What provisions apply to 

confidential information? 

1054.820 How do I request a hearing? 

1054.825 What reporting and recordkeeping 

requirements apply under this part? 

Appendix I to Part 1054—Summary of 

Previous Emission Standards 

Appendix II to Part 1054—Duty Cycles for 

Laboratory Testing 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—Overview and Applicability 

§ 1054.1 Does this part apply for my 

engines and equipment? 

(a) Except as provided in § 1054.5, the 

regulations in this part 1054 apply as 

follows: 

(1) The requirements of this part 

related to exhaust emissions apply to 

new, spark-ignition engines with 

maximum engine power at or below 19 

kW. This includes auxiliary marine 

spark-ignition engines. 

(2) The requirements of this part 

related to evaporative emissions apply 

as specified in §§ 1054.110 and 

1054.112 to fuel systems used with 

engines subject to exhaust emission 

standards in this part if the engines use 

a volatile liquid fuel (such as gasoline). 

(3) This part 1054 applies starting 

with the model years noted in the 

following table: 

TABLE 1 TO § 1054.1—PART 1054 

APPLICABILITY BY MODEL YEAR

Engine type Engine 

displacement Model year 

Handheld ....... all .................. 2010 

Nonhandheld displacement 

< 225 cc.

2012 

Nonhandheld displacement 

≥ 225 cc.

2011 

(4) This part 1054 applies for other 

spark-ignition engines as follows: 

(i) The provisions of §§ 1054.620 and 

1054.801 apply for engines used solely 

for competition beginning January 1, 

2010. 

(ii) The provisions of §§ 1054.660 and 

1054.801 apply for engines used in 

emergency rescue equipment beginning 

January 1, 2010. 

(5) We specify provisions in 

§ 1054.145(e) and (f) and in § 1054.740 

that allow for meeting the requirements 

of this part before the dates shown in 

Table 1 to this section. Engines, fuelsystem components, or equipment 

certified to these standards are subject 

to all the requirements of this part as if 

these optional standards were 

mandatory. 

(b) Although the definition of nonroad 

engine in 40 CFR 1068.30 excludes 

certain engines used in stationary 

applications, stationary engines are 

required under 40 CFR part 60, subpart 

JJJJ, to comply with this part starting 

with the model years shown in Table 1 

to this section. 

(c) See 40 CFR part 90 for 

requirements that apply to engines not 

yet subject to the requirements of this 

part 1054. 

(d) In certain cases, the regulations in 

this part 1054 apply to engines with 

maximum engine power above 19 kW 

that would otherwise be covered by 40 

CFR part 1048 or 1051. See 40 CFR 

1048.615 and 1051.145(a)(3) for 

provisions related to these allowances. 

(e) In certain cases, the regulations in 

this part 1054 apply to propulsion 

marine engines that would otherwise be 

covered by 40 CFR part 1045. See 40 

CFR 1045.610 for provisions related to 

these allowances. 

§ 1054.2 Who is responsible for 

compliance? 

The requirements and prohibitions of 

this part apply to manufacturers of 

engines and equipment, as described in 

§ 1054.1. The requirements of this part 

are generally addressed to 

manufacturers subject to this part’s 

requirements. The term ‘‘you’’ generally 

means the certifying manufacturer. For 

provisions related to exhaust emissions, 

this generally means the engine 

manufacturer, especially for issues 

related to certification (including 

production-line testing, reporting, etc.). 

For provisions related to certification 

with respect to evaporative emissions, 

this generally means the equipment 

manufacturer. Equipment manufacturers 

must meet applicable requirements as 

described in § 1054.20. Engine 

manufacturers that assemble an engine’s 

complete fuel system are considered to 

be the equipment manufacturer with 

respect to evaporative emissions (see 40 

CFR 1060.5). Note that certification 

requirements for component 

manufacturers are described in 40 CFR 

part 1060. 

§ 1054.5 Which nonroad engines are 

excluded from this part’s requirements? 

This part does not apply to the 

following nonroad engines: 

(a) Engines that are certified to meet 

the requirements of 40 CFR part 1051 

(for example, engines used in 

snowmobiles and all-terrain vehicles). 

Engines that are otherwise subject to 40 

CFR part 1051 but not required to be 

certified (such as engines exempted 

under 40 CFR part 1051) are also 

excluded from this part 1054, unless the 

regulations in 40 CFR part 1051 

specifically require them to comply 

with the requirements of this part 1054. 

(b) Engines that are certified to meet 

the requirements of 40 CFR part 1048, 

subject to the provisions of § 1054.615. 

(c) Propulsion marine engines. See 40 

CFR parts 91 and 1045. Note that the 

evaporative emission standards of this 

part also do not apply with respect to 

auxiliary marine engines as described in 

§ 1054.20. 

(d) Engines used in reduced-scale 

models of vehicles that are not capable 

of transporting a person. 

§ 1054.10 How is this part organized? 

This part 1054 is divided into the 

following subparts: 

(a) Subpart A of this part defines the 

applicability of this part 1054 and gives 

an overview of regulatory requirements. 

(b) Subpart B of this part describes the 

emission standards and other 

requirements that must be met to certify 

engines under this part. Note that 

§ 1054.145 discusses certain interim 

requirements and compliance 

provisions that apply only for a limited 

time. 

(c) Subpart C of this part describes 

how to apply for a certificate of 

conformity. 

(d) Subpart D of this part describes 

general provisions for testing 

production-line engines. 

(e) Subpart E of this part describes 

general provisions for testing in-use 

engines. 

(f) Subpart F of this part describes 

how to test your engines (including 

references to other parts of the Code of 

Federal Regulations). 

(g) Subpart G of this part and 40 CFR 

part 1068 describe requirements, 

prohibitions, and other provisions that 

apply to engine manufacturers, 

equipment manufacturers, owners, 

operators, rebuilders, and all others. 

(h) Subpart H of this part describes 

how you may generate and use exhaust 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59261 

and evaporative emission credits to 

certify your engines and equipment. 

(i) Subpart I of this part contains 

definitions and other reference 

information. 

§ 1054.15 Do any other CFR parts apply to 

me? 

(a) Part 1060 of this chapter describes 

standards and procedures that apply for 

controlling evaporative emissions from 

engines fueled by gasoline or other 

volatile liquid fuels and the associated 

fuel systems. See §§ 1054.110 and 

1054.112 for information about how that 

part applies. 

(b) Part 1065 of this chapter describes 

procedures and equipment 

specifications for testing engines to 

measure exhaust emissions. Subpart F 

of this part 1054 describes how to apply 

the provisions of part 1065 of this 

chapter to determine whether engines 

meet the exhaust emission standards in 

this part. 

(c) The requirements and prohibitions 

of part 1068 of this chapter apply to 

everyone, including anyone who 

manufactures, imports, installs, owns, 

operates, or rebuilds any of the engines 

subject to this part 1054, or equipment 

containing these engines. 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 exemptions for 

certain engines. 

(4) Importing engines. 

(5) Selective enforcement audits of 

your production. 

(6) Defect reporting and recall. 

(7) Procedures for hearings. 

(d) Other parts of this chapter apply 

if referenced in this part. 

§ 1054.20 What requirements apply to my 

equipment? 

(a) If you manufacture equipment 

using engines certified under this part, 

your equipment must meet all 

applicable emission standards with the 

engine and fuel system installed. 

(b) Except as specified in paragraph (f) 

of this section, all equipment subject to 

the exhaust standards of this part must 

meet the evaporative emission standards 

of 40 CFR part 1060, as described in 

§§ 1054.110 and 1054.112. 

(c) Except as specified in paragraph (f) 

of this section, you must identify and 

label equipment you produce under this 

section consistent with the requirements 

of 40 CFR 1060.135. 

(d) You may need to certify your 

equipment or fuel systems as described 

in 40 CFR 1060.1 and 1060.601. 

(e) You must follow all emissionrelated installation instructions from the 

certifying manufacturers as described in 

§ 1054.130, 40 CFR 1060.130, and 40 

CFR 1068.105. Failure to follow these 

instructions subjects you to civil 

penalties as described in 40 CFR part 

1068, subpart B. 

(f) Motor vehicles and marine vessels 

may contain engines subject to the 

exhaust emission standards in this part 

1054. Evaporative emission standards 

apply to these products as follows: 

(1) Marine vessels using sparkignition engines are subject to the 

requirements of 40 CFR part 1045. The 

vessels are not required to comply with 

the evaporative emission standards and 

related requirements of this part 1054. 

(2) Motor vehicles are subject to the 

requirements of 40 CFR part 86. They 

are not required to comply with the 

evaporative emission standards and 

related requirements of this part 1054. 

§ 1054.30 Submission of information. 

(a) This part includes various 

requirements to record data or other 

information. Refer to § 1054.825 and 40 

CFR 1068.25 regarding recordkeeping 

requirements. If recordkeeping 

requirements are not specified, store 

these records in any format and on any 

media and keep them readily available 

for one year after you send an associated 

application for certification, or one year 

after you generate the data if they do not 

support an application for certification. 

You must promptly send us organized, 

written records in English if we ask for 

them. We may review them at any time. 

(b) The regulations in § 1054.255 and 

40 CFR 1068.101 describe your 

obligation to report truthful and 

complete information and the 

consequences of failing to meet this 

obligation. This includes information 

not related to certification. 

(c) Send all reports and requests for 

approval to the Designated Compliance 

Officer (see § 1054.801). 

(d) Any written information we 

require you to send to or receive from 

another company is deemed to be a 

required record under this section. Such 

records are also deemed to be 

submissions to EPA. We may require 

you to send us these records whether or 

not you are a certificate holder. 

Subpart B—Emission Standards and 

Related Requirements 

§ 1054.101 What emission standards and 

requirements must my engines meet? 

(a) Exhaust emissions. You must show 

that your engines meet the following 

exhaust emission standards, except as 

specified in paragraphs (b) through (d) 

of this section: 

(1) Handheld engines must meet the 

exhaust emission standards in 

§ 1054.103. 

(2) Nonhandheld engines must meet 

the exhaust emission standards in 

§ 1054.105. 

(3) All engines must meet the 

requirements in § 1054.115. 

(b) Evaporative emissions. Except as 

specified in § 1054.20, new equipment 

using engines that run on a volatile 

liquid fuel (such as gasoline) must meet 

the evaporative emission requirements 

of 40 CFR part 1060. The requirements 

of 40 CFR part 1060 that apply are 

considered also to be requirements of 

this part 1054. Marine vessels using 

auxiliary marine engines subject to this 

part must meet the evaporative emission 

requirements in 40 CFR 1045.112 

instead of the evaporative emission 

requirements in this part. We specify 

evaporative emission requirements for 

handheld and nonhandheld equipment 

separately in §§ 1054.110 and 1054.112. 

(c) Wintertime engines. Emission 

standards regulating HC and NOX

exhaust emissions are optional for 

wintertime engines. However, if you 

certify an emission family to such 

standards, those engines are subject to 

all the requirements of this part as if 

these optional standards were 

mandatory. 

(d) Two-stroke snowthrower engines. 

Two-stroke snowthrower engines may 

meet exhaust emission standards that 

apply to handheld engines with the 

same engine displacement instead of the 

nonhandheld standards that would 

otherwise apply. 

(e) Relationship between handheld 

and nonhandheld engines. Any engines 

certified to the nonhandheld emission 

standards in § 1054.105 may be used in 

either handheld or nonhandheld 

equipment. Engines above 80 cc 

certified to the handheld emission 

standards in § 1054.103 may not be used 

in nonhandheld equipment. For 

purposes of the requirements of this 

part, engines at or below 80 cc are 

considered handheld engines, but may 

be installed in either handheld or 

nonhandheld equipment. These engines 

are subject to handheld exhaust 

emission standards; the equipment in 

which they are installed are subject to 

handheld evaporative emission 

standards starting with the model years 

specified in this part 1054. See 

§ 1054.701(c) for special provisions 

related to emission credits for engine 

families with displacement at or below 

80 cc where those engines are installed 

in nonhandheld equipment. 

(f) Interim provisions. It is important 

that you read § 1054.145 to determine if 

there are other interim requirements or 

mstockstill on PROD1PC66 with RULES2

59262 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

interim compliance provisions that 

apply for a limited time. 

§ 1054.103 What exhaust emission 

standards must my handheld engines 

meet? 

(a) Emission standards. Exhaust 

emissions from your handheld engines 

may not exceed the emission standards 

in Table 1 to this section. Measure 

emissions using the applicable steadystate test procedures described in 

subpart F of this part. 

TABLE 1 TO § 1054.103—PHASE 3 

EMISSION STANDARDS FOR

HANDHELD ENGINES (g/kW-hr) 

Engine displacement 

class HC+NOX CO 

Class III .......................... 50 805 

Class IV ......................... 50 805 

Class V .......................... 72 603 

(b) Averaging, banking, and trading. 

You may generate or use emission 

credits under the averaging, banking, 

and trading (ABT) program for HC+NOX

emissions as described in subpart H of 

this part. You may not generate or use 

emission credits for CO emissions. To 

generate or use emission credits, you 

must specify a family emission limit for 

each engine family you include in the 

ABT program. These family emission 

limits serve as the emission standards 

for the engine family with respect to all 

required testing instead of the standards 

specified in this section. An engine 

family meets emission standards even if 

its family emission limit is higher than 

the standard, as long as you show that 

the whole averaging set of applicable 

engine families meets the emission 

standards using emission credits and 

the engines within the family meet the 

family emission limit. The following 

FEL caps are the maximum values you 

may specify for family emission limits: 

(1) 336 g/kW-hr for Class III engines. 

(2) 275 g/kW-hr for Class IV engines. 

(3) 186 g/kW-hr for Class V engines. 

(c) Fuel types. The exhaust emission 

standards in this section apply for 

engines using the fuel type on which the 

engines in the emission family are 

designed to operate. You must meet the 

numerical emission standards for 

hydrocarbons in this section based on 

the following types of hydrocarbon 

emissions for engines powered by the 

following fuels: 

(1) Alcohol-fueled engines: THCE 

emissions. 

(2) Natural gas-fueled engines: NMHC 

emissions. 

(3) Other engines: THC emissions. 

(d) Useful life. Your engines must 

meet the exhaust emission standards in 

paragraph (a) of this section over their 

full useful life as described in 

§ 1054.107. 

(e) Applicability for testing. The 

emission standards in this subpart apply 

to all testing, including certification, 

production-line, and in-use testing. 

§ 1054.105 What exhaust emission 

standards must my nonhandheld engines 

meet? 

(a) Emission standards. Exhaust 

emissions from your engines may not 

exceed the emission standards in Table 

1 to this section. Measure emissions 

using the applicable steady-state test 

procedures described in subpart F of 

this part. 

TABLE 1 TO § 1054.105—PHASE 3 EMISSION STANDARDS FOR NONHANDHELD ENGINES (g/kW-hr) 

Engine displacement class HC+NOX Primary CO 

standard 

CO 

standard 

for marine 

generator 

engines 

Class I ...................................................................................................................................................... 10.0 610 5.0 

Class II ..................................................................................................................................................... 8.0 610 5.0 

(b) Averaging, banking, and trading. 

You may generate or use emission 

credits under the averaging, banking, 

and trading (ABT) program for HC+NOX

emissions as described in subpart H of 

this part. You may not generate or use 

emission credits for CO emissions. To 

generate or use emission credits, you 

must specify a family emission limit for 

each engine family you include in the 

ABT program. These family emission 

limits serve as the emission standards 

for the engine family with respect to all 

required testing instead of the standards 

specified in this section. An engine 

family meets emission standards even if 

its family emission limit is higher than 

the standard, as long as you show that 

the whole averaging set of applicable 

engine families meets the emission 

standards using emission credits, and 

the engines within the family meet the 

family emission limit. The following 

FEL caps are the maximum values you 

may specify for family emission limits: 

(1) 40.0 g/kW-hr for Class I engines 

with displacement below 100 cc. 

(2) 16.1 g/kW-hr for Class I engines 

with displacement at or above 100 cc. 

(3) 12.1 for Class II engines. 

(c) Fuel types. The exhaust emission 

standards in this section apply for 

engines using the fuel type on which the 

engines in the emission family are 

designed to operate. You must meet the 

numerical emission standards for 

hydrocarbons in this section based on 

the following types of hydrocarbon 

emissions for engines powered by the 

following fuels: 

(1) Alcohol-fueled engines: THCE 

emissions. 

(2) Natural gas-fueled engines: NMHC 

emissions. 

(3) Other engines: THC emissions. 

(d) Useful life. Your engines must 

meet the exhaust emission standards in 

paragraph (a) of this section over their 

full useful life as described in 

§ 1054.107. 

(e) Applicability for testing. The 

emission standards in this subpart apply 

to all testing, including certification, 

production-line, and in-use testing. 

§ 1054.107 What is the useful life period 

for meeting exhaust emission standards? 

This section describes an engine 

family’s useful life, which is the period 

during which engines are required to 

comply with all emission standards that 

apply. The useful life period is five 

years or a number of hours of operation, 

whichever comes first, as described in 

this section. 

(a) Determine the useful life period for 

exhaust requirements as follows: 

(1) Except as specified in paragraphs 

(a)(2) and (3) of this section, the useful 

life period for exhaust requirements is 

the number of engine operating hours 

from Table 1 to this section that most 

closely matches the expected median inuse life of your engines. The median inuse life of your engine is the shorter of 

the following values: 

(i) The median in-use life of 

equipment into which the engine is 

expected to be installed. 

(ii) The median in-use life of the 

engine without being scrapped or 

rebuilt. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59263 

TABLE 1 TO § 1054.107—NOMINAL USEFUL LIFE PERIODS

Nonhandheld 

Residential Extended life 

residential 1 Commercial 

Class I .......................................................................................................................................... 125 250 500 

Class II ......................................................................................................................................... 250 500 1,000 

Handheld 

Light use Medium use Heavy use 

Class III—V .................................................................................................................................. 50 125 300 

1Or ‘‘General Purpose.’’ 

(2) You may select a longer useful life 

for nonhandheld engines than that 

specified in paragraph (a)(1) of this 

section in 100-hour increments not to 

exceed 3,000 hours for Class I engines 

or 5,000 hours for Class II engines. For 

engine families generating emission 

credits, you may do this only with our 

approval. These are considered ‘‘Heavy 

Commercial’’ engines. 

(3) The minimum useful life period 

for engines with maximum engine 

power above 19 kW is 1,000 hours (see 

§ 1054.1(d)). 

(b) Keep any available information to 

support your selection and make it 

available to us if we ask for it. We may 

require you to certify to a different 

useful life value from the table if we 

determine that the selected useful life 

value is not justified by the data. We 

may consider any relevant information, 

including your product warranty 

statements and marketing materials 

regarding engine life, in making this 

determination. We may void your 

certificate if we determine that you 

intentionally selected an incorrect 

value. Support your selection based on 

any of the following information: 

(1) Surveys of the life spans of the 

equipment in which the subject engines 

are installed. 

(2) Engineering evaluations of field 

aged engines to ascertain when engine 

performance deteriorates to the point 

where usefulness and/or reliability is 

impacted to a degree sufficient to 

necessitate overhaul or replacement. 

(3) Failure reports from engine 

customers. 

(4) Engineering evaluations of the 

durability, in hours, of specific engine 

technologies, engine materials, or 

engine designs. 

§ 1054.110 What evaporative emission 

standards must my handheld equipment 

meet? 

The following evaporative emission 

requirements apply for handheld 

equipment over a useful life of five 

years: 

(a) Fuel line permeation. Nonmetal 

fuel lines must meet the permeation 

requirements for EPA Nonroad Fuel 

Lines or EPA Cold-Weather Fuel Lines 

as specified in 40 CFR 1060.102. These 

requirements apply starting in the 2012 

model year, except that they apply 

starting in the 2013 model year for 

emission families involving smallvolume emission families that are not 

used in cold-weather equipment. For 

fuel lines used in cold-weather 

equipment, you may generate or use 

emission credits to show compliance 

with these permeation standards 

through 2015 as described in 

§ 1054.145(h). 

(b) Tank permeation. Fuel tanks must 

meet the permeation requirements 

specified in 40 CFR 1060.103. These 

requirements apply for handheld 

equipment starting in the 2010 model 

year, except that they apply starting in 

the 2011 model year for structurally 

integrated nylon fuel tanks, in the 2012 

model year for handheld equipment 

using nonhandheld engines, and in the 

2013 model year for all small-volume 

emission families. For nonhandheld 

equipment using engines at or below 80 

cc, the requirements of this paragraph 

(b) apply starting in the 2012 model 

year. (Note: 40 CFR 90.129 specifies 

emission standards for certain 2009 

model year engines and equipment.) 

You may generate or use emission 

credits to show compliance with the 

requirements of this paragraph (b) under 

the averaging, banking, and trading 

program as described in subpart H of 

this part. FEL caps apply as specified in 

§ 1054.112(b)(1) through (3) starting in 

the 2015 model year. 

(c) Running loss. The running loss 

requirements specified in 40 CFR part 

1060 do not apply for handheld 

equipment. 

(d) Other requirements. The 

provisions of 40 CFR 1060.101(e) and (f) 

include general requirements that apply 

to all nonroad equipment subject to 

evaporative emission standards. 

(e) Engine manufacturers. To the 

extent that engine manufacturers 

produce engines with fuel lines or fuel 

tanks, those fuel-system components 

must meet the requirements specified in 

this section. The timing of new 

standards is based on the date of 

manufacture of the engine. 

§ 1054.112 What evaporative emission 

standards must my nonhandheld 

equipment meet? 

The evaporative emission 

requirements of this section apply 

starting in the 2011 model year for 

equipment using Class II engines and in 

the 2012 model year for equipment 

using Class I engines over a useful life 

of five years. See § 1054.110 for 

requirements that apply for 

nonhandheld equipment using engines 

at or below 80 cc. 

(a) Fuel line permeation. Nonmetal 

fuel lines must meet the permeation 

requirements for EPA Nonroad Fuel 

Lines as specified in 40 CFR 1060.102. 

(b) Tank permeation. Fuel tanks must 

meet the permeation requirements 

specified in 40 CFR 1060.103. 

Equipment manufacturers may generate 

or use emission credits to show 

compliance with the requirements of 

this paragraph (b) under the averaging, 

banking, and trading program as 

described in subpart H of this part. 

Starting in the 2014 model year for Class 

II equipment and in the 2015 model 

year for Class I equipment, the following 

FEL caps represent the maximum values 

for family emission limits that you may 

use for your fuel tanks: 

(1) Except as specified in paragraphs 

(b)(2) of this section, you may not use 

fuel tanks with a family emission limit 

that exceeds 5.0 g/m2/day for testing at 

a nominal temperature of 28 °C, or 8.3 

g/m2/day for testing at a nominal 

temperature of 40 °C. 

(2) For small-volume emission 

families, you may not use fuel tanks 

with a family emission limit that 

exceeds 8.0 g/m2/day for testing at a 

nominal temperature of 28 °C, or 13.3 g/ 

mstockstill on PROD1PC66 with RULES2

59264 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

m2/day for testing at a nominal 

temperature of 40 °C. 

(3) FEL caps do not apply to fuel caps 

that are certified separately to meet 

permeation standards. 

(c) Running loss. Running loss 

requirements apply as specified in 40 

CFR 1060.104. 

(d) Diurnal emissions. Nonhandheld 

equipment may optionally be certified 

to the diurnal emission standards 

specified in 40 CFR 1060.105, in which 

case the permeation standards specified 

in paragraphs (a) and (b) of this section 

do not apply. 

(e) Other requirements. The 

provisions of 40 CFR 1060.101(e) and (f) 

include general requirements that apply 

to all nonroad equipment subject to 

evaporative emission standards. 

(f) Engine manufacturers. To the 

extent that engine manufacturers 

produce engines with fuel lines or fuel 

tanks, those fuel-system components 

must meet the requirements specified in 

this section. The timing of new 

standards is based on the date of 

manufacture of the engine. 

§ 1054.115 What other requirements 

apply? 

The following requirements apply 

with respect to engines that are required 

to meet the emission standards of this 

part: 

(a) Crankcase emissions. Crankcase 

emissions may not be discharged 

directly into the ambient atmosphere 

from any engine throughout its useful 

life, except as follows: 

(1) Snowthrower engines may 

discharge crankcase emissions to the 

ambient atmosphere if the emissions are 

added to the exhaust emissions (either 

physically or mathematically) during all 

emission testing. If you take advantage 

of this exception, you must do the 

following things: 

(i) Manufacture the engines so that all 

crankcase emissions can be routed into 

the applicable sampling systems 

specified in 40 CFR part 1065. 

(ii) Account for deterioration in 

crankcase emissions when determining 

exhaust deterioration factors. 

(2) For purposes of this paragraph (a), 

crankcase emissions that are routed to 

the exhaust upstream of exhaust 

aftertreatment during all operation are 

not considered to be discharged directly 

into the ambient atmosphere. 

(b) Adjustable parameters. Engines 

that have adjustable parameters must 

meet all the requirements of this part for 

any adjustment in the physically 

adjustable range. An operating 

parameter is not considered adjustable if 

you permanently seal it or if it is not 

normally accessible using ordinary 

tools. We may require that you set 

adjustable parameters to any 

specification within the adjustable range 

during any testing, including 

certification testing, production-line 

testing, or in-use testing. You may ask 

us to limit idle-speed or carburetor 

adjustments to a smaller range than the 

physically adjustable range if you show 

us that the engine will not be adjusted 

outside of this smaller range during inuse operation without significantly 

degrading engine performance. 

(c) Altitude adjustments. Engines 

must meet applicable emission 

standards for valid tests conducted 

under the ambient conditions specified 

in 40 CFR 1065.520. Except as specified 

in § 1054.145(c), engines must meet 

applicable emission standards at all 

specified atmospheric pressures, except 

that for atmospheric pressures below 

94.0 kPa you may rely on an altitude kit 

for all testing if you meet the 

requirements specified in § 1054.205(r). 

If you rely on an altitude kit for 

certification, you must identify in the 

owners manual the altitude range for 

which you expect proper engine 

performance and emission control with 

and without the altitude kit; you must 

also state in the owners manual that 

operating the engine with the wrong 

engine configuration at a given altitude 

may increase its emissions and decrease 

fuel efficiency and performance. See 

§ 1054.145(c) for special provisions that 

apply for handheld engines. 

(d) 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. 

(e) Defeat devices. You may not equip 

your engines with a defeat device. A 

defeat device is an auxiliary emission 

control device that reduces the 

effectiveness of emission controls under 

conditions that the engine may 

reasonably be expected to encounter 

during normal operation and use. This 

does not apply for altitude kits installed 

or removed consistent with § 1054.655. 

This also does not apply to auxiliary 

emission control devices you identify in 

your application for certification if any 

of the following is true: 

(1) The conditions of concern were 

substantially included in the applicable 

duty-cycle test procedures described in 

subpart F of this part. 

(2) You show your design is necessary 

to prevent engine (or equipment) 

damage or accidents. 

(3) The reduced effectiveness applies 

only to starting the engine. 

§ 1054.120 What emission-related warranty 

requirements apply to me? 

The requirements of this section 

apply to the manufacturer certifying 

with respect to exhaust emissions. See 

40 CFR part 1060 for the warranty 

requirements related to evaporative 

emissions. 

(a) General requirements. You must 

warrant to the ultimate purchaser and 

each subsequent purchaser that the new 

engine, including all parts of its 

emission control system, meets two 

conditions: 

(1) It is designed, built, and equipped 

so it conforms at the time of sale to the 

ultimate purchaser with the 

requirements of this part. 

(2) It is free from defects in materials 

and workmanship that may keep it from 

meeting these requirements. 

(b) Warranty period. Your emissionrelated warranty must be valid during 

the periods specified in this paragraph 

(b). You may offer an emission-related 

warranty more generous than we 

require. The emission-related warranty 

for the engine may not be shorter than 

any published warranty you offer 

without charge for the engine. Similarly, 

the emission-related warranty for any 

component may not be shorter than any 

published warranty you offer without 

charge for that component. If an engine 

has no hour meter, we base the warranty 

periods in this paragraph (b) only on the 

engine’s age (in years). The warranty 

period begins on the date of sale to the 

ultimate purchaser. The minimum 

warranty periods are as follows: 

(1) The minimum warranty period is 

two years except as allowed under 

paragraph (b)(2) or (3) of this section. 

(2) We may establish a shorter 

warranty period for handheld engines 

subject to severe service in seasonal 

equipment if we determine that these 

engines are likely to operate for a 

number of hours greater than the 

applicable useful life within 24 months. 

You must request this shorter warranty 

period in your application for 

certification or in an earlier submission. 

(3) For engines equipped with hour 

meters, you may deny warranty claims 

for engines that have accumulated a 

number of hours greater than 50 percent 

of the applicable useful life. 

(c) Components covered. The 

emission-related warranty covers all 

components whose failure would 

increase an engine’s emissions of any 

regulated pollutant, including 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59265 

components listed in 40 CFR part 1068, 

Appendix I, and components from any 

other system you develop to control 

emissions. The emission-related 

warranty covers these components even 

if another company produces the 

component. Your emission-related 

warranty does not cover components 

whose failure would not increase an 

engine’s emissions of any regulated 

pollutant. 

(d) Limited applicability. You may 

deny warranty claims under this section 

if the operator caused the problem 

through improper maintenance or use, 

as described in 40 CFR 1068.115. 

(e) Owners manual. Describe in the 

owners manual the emission-related 

warranty provisions from this section 

that apply to the engine. Include 

instructions for obtaining warranty 

service consistent with the requirements 

of paragraph (f) of this section. 

(f) Requirements related to warranty 

claims. You are required at a minimum 

to meet the following conditions to 

ensure that owners will be able to 

promptly obtain warranty repairs: 

(1) You must provide and monitor a 

toll-free telephone number and an email address for owners to receive 

information about how to make a 

warranty claim, and how to make 

arrangements for authorized repairs. 

(2) You must provide a source of 

replacement parts within the United 

States. For parts that you import, this 

requires you to have at least one 

distributor within the United States. 

(3) You must use one of the following 

methods to show that you will generally 

be able to honor warranty claims: 

(i) If you have authorized service 

centers in all U.S. population centers 

with a population of 100,000 or more 

based on the 2000 census, you may limit 

warranty repairs to these service 

providers. 

(ii) You may limit warranty repairs to 

authorized service centers for owners 

located within 100 miles of an 

authorized service center. For owners 

located more than 100 miles from an 

authorized service center, you must 

state in your warranty that you will 

either pay for shipping costs to and from 

an authorized service center, provide for 

a service technician to come to the 

owner to make the warranty repair, or 

pay for the repair to be made at a local 

nonauthorized service center. The 

provisions of this paragraph (f)(3)(ii) 

apply only for the contiguous states, 

excluding the states with high-altitude 

areas identified in 40 CFR part 1068, 

Appendix III. 

(iii) You may use the approach 

described in paragraphs (f)(3)(i) of this 

section for some states and the approach 

described in paragraph (f)(3)(ii) of this 

section for other states. However, you 

must have at least one authorized 

service center in each state unless the 

whole state is within 100 miles of 

authorized service centers in other 

states. 

(4) If your plan for meeting the 

requirements of this paragraph (f) does 

not include at least 100 authorized 

repair facilities in the United States or 

at least one such facility for each 5,000 

engines you sell in the United States, 

you must also post a bond as described 

in § 1054.690 to ensure that you will 

fulfill your warranty-repair 

responsibilities even if you are not 

obligated to post a bond under that 

section. Note that you may post a single 

bond to meet the requirements of this 

section and § 1054.690. 

§ 1054.125 What maintenance instructions 

must I give to buyers? 

Give the ultimate purchaser of each 

new engine written instructions for 

properly maintaining and using the 

engine, including the emission control 

system as described in this section. The 

maintenance instructions also apply to 

service accumulation on your emissiondata engines as described in § 1054.245 

and in 40 CFR part 1065. Note that for 

handheld engines subject to Phase 3 

standards you may perform 

maintenance on emission-data engines 

during service accumulation as 

described in 40 CFR part 90. 

(a) Critical emission-related 

maintenance. Critical emission-related 

maintenance includes any adjustment, 

cleaning, repair, or replacement of 

critical emission-related components. 

This may also include additional 

emission-related maintenance that you 

determine is critical if we approve it in 

advance. You may schedule critical 

emission-related maintenance on these 

components if you meet the following 

conditions: 

(1) You demonstrate that the 

maintenance is reasonably likely to be 

done at the recommended intervals on 

in-use engines. We will accept 

scheduled maintenance as reasonably 

likely to occur if you satisfy any of the 

following conditions: 

(i) You present data showing that any 

lack of maintenance that increases 

emissions also unacceptably degrades 

the engine’s performance. 

(ii) You present survey data showing 

that at least 80 percent of engines in the 

field get the maintenance you specify at 

the recommended intervals. If the 

survey data show that 60 to 80 percent 

of engines in the field get the 

maintenance you specify at the 

recommended intervals, you may ask us 

to consider additional factors such as 

the effect on performance and 

emissions. For example, we may allow 

you to schedule fuel-injector 

replacement as critical emission-related 

maintenance if you have survey data 

showing this is done at the 

recommended interval for 65 percent of 

engines and you demonstrate that 

performance degradation is roughly 

proportional to the degradation in 

emission control for engines that do not 

have their fuel injectors replaced. 

(iii) You provide the maintenance free 

of charge and clearly say so in your 

maintenance instructions. 

(iv) You otherwise show us that the 

maintenance is reasonably likely to be 

done at the recommended intervals. 

(2) You may schedule cleaning or 

changing air filters or changing spark 

plugs at the least frequent interval 

described in the owners manual. See 

§ 1054.245 for testing requirements 

related to these maintenance steps. 

(3) You may not schedule critical 

emission-related maintenance within 

the useful life period for aftertreatment 

devices, pulse-air valves, fuel injectors, 

oxygen sensors, electronic control units, 

superchargers, or turbochargers, except 

as specified in paragraph (b) or (c) of 

this section. 

(b) Recommended additional 

maintenance. You may recommend any 

additional amount of maintenance on 

the components listed in paragraph (a) 

of this section, as long as you state 

clearly that these maintenance steps are 

not necessary to keep the emissionrelated warranty valid. If operators do 

the maintenance specified in paragraph 

(a) of this section, but not the 

recommended additional maintenance, 

this does not allow you to disqualify 

those engines from in-use testing or 

deny a warranty claim. Do not take 

these maintenance steps during service 

accumulation on your emission-data 

engines. 

(c) Special maintenance. You may 

specify more frequent maintenance to 

address problems related to special 

situations, such as atypical engine 

operation. You must clearly state that 

this additional maintenance is 

associated with the special situation you 

are addressing. 

(d) Noncritical emission-related 

maintenance. Subject to the provisions 

of this paragraph (d), you may schedule 

any amount of emission-related 

inspection or maintenance that is not 

covered by paragraph (a) of this section 

(i.e., maintenance that is neither 

explicitly identified as critical emissionrelated maintenance, nor that we 

approve as critical emission-related 

maintenance). Noncritical emissionmstockstill on PROD1PC66 with RULES2

59266 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

related maintenance generally includes 

re-seating valves, removing combustion 

chamber deposits, or any other 

emission-related maintenance on the 

components we specify in 40 CFR part 

1068, Appendix I that is not covered in 

paragraph (a) of this section. You must 

state in the owners manual that these 

steps are not necessary to keep the 

emission-related warranty valid. If 

operators fail to do this maintenance, 

this does not allow you to disqualify 

those engines from in-use testing or 

deny a warranty claim. Do not take 

these inspection or maintenance steps 

during service accumulation on your 

emission-data engines. 

(e) Maintenance that is not 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 emissiondata engines, as long as they are 

reasonable and technologically 

necessary. This might include adding 

engine oil, changing fuel or oil filters, 

servicing engine-cooling systems, and 

adjusting idle speed, governor, engine 

bolt torque, valve lash, or injector lash. 

You may perform this nonemissionrelated maintenance on emission-data 

engines at the least frequent intervals 

that you recommend to the ultimate 

purchaser (but not the intervals 

recommended for severe service). 

(f) Source of parts and repairs. State 

clearly on the first page of your written 

maintenance instructions that a repair 

shop or person of the owner’s choosing 

may maintain, replace, or repair 

emission control devices and systems. 

Your instructions may not require 

components or service identified by 

brand, trade, or corporate name. Also, 

do not directly or indirectly condition 

your warranty on a requirement that the 

engine be serviced by your franchised 

dealers or any other service 

establishments with which you have a 

commercial relationship. You may 

disregard the requirements in this 

paragraph (f) if you do one of two 

things: 

(1) Provide a component or service 

without charge under the purchase 

agreement. 

(2) Get us to waive this prohibition in 

the public’s interest by convincing us 

the engine will work properly only with 

the identified component or service. 

(g) Payment for scheduled 

maintenance. Owners are responsible 

for properly maintaining their engines. 

This generally includes paying for 

scheduled maintenance. However, 

manufacturers must pay for scheduled 

maintenance during the useful life if it 

meets all the following criteria: 

(1) Each affected component was not 

in general use on similar engines before 

1997. 

(2) The primary function of each 

affected component is to reduce 

emissions. 

(3) Failure to perform the 

maintenance would not cause clear 

problems that would significantly 

degrade the engine’s performance. 

(h) Owners manual. Explain the 

owner’s responsibility for proper 

maintenance in the owners manual. 

§ 1054.130 What installation instructions 

must I give to equipment manufacturers? 

(a) If you sell an engine for someone 

else to install in a piece of equipment, 

give the engine installer instructions for 

installing it consistent with the 

requirements of this part. Include all 

information necessary to ensure that an 

engine will be installed in its certified 

configuration. 

(b) Make sure the 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 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 the instructions needed 

to properly install the exhaust system 

and any other components. Include 

instructions consistent with the 

requirements of § 1054.655 related to 

altitude kits. 

(4) Describe the steps needed to 

control evaporative emissions in 

accordance with certificates of 

conformity that you hold. Include 

instructions for connecting fuel lines as 

needed to prevent running loss 

emissions, if applicable. Such 

instructions must include sufficient 

detail to ensure that running loss 

control will not cause the engine to 

exceed exhaust emission standards. For 

example, you may specify a maximum 

vapor flow rate under normal operating 

conditions. Also include notification 

that the installer must meet the 

requirements of § 1054.112 and 40 CFR 

part 1060. 

(5) Describe any limits on the range of 

applications needed to ensure that the 

engine remains in its certified 

configuration after installation. For 

example, if you certify engines only for 

rated-speed applications tell equipment 

manufacturers that the engine must not 

be installed in equipment involving 

intermediate-speed operation. Also, if 

your wintertime engines are not 

certified to the otherwise applicable 

HC+NOX standards, tell equipment 

manufacturers that the engines must be 

installed in equipment that is used only 

in wintertime. 

(6) Describe any other instructions to 

make sure the installed engine will 

operate according to design 

specifications in your application for 

certification. For example, this may 

include specified limits for catalyst 

systems, such as exhaust backpressure, 

catalyst location, and temperature 

profiles during engine operation. 

(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 

equipment, as described in 40 CFR 

1068.105.’’ 

(c) You do not need installation 

instructions for engines you install in 

your own equipment. 

(d) Provide instructions in writing or 

in an equivalent format. For example, 

you may post instructions on a publicly 

available Web site for downloading or 

printing. If you do not provide the 

instructions in writing, explain in your 

application for certification how you 

will ensure that each installer is 

informed of the installation 

requirements. 

§ 1054.135 How must I label and identify 

the engines I produce? 

The provisions of this section apply to 

engine manufacturers. 

(a) Assign each engine a unique 

identification number and permanently 

affix, engrave, or stamp it on the engine 

in a legible way. 

(b) At the time of manufacture, affix 

a permanent and legible label 

identifying each engine. The label must 

be— 

(1) Attached in one piece so it is not 

removable without being destroyed or 

defaced. 

(2) Secured to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(3) Durable and readable for the 

engine’s entire life. 

(4) Written in English. 

(c) The label must conform to the 

following specifications without 

exception: 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. You may identify 

another company and use its trademark 

instead of yours if you comply with the 

provisions of § 1054.640. 

(3) Include EPA’s standardized 

designation for the emission family (and 

subfamily, where applicable). 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59267 

(4) State the following based on the 

useful life requirements in § 1054.107: 

‘‘EMISSION COMPLIANCE PERIOD = 

[identify applicable useful life period] 

HOURS’’. In addition to specifying the 

hours, you may optionally add the 

descriptive terms specified in 

§ 1054.107(a) to characterize the useful 

life. You may use the term Heavy 

Commercial for nonhandheld engines if 

you establish a longer useful life under 

§ 1054.107(a)(2). 

(5) State the engine’s displacement (in 

cubic centimeters); however, you may 

omit this from the label if all the engines 

in the emission family have the same 

per-cylinder displacement and total 

displacement. 

(6) State the date of manufacture 

[DAY (optional), MONTH, and YEAR]; 

however, you may omit this from the 

label if you stamp, engrave, or otherwise 

permanently identify it elsewhere on 

the engine, in which case you must also 

describe in your application for 

certification where you will identify the 

date on the engine. 

(7) Identify the emission control 

system. Use terms and abbreviations as 

described in 40 CFR 1068.45. You may 

omit this information from the label if 

there is not enough room for it and you 

put it in the owners manual instead. 

(8) Include one of the following 

statements: 

(i) If you certify the engine only with 

respect to exhaust emissions, state— 

‘‘THIS ENGINE MEETS U.S. EPA EXH 

REGS FOR [MODEL YEAR].’’ 

(ii) If you certify the engine with 

respect to exhaust emissions and the 

equipment with respect to evaporative 

emissions, state— 

‘‘THIS ENGINE MEETS U.S. EPA EXH/ 

EVP REGS FOR [MODEL YEAR].’’ 

(d) The following information may be 

included on the label or in the owners 

manual: 

(1) List specifications and adjustments 

for engine tuneups. 

(2) Identify the altitude at which an 

altitude kit should be installed if you 

specify an altitude kit under 

§ 1054.115(c). 

(3) Identify the fuel type and any 

requirements for fuel and lubricants. 

(4) If your nonhandheld engines are 

certified for use only at rated speed or 

only at intermediate speed, add the 

statement: ‘‘CERTIFIED FOR [ratedspeed or intermediate-speed] 

APPLICATIONS ONLY’’ or ‘‘CERTIFIED 

FOR [identify nominal engine speed or 

range of speeds for testing] OPERATION 

ONLY’’. 

(e) You may add information to the 

emission control information label as 

follows: 

(1) You may identify other emission 

standards that the engine meets or does 

not meet (such as California standards). 

You may include this information by 

adding it to the statement we specify or 

by including a separate statement. 

(2) You may add other information to 

ensure that the engine will be properly 

maintained and used. 

(3) You may add appropriate features 

to prevent counterfeit labels. For 

example, you may include the engine’s 

unique identification number on the 

label. 

(f) Except for the labeling 

requirements specified in paragraph (c) 

of this section, you may ask us to 

approve modified labeling requirements 

in this part 1054 if you show that it is 

necessary or appropriate. We will 

approve your request if your alternate 

label is consistent with the requirements 

of this part. 

(g) If others install your engine in 

their equipment in a way that obscures 

the engine label such that the label 

cannot be read during normal 

maintenance, we require them to add a 

duplicate label on the equipment (see 40 

CFR 1068.105). If equipment 

manufacturers request it, send them 

labels that include all the information 

from the original label and that are 

clearly identified as duplicate labels. 

You may omit the date of manufacture 

from the duplicate label. Keep a written 

record of each request for five years after 

it is no longer needed for ongoing 

production. 

(h) Integrated equipment 

manufacturers certifying their engines 

and equipment with respect to both 

exhaust and evaporative emission 

standards may meet labeling 

requirements with a single label that has 

all the required information specified in 

this section and in 40 CFR 1060.135. 

§ 1054.140 What is my engine’s maximum 

engine power and displacement? 

This section describes how to 

quantify your engine’s maximum engine 

power and displacement for the 

purposes of this part. 

(a) An engine configuration’s 

maximum engine power is the 

maximum brake power point on the 

nominal power curve for the engine 

configuration, as defined in this section. 

Round the power value to the nearest 

0.1 kilowatts for nonhandheld engines 

and to the nearest 0.01 kilowatts for 

handheld engines. The nominal power 

curve of an engine configuration is the 

relationship between maximum 

available engine brake power and 

engine speed for an engine, using the 

mapping procedures of 40 CFR part 

1065, based on the manufacturer’s 

design and production specifications for 

the engine. For handheld engines, we 

may allow manufacturers to base the 

nominal power curve on other mapping 

procedures, consistent with good 

engineering judgment. This information 

may also be expressed by a torque curve 

that relates maximum available engine 

torque with engine speed. Note that 

maximum engine power is based on 

engines and installed engine governors; 

equipment designs that further limit 

engine operation do not change 

maximum engine power. 

(b) An engine configuration’s 

displacement is the intended swept 

volume of all the engine’s cylinders. 

The swept volume of the engine is the 

product of the internal cross-section 

area of the cylinders, the stroke length, 

and the number of cylinders. Calculate 

the engine’s intended swept volume 

from the design specifications for the 

cylinders using enough significant 

figures to allow determination of the 

displacement to the nearest 0.1 cc. 

Determine the final value by rounding 

to the nearest cubic centimeter. For 

example, for a one-cylinder engine with 

circular cylinders having an internal 

diameter of 6.00 cm and a 6.25 cm 

stroke length, the rounded displacement 

would be: (1) × (6.00/2) 2 × (π) × (6.25) 

= 177 cc. 

(c) The nominal power curve and 

intended swept volume must be within 

the range of the actual power curves and 

swept volumes of production engines 

considering normal production 

variability. If after production begins it 

is determined that either your nominal 

power curve or your intended swept 

volume does not represent production 

engines, we may require you to amend 

your application for certification under 

§ 1054.225. 

§ 1054.145 Are there interim provisions 

that apply only for a limited time? 

The provisions in this section apply 

instead of other provisions in this part. 

This section describes how and when 

these interim provisions apply. 

(a) Delayed Phase 3 implementation 

for engine manufacturers. Small-volume 

engine manufacturers may delay 

complying with the Phase 3 exhaust 

emission standards and requirements 

that would otherwise apply, subject to 

the following conditions: 

(1) You may delay meeting the Phase 

3 exhaust emission standards until 2013 

for Class II engines and until 2014 for 

Class I engines. The running loss 

standards in § 1054.112 also do not 

apply to engines exempted under this 

paragraph (a), or to equipment using 

these engines. 

mstockstill on PROD1PC66 with RULES2

59268 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(2) You must certify your engines 

exempted under this section to the 

Phase 2 standards and requirements 

specified in 40 CFR 90.103 and 

summarized in Appendix I of this part. 

You must meet the labeling 

requirements in 40 CFR 90.114, but use 

the following compliance statement 

instead of the compliance statement in 

40 CFR 90.114(c)(7): ‘‘THIS ENGINE 

COMPLIES WITH U.S. EPA 

REGULATIONS FOR [CURRENT 

MODEL YEAR] NONROAD ENGINES 

UNDER 40 CFR 1054.145(a).’’ 

(3) After the delays indicated in 

paragraph (a)(1) of this section, you 

must comply with the same standards 

and requirements as all other 

manufacturers except as noted 

elsewhere in this section. 

(4) The provisions of this paragraph 

(a) may not be used to circumvent the 

requirements of this part. 

(5) You may continue to generate 

early credits during this two-year period 

as described under § 1054.740 as if the 

Phase 3 emission standards applied 

starting in the 2013 model year for Class 

II engines and in the 2014 model year 

for Class I engines. 

(b) Delayed Phase 3 implementation 

for equipment manufacturers. The 

provisions of § 1054.625 describe how 

manufacturers may produce certain 

numbers of equipment using Class II 

engines that meet Phase 2 standards 

during the first four years that the Phase 

3 standards apply. 

(c) Special provisions for handheld 

engines. The following provisions apply 

for handheld engines: 

(1) You may use the provisions in 40 

CFR 90.104(g) to rely on assigned 

deterioration factors for small-volume 

engine manufacturers and for smallvolume engine families. 

(2) You may perform maintenance on 

emission-data engines during service 

accumulation as described in 40 CFR 

part 90. If your scheduled emissionrelated maintenance falls within 10 

hours of a test point, delay the 

maintenance until the engine reaches 

the test point. Measure emissions before 

and after peforming the maintenance. 

Use the average values from these two 

measurements to calculate deterioration 

factors. The emission-data engine must 

meet applicable emission standards 

before and after maintenance to be 

considered in compliance, as described 

in § 1054.240(a) and (b). 

(3) Engines subject to Phase 3 

emission standards must meet the 

standards at or above barometric 

pressures of 96.0 kPa in the standard 

configuration and are not required to 

meet emission standards at lower 

barometric pressures. This is intended 

to allow testing under most weather 

conditions at all altitudes up to 1,100 

feet above sea level. In your application 

for certification, identify the altitude 

above which you rely on an altitude kit 

to meet emission standards and describe 

your plan for making information and 

parts available such that you would 

reasonably expect that altitude kits 

would be widely used at all such 

altitudes. 

(d) Alignment of model years for 

exhaust and evaporative standards. 

Evaporative emission standards 

generally apply based on the model year 

of the equipment, which is determined 

by the equipment’s date of final 

assembly. However, in the first year of 

new emission standards, equipment 

manufacturers may apply evaporative 

emission standards based on the model 

year of the engine as shown on the 

engine’s emission control information 

label. For example, for the fuel line 

permeation standards starting in 2012, 

equipment manufacturers may order a 

batch of 2011 model year engines for 

installation in 2012 model year 

equipment, subject to the antistockpiling provisions of 40 CFR 

1068.105(a). The equipment with the 

2011 model year engines would not 

need to meet fuel line permeation 

standards, as long as the equipment is 

fully assembled by December 31, 2012. 

(e) Early compliance with evaporative 

emission standards—nonhandheld 

equipment manufacturers. You may 

produce nonhandheld equipment that 

does not meet the otherwise applicable 

evaporative emission standards without 

violating the prohibition in 40 CFR 

1068.101(a)(1) if you earn evaporative 

emission allowances, as follows: 

(1) You may earn an evaporative 

emission allowance from each piece of 

equipment certified to California’s 

evaporative emission standards by 

producing it before the requirements of 

this part start to apply and selling it 

outside of California. You may use an 

evaporative emission allowance by 

selling one piece of equipment that does 

not meet any EPA evaporative emission 

standards even though it is subject to 

the EPA standards. The early-compliant 

equipment must be covered by an EPA 

certificate of conformity (see 40 CFR 

1060.105(e)). 

(2) You may earn an evaporative 

emission allowance with respect to fuel 

tank permeation from each piece of 

equipment certified to EPA’s 

evaporative emission standards by 

selling it outside of California or in an 

application that is preempted from 

California’s standards before EPA’s fuel 

tank permeation standards start to 

apply. The early-compliant fuel tanks 

must be covered by an EPA certificate 

of conformity, though you may 

demonstrate compliance based on the 

specifications and procedures adopted 

by the California Air Resources Board. 

You may use an evaporative emission 

allowance by selling one piece of 

equipment with a fuel tank that does not 

meet the EPA emission standards that 

would otherwise apply. For example, 

you can earn an evaporative emission 

allowance by selling a low-permeation 

fuel tank for Class II equipment before 

the 2011 model year, in which case you 

could sell a piece of Class II equipment 

in 2011 with a high-permeation fuel 

tank. You may not generate allowances 

under this paragraph (e)(2) based on 

your sales of metal fuel tanks. 

(3) Evaporative emission allowances 

you earn under this paragraph (e) from 

equipment with Class I engines may be 

used only for other equipment with 

Class I engines. Similarly, evaporative 

emission allowances you earn under 

this paragraph (e) from equipment with 

Class II engines may be used only for 

other equipment with Class II engines. 

(4) You must label any equipment 

using allowances under this paragraph 

(e) with the following statement: 

‘‘EXEMPT FROM EVAPORATIVE 

STANDARDS UNDER 40 CFR 

1054.145(e)’’. 

(5) You may not use the allowances 

you generate under this paragraph (e) 

for 2014 and later model year 

equipment with Class II engines or for 

2015 and later model year equipment 

with Class I engines. 

(6) Send the Designated Compliance 

Officer the following information for 

each year in which you use the 

provisions of this paragraph (e): 

(i) Send us a report within 45 days 

after the end of the model year 

describing how many pieces of 

equipment you produced in the 

preceding model year that generate 

allowances. You may combine this with 

the reports specified in § 1054.250(a) if 

applicable. 

(ii) Describe the number of equipment 

using allowances under this paragraph 

(e) in your end-of-year reports and final 

reports after the end of the model year 

as described in § 1054.730(a). If you do 

not participate in the averaging, 

banking, and trading program, send this 

information separately within 90 days 

after the end of the model year. 

(f) Early banking for evaporative 

emission standards—handheld 

equipment manufacturers. You may 

earn emission credits for handheld 

equipment you produce before the 

evaporative emission standards of 

§ 1054.110 apply. To do this, your 

equipment must use fuel tanks with a 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59269 

family emission limit below 1.5 g/m2/ 

day (or 2.5 g/m2/day for testing at 40 

°C). Calculate your credits as described 

in § 1054.706 based on the difference 

between the family emission limit and 

1.5 g/m2/day (or 2.5 g/m2/day for testing 

at 40 °C). 

(g) Useful life for evaporative 

emission standards. (1) A useful life 

period of two years applies for fuel 

tanks or fuel caps certified to meet 

permeation emission standards in 2013 

and earlier model years. However, for 

fuel tanks with a family emission limit 

above or below the specified emission 

standard, calculate emission credits 

under § 1054.706 based on a useful life 

of five years. 

(2) A useful life period of two years 

applies for cold-weather fuel lines 

certified to meet permeation emission 

standards in 2012 and 2013. However, 

for fuel lines with a family emission 

limit above or below the specified 

emission standard, calculate emission 

credits under § 1054.706 based on a 

useful life of five years. 

(h) Emission credit program for coldweather fuel lines. In the 2012 through 

2015 model years, certifying equipment 

manufacturers may generate or use 

emission credits for averaging to show 

compliance with the permeation 

standards for cold-weather fuel lines, 

but not for banking or trading, as 

follows: 

(1) To generate or use emission 

credits, apply the provisions of subpart 

H of this part as they apply for fuel 

tanks except as specified in this 

paragraph (h). For example, calculate 

emission credits based on the internal 

surface area of the fuel lines and a fiveyear useful life, even if the standards 

apply temporarily over a shorter useful 

life. 

(2) Establish an FEL for each emission 

family based on emission measurements 

as specified in 40 CFR 1060.515. The 

FEL may not exceed 400 g/m2/day for 

any emission family. 

(3) Use an adjustment factor (AF) of 

1.0 for calculating credits. 

(4) Cold-weather fuel lines are in a 

separate averaging set, which means you 

may not exchange emission credits 

between fuel tanks and fuel lines. 

(i) Use of California data for handheld 

fuel tank permeation. If you certified 

handheld fuel tanks to the permeation 

standards in 40 CFR 90.129 based on 

emission measurements for 

demonstrating compliance with 

emission standards for California, you 

may continue to comply with the 

provisions of 40 CFR 90.129 instead of 

the provisions of § 1054.110(b) for the 

2010 and 2011 model years, provided 

that we allow you to use carryover 

emission data under 40 CFR 1060.235(e) 

for your emission family. 

(j) Continued use of 40 CFR part 90 

test procedures. You may use the test 

procedures for measuring exhaust 

emissions in 40 CFR part 90 instead of 

those in subpart F of this part for 2010 

through 2012 model years. This applies 

for certification, production-line, and 

in-use testing. You may continue to use 

data based on the test procedures in 40 

CFR part 90 for engine families in 2013 

and later model years, provided that we 

allow you to use carryover emission 

data under 40 CFR 1054.235(d) for your 

emission family. You may also use the 

test procedures for measuring exhaust 

emissions in 40 CFR part 90 for 

production-line testing with any engine 

family whose certification is based on 

testing with those procedures. 

(k) Carryover of exhaust emission 

data from Californa ARB procedures. 

You may certify your engines through 

the 2012 model year based on exhaust 

emission data you previously submitted 

to California ARB. This applies for 

certification and production-line testing. 

This paragraph (k) no longer applies 

starting with the 2013 model year. Note 

that other regulatory provisions may 

allow you to use data from California 

ARB for EPA certification in certain 

circumstances. 

(l) [Reserved] 

(m) Delayed compliance for rotationmolded fuel tanks. (1) You may produce 

limited numbers of 2011 and 2012 

model year equipment with rotationmolded fuel tanks that do not meet 

permeation emission standards 

specified in § 1054.112(b) and 40 CFR 

1060.103, subject to the following 

provisions: 

(i) You may use allowances under this 

paragraph (m) only for Class II 

equipment models using identical fuel 

tanks such that the production volumes 

of the fuel tank design used in such 

equipment is no more than 5,000 units 

in the 2011 and 2012 model years, with 

a total corporate allowance of 10,000 

units in 2012. If production volumes are 

greater than 5,000 for a given fuel tank 

design (or greater than 10,000 corporatewide in the 2012 model year), all those 

tanks must comply with emission 

standards. Tanks are generally 

considered identical if they are 

produced under a single part number to 

conform to a single design or blueprint. 

Tanks should be considered identical if 

they differ only with respect to 

production variability, post-production 

changes (such as different fittings or 

grommets), supplier, color, or other 

extraneous design variables. The limit of 

5,000 units for a given fuel tank design 

applies together for the total production 

from any parent or subsidiary 

companies. 

(ii) Include the following statement on 

the emission label specified in 40 CFR 

1060.135: ‘‘EXEMPT FROM TANK 

PERMEATION STANDARDS UNDER 40 

CFR 1054.145’’. 

(iii) You must keep records to 

demonstrate that you do not exceed the 

specified production volumes. Identify 

the number of exempted equipment you 

produced from each model and from 

each production facility. 

(iv) You may not apply the provisions 

of this paragraph (m) for fuel tanks that 

are not rotation-molded or for 

equipment that is not powered by a 

Class II engine. 

(2) Fuel tank manufacturers may 

produce exempted fuel tanks as needed 

for equipment manufacturers under this 

paragraph (m) without our prior 

approval. Fuel tank manufacturers must 

keep records of the number of exempted 

fuel tanks sold to each equipment 

manufacturer. 

(3) Equipment you produce under this 

paragraph (m) are exempt from the 

prohibitions in 40 CFR 1068.101(a)(1) 

with respect to fuel tank permeation 

emissions, subject to the provisions of 

this paragraph (m). However, producing 

more exempted equipment than we 

allow under this paragraph (m) violates 

the prohibitions in 40 CFR 

1068.101(a)(1). Equipment 

manufacturers and fuel tank 

manufacturers must keep the records we 

require under this paragraph (m) until at 

least December 31, 2016 and give them 

to us if we ask for them (see 40 CFR 

1068.101(a)(2)). 

(n) Ethanol-blended test fuel for 

nonhandheld engines. During the first 

two years of the Phase 3 standards, if 

you use an ethanol-blended test fuel for 

certifying a given engine family as 

described in § 1054.501(b)(2), we will 

also use the blended fuel for testing 

engines from that engine family, 

whether or not you use the blended fuel 

for certifying all your Class I (or Class 

II) engine families in that model year. 

Subpart C—Certifying Emission 

Families 

§ 1054.201 What are the general 

requirements for obtaining a certificate of 

conformity? 

Engine manufacturers must certify 

their engines with respect to the exhaust 

emission standards in this part. 

Manufacturers of engines, equipment, or 

fuel-system components may need to 

certify their products with respect to 

evaporative emission standards as 

described in 40 CFR 1060.1 and 

1060.601. The following general 

mstockstill on PROD1PC66 with RULES2

59270 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

requirements apply for obtaining a 

certificate of conformity: 

(a) You must send us a separate 

application for a certificate of 

conformity for each engine family. A 

certificate of conformity is valid starting 

with the indicated effective date but it 

is not valid for any production after 

December 31 of the model year for 

which it is issued. No certificate will be 

issued after December 31 of the model 

year. If you certify with respect to both 

exhaust and evaporative emissions, you 

must submit separate applications. 

(b) The application must contain all 

the information required by this part 

and must not include false or 

incomplete statements or information 

(see § 1054.255). 

(c) We may ask you to include less 

information than we specify in this 

subpart as long as you maintain all the 

information required by § 1054.250. 

(d) You must use good engineering 

judgment for all decisions related to 

your application (see 40 CFR 1068.5). 

(e) An authorized representative of 

your company must approve and sign 

the application. 

(f) See § 1054.255 for provisions 

describing how we will process your 

application. 

(g) We may require you to deliver 

your test engines to a facility we 

designate for our testing (see 

§ 1054.235(c)). 

§ 1054.205 What must I include in my 

application? 

This section specifies the information 

that must be in your application, unless 

we ask you to include less information 

under § 1054.201(c). We may require 

you to provide additional information to 

evaluate your application. The 

provisions of this section apply to 

integrated equipment manufacturers 

and engine manufacturers selling loose 

engines. Nonintegrated equipment 

manufacturers must follow the 

requirements of 40 CFR part 1060. 

(a) Describe the emission family’s 

specifications and other basic 

parameters of the engine’s design and 

emission controls. List the fuel type on 

which your engines are designed to 

operate (for example, all-season 

gasoline). List each distinguishable 

engine configuration in the emission 

family. For each engine configuration in 

which the maximum modal power of 

the emission-data engine is at or above 

25 kW (or power at or above 15 kW if 

displacement is above 1000 cc), list the 

maximum engine power and the range 

of values for maximum engine power 

resulting from production tolerances, as 

described in § 1054.140. 

(b) Explain how the emission control 

systems operate. Describe the 

evaporative emission controls and show 

how your design will prevent running 

loss emissions, if applicable. Also 

describe in detail all system 

components for controlling exhaust 

emissions, including all auxiliary 

emission control devices (AECDs) and 

all fuel-system components you will 

install on any production or test engine. 

Identify the part number of each 

component you describe (or the 

alphanumeric designation for catalysts 

described in § 1054.610, if applicable). 

For this paragraph (b), treat as separate 

AECDs any devices that modulate or 

activate differently from each other. 

Include sufficient detail to allow us to 

evaluate whether the AECDs are 

consistent with the defeat device 

prohibition of § 1054.115. For example, 

if your engines will routinely 

experience in-use operation that differs 

from the specified duty cycle for 

certification, describe how the fuelmetering system responds to varying 

speeds and loads not represented by the 

duty cycle. If you test an emission-data 

engine by disabling the governor for 

full-load operation such that the engine 

operates at an air-fuel ratio significantly 

different than under full-load operation 

with an installed governor, explain why 

these differences are necessary or 

appropriate. For conventional 

carbureted engines without electronic 

fuel controls, it is sufficient to state that 

there is no significant difference in airfuel ratios. 

(c) [Reserved] 

(d) Describe the engines, equipment, 

and fuel system components you 

selected for testing and the reasons for 

selecting them. 

(e) Describe the test equipment and 

procedures that you used, including any 

special or alternate test procedures you 

used. For handheld engines, describe 

how you selected the value for rated 

speed. 

(f) Describe how you operated the 

emission-data engine before testing, 

including the duty cycle and the 

number of engine operating hours used 

to stabilize emission levels. Explain 

why you selected the method of service 

accumulation. Describe any scheduled 

maintenance you did. 

(g) List the specifications of the test 

fuel to show that it falls within the 

required ranges we specify in 40 CFR 

part 1065. 

(h) Identify the emission family’s 

useful life. Describe the basis for 

selecting useful life values with respect 

to exhaust emissions (see § 1054.107). 

(i) Include the maintenance and 

warranty instructions you will give to 

the ultimate purchaser of each new 

engine (see §§ 1054.120 and 1054.125). 

Describe your basis for meeting the 

warranty-assurance provisions in 

§ 1054.120(f). Describe your recall repair 

network if it is different than your 

warranty repair network. State that you 

will post a bond as specified in 

§ 1054.120(f) and 1054.690 or describe 

why those requirements do not apply. 

(j) Include the emission-related 

installation instructions you will 

provide if someone else installs your 

engines in nonroad equipment (see 

§ 1054.130). 

(k) Describe your emission control 

information label (see § 1054.135). 

(l) Identify the emission standards or 

FELs for the emission family. 

(m) Identify the emission family’s 

deterioration factors and describe how 

you developed them (see § 1054.245). 

Present any emission test data you used 

for this. 

(n) State that you operated your 

emission-data engines as described in 

the application (including the test 

procedures, test parameters, and test 

fuels) to show you meet the 

requirements of this part. 

(o) Present emission data to show that 

you meet exhaust emission standards, as 

follows: 

(1) Present emission data for 

hydrocarbons (such as THC, THCE, or 

NMHC, as applicable), NOX, and CO on 

an emission-data engine to show your 

engines meet the applicable exhaust 

emission standards as specified in 

§ 1054.101. Show emission figures 

before and after applying deterioration 

factors for each engine. Include test data 

from each applicable duty cycle 

specified in § 1054.505(b). If we specify 

more than one grade of any fuel type 

(for example, low-temperature and allseason gasoline), you need to submit 

test data only for one grade, unless the 

regulations of this part specify 

otherwise for your engine. 

(2) Note that §§ 1054.235 and 

1054.245 allow you to submit an 

application in certain cases without new 

emission data. 

(p) Report all test results, including 

those from invalid tests, whether or not 

they were conducted according to the 

test procedures of subpart F of this part. 

If you measure CO2, report those 

emission levels (in g/kW-hr). We may 

ask you to send other information to 

confirm that your tests were valid under 

the requirements of this part and 40 CFR 

parts 1060 and 1065. 

(q) Describe all adjustable operating 

parameters (see § 1054.115(b)), 

including production tolerances. 

Include the following in your 

description of each parameter: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59271 

(1) The nominal or recommended 

setting. 

(2) The intended physically adjustable 

range. 

(3) The limits or stops used to 

establish adjustable ranges. 

(4) Information showing why the 

limits, stops, or other means of 

inhibiting adjustment are effective in 

preventing adjustment of parameters on 

in-use engines to settings outside your 

intended physically adjustable ranges. 

(r) Describe how your nonhandheld 

engines comply with emission 

standards at varying atmospheric 

pressures. Include a description of 

altitude kits you design to comply with 

the requirements of § 1054.115(c). 

Identify the part number of each 

component you describe. Identify the 

altitude range for which you expect 

proper engine performance and 

emission control with and without the 

altitude kit. State that your engines will 

comply with applicable emission 

standards throughout the useful life 

with the altitude kit installed according 

to your instructions. Describe any 

relevant testing, engineering analysis, or 

other information in sufficient detail to 

support your statement. In addition, 

describe your plan for making 

information and parts available such 

that you would reasonably expect that 

altitude kits would be widely used in 

the high-altitude counties specified in 

40 CFR part 1068, Appendix III. For 

example, engine owners should have 

ready access to information describing 

when an altitude kit is needed and how 

to obtain this service. Similarly, parts 

and service information should be 

available to qualified service facilities in 

addition to authorized service centers if 

that is needed for owners to have such 

altitude kits installed locally. 

(s) If your engines are subject to 

handheld emission standards on the 

basis of meeting weight limitations 

described in the definition of 

‘‘handheld’’ in § 1054.801, describe your 

analysis showing that you meet the 

applicable weight-related restrictions. 

(t) State whether your certification is 

limited for certain engines. If this is the 

case, describe how you will prevent use 

of these engines in applications for 

which they are not certified. This 

applies for engines such as the 

following: 

(1) Wintertime engines not certified to 

the specified HC+NOX standard. 

(2) Two-stroke snowthrower engines 

using the provisions of § 1054.101(d). 

(u) Unconditionally certify that all the 

engines in the emission family comply 

with the requirements of this part, other 

referenced parts of the CFR, and the 

Clean Air Act. 

(v) Include good-faith estimates of 

U.S.-directed production volumes. 

Include a justification for the estimated 

production volumes if they are 

substantially different than actual 

production volumes in earlier years for 

similar models. Also indicate whether 

you expect the engine family to contain 

only nonroad engines, only stationary 

engines, or both. 

(w) State that you will post a bond as 

specified in § 1054.690 or describe why 

those requirements do not apply. 

(x) Include the information required 

by other subparts of this part. For 

example, include the information 

required by § 1054.725 if you participate 

in the ABT program. 

(y) Include other applicable 

information, such as information 

specified in this part or 40 CFR part 

1068 related to requests for exemptions. 

(z) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

(aa) For imported engines or 

equipment, identify the following: 

(1) The port(s) at which you have 

imported your engines (or equipment 

containing your engines) over the 

previous 12 months. 

(2) The names and addresses of the 

agents you have authorized to import 

your engines or equipment. 

(3) The location of a test facility in the 

United States where you can test your 

engines if we select them for testing 

under a selective enforcement audit, as 

specified in 40 CFR part 1068, subpart 

E. 

§ 1054.210 May I get preliminary approval 

before I complete my application? 

If you send us information before you 

finish the application, we will review it 

and make any appropriate 

determinations, especially for questions 

related to emission family definitions, 

auxiliary emission control devices, 

deterioration factors, useful life, testing 

for service accumulation, maintenance, 

and delegated final assembly. Decisions 

made under this section are considered 

to be preliminary approval, subject to 

final review and approval. We will 

generally not reverse a decision where 

we have given you preliminary 

approval, unless we find new 

information supporting a different 

decision. If you request preliminary 

approval related to the upcoming model 

year or the model year after that, we will 

make the appropriate determinations as 

soon as practicable. We will generally 

not provide preliminary approval 

related to a future model year more than 

two years ahead of time. 

§ 1054.220 How do I amend the 

maintenance instructions in my 

application? 

You may amend your emissionrelated maintenance instructions after 

you submit your application for 

certification as long as the amended 

instructions remain consistent with the 

provisions of § 1054.125. You must send 

the Designated Compliance Officer a 

written request to amend your 

application for certification for an 

engine family if you want to change the 

emission-related maintenance 

instructions in a way that could affect 

emissions. In your request, describe the 

proposed changes to the maintenance 

instructions. If operators follow the 

original maintenance instructions rather 

than the newly specified maintenance, 

this does not allow you to disqualify 

those engines from in-use testing or 

deny a warranty claim. 

(a) If you are decreasing, replacing, or 

eliminating any specified maintenance, 

you may distribute the new 

maintenance instructions to your 

customers 30 days after we receive your 

request, unless we disapprove your 

request. This would generally include 

replacing one maintenance step with 

another. We may approve a shorter time 

or waive this requirement. 

(b) If your requested change would 

not decrease the specified maintenance, 

you may distribute the new 

maintenance instructions anytime after 

you send your request. For example, 

this paragraph (b) would cover adding 

instructions to increase the frequency of 

filter changes for engines in severe-duty 

applications. 

(c) You need not request approval if 

you are making only minor corrections 

(such as correcting typographical 

mistakes), clarifying your maintenance 

instructions, or changing instructions 

for maintenance unrelated to emission 

control. We may ask you to send us 

copies of maintenance instructions 

revised under this paragraph (c). 

§ 1054.225 How do I amend my application 

for certification to include new or modified 

engines or fuel systems or change an FEL? 

Before we issue you a certificate of 

conformity, you may amend your 

application to include new or modified 

engine or fuel-system configurations, 

subject to the provisions of this section. 

After we have issued your certificate of 

conformity, you may send us an 

amended application requesting that we 

include new or modified configurations 

within the scope of the certificate, 

subject to the provisions of this section. 

mstockstill on PROD1PC66 with RULES2

59272 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

You must amend your application if any 

changes occur with respect to any 

information included in your 

application. 

(a) You must amend your application 

before you take any of the following 

actions: 

(1) Add an engine or fuel-system 

configuration to an emission family. In 

this case, the configuration added must 

be consistent with other configurations 

in the emission family with respect to 

the criteria listed in § 1054.230. 

(2) Change a configuration already 

included in an emission family in a way 

that may affect emissions, or change any 

of the components you described in 

your application for certification. This 

includes production and design changes 

that may affect emissions any time 

during the engine’s lifetime. 

(3) Modify an FEL for an emission 

family with respect to exhaust 

emissions as described in paragraph (f) 

of this section. 

(b) To amend your application for 

certification, send the Designated 

Compliance Officer the following 

information: 

(1) Describe in detail the addition or 

change in the model or configuration 

you intend to make. 

(2) Include engineering evaluations or 

data showing that the amended 

emission family complies with all 

applicable requirements. You may do 

this by showing that the original 

emission-data engine or emission-data 

equipment is still appropriate for 

showing that the amended family 

complies with all applicable 

requirements. 

(3) If the original emission-data 

engine for the engine family is not 

appropriate to show compliance for the 

new or modified engine configuration, 

include new test data showing that the 

new or modified engine configuration 

meets the requirements of this part. 

(c) We may ask for more test data or 

engineering evaluations. You must give 

us these within 30 days after we request 

them. 

(d) For emission families already 

covered by a certificate of conformity, 

we will determine whether the existing 

certificate of conformity covers your 

new or modified configuration. You 

may ask for a hearing if we deny your 

request (see § 1054.820). 

(e) For emission families already 

covered by a certificate of conformity, 

you may start producing the new or 

modified configuration anytime after 

you send us your amended application 

and before we make a decision under 

paragraph (d) of this section. However, 

if we determine that the affected 

configurations do not meet applicable 

requirements, we will notify you to 

cease production of the configurations 

and may require you to recall the engine 

or equipment at no expense to the 

owner. Choosing to produce engines 

under this paragraph (e) is deemed to be 

consent to recall all engines or 

equipment that we determine do not 

meet applicable emission standards or 

other requirements and to remedy the 

nonconformity at no expense to the 

owner. If you do not provide 

information required under paragraph 

(c) of this section within 30 days after 

we request it, you must stop producing 

the new or modified engine or 

equipment. 

(f) You may ask us to approve a 

change to your FEL with respect to 

exhaust emissions in certain cases after 

the start of production. The changed 

FEL may not apply to engines you have 

already introduced into U.S. commerce, 

except as described in this paragraph (f). 

If we approve a changed FEL after the 

start of production, you must identify 

the date or serial number for applying 

the new FEL. If you identify this by 

month and year, we will consider that 

a lowered FEL applies on the last day 

of the month and a raised FEL applies 

on the first day of the month. You may 

ask us to approve a change to your FEL 

in the following cases: 

(1) You may ask to raise your FEL for 

your emission family at any time. In 

your request, you must show that you 

will still be able to meet the emission 

standards as specified in subparts B and 

H of this part. If you amend your 

application by submitting new test data 

to include a newly added or modified 

engine, as described in paragraph (b)(3) 

of this section, use the appropriate FELs 

with corresponding production volumes 

to calculate emission credits for the 

model year, as described in subpart H of 

this part. In all other circumstances, you 

must use the higher FEL for the entire 

family to calculate emission credits 

under subpart H of this part. 

(2) You may ask to lower the FEL for 

your emission family only if you have 

test data from production engines 

showing that emissions are below the 

proposed lower FEL. The lower FEL 

does not apply to engines you produce 

before the new FEL starts to apply, as 

specified in this paragraph (f). Use the 

appropriate FELs with corresponding 

production volumes to calculate 

emission credits for the model year, as 

described in subpart H of this part. 

§ 1054.230 How do I select emission 

families? 

(a) For purposes of certification, 

divide your product line into families of 

engines that are expected to have 

similar emission characteristics 

throughout their useful life as described 

in this section. Your emission family is 

limited to a single model year. For 

evaporative emissions, group engines 

into emission families as described in 

40 CFR 1060.230. 

(b) Group engines into the same 

emission family for exhaust emissions if 

they are the same in all the following 

aspects: 

(1) The combustion cycle and fuel. 

See paragraph (g) of this section for 

special provisions that apply for dualfuel engines. 

(2) The cooling system (liquid-cooled 

vs. air-cooled). 

(3) Valve configuration (for example, 

side-valve vs. overhead valve). 

(4) Method of air aspiration (for 

example, turbocharged vs. naturally 

aspirated). 

(5) The number, location, volume, and 

composition of catalytic converters. 

(6) The number and arrangement of 

cylinders and approximate total 

displacement. 

(7) Engine class, as defined in 

§ 1054.801. 

(8) Method of control for engine 

operation, other than governing 

(mechanical or electronic). 

(9) The numerical level of the 

applicable emission standards. For 

example, an engine family may not 

include engines certified to different 

family emission limits, though you may 

change family emission limits without 

recertifying as specified in § 1054.225. 

(10) Useful life. 

(c) You may subdivide a group that is 

identical under paragraph (b) of this 

section into different emission families 

if you show the expected emission 

characteristics are different during the 

useful life. 

(d) You may group engines that are 

not identical with respect to the things 

listed in paragraph (b) of this section 

into the same emission family, as 

follows: 

(1) In unusual circumstances, you 

may group such engines into the same 

emission family if you show that their 

emission characteristics during the 

useful life will be similar. 

(2) If you are a small-volume engine 

manufacturer, you may group any 

nonhandheld engines with the same 

useful life that are subject to the same 

emission standards into a single 

emission family. 

(3) The provisions of this paragraph 

(d) do not exempt any engines from 

meeting all the applicable standards and 

requirements in subpart B of this part. 

(e) Select test engines from the 

emission family as described in 40 CFR 

1065.401. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59273 

(f) You may combine engines from 

different classes into a single emission 

family under paragraph (d)(1) of this 

section if you certify the emission 

family to the more stringent set of 

standards from the two classes in that 

model year. 

(g) You may certify dual-fuel or 

flexible-fuel engines in a single engine 

family. You may include dedicated-fuel 

versions of this same engine model in 

the same engine family, as long as they 

are identical to the engine configuration 

with respect to that fuel type for the 

dual-fuel or flexible-fuel version of the 

engine. For example, if you produce an 

engine that can alternately run on 

gasoline and natural gas, you can 

include the gasoline-only and natural 

gas-only versions of the engine in the 

same engine family as the dual-fuel 

engine if engine operation on each fuel 

type is identical with or without 

installation of components for operating 

on the other fuel. 

§ 1054.235 What exhaust emission testing 

must I perform for my application for a 

certificate of conformity? 

This section describes the exhaust 

emission testing you must perform to 

show compliance with the emission 

standards in §§ 1054.103 and 1054.105. 

See §§ 1054.240 and 1054.245 and 40 

CFR part 1065, subpart E, regarding 

service accumulation before emission 

testing. 

(a) Select an emission-data engine 

from each engine family for testing as 

described in 40 CFR 1065.401. Select a 

configuration that is most likely to 

exceed the HC+NOX standard, using 

good engineering judgment. 

Configurations must be tested as they 

will be produced, including installed 

governors, if applicable. 

(b) Test your emission-data engines 

using the procedures and equipment 

specified in subpart F of this part. In the 

case of dual-fuel engines, measure 

emissions when operating with each 

type of fuel for which you intend to 

certify the engine. In the case of flexiblefuel engines, measure emissions when 

operating with the fuel mixture that is 

most likely to cause the engine to 

exceed the applicable HC+NOX

emission standard, though you may ask 

us to exclude fuel mixtures that you can 

show are not likely to occur in use. 

(c) We may measure emissions from 

any of your emission-data engines or 

other engines from the emission family, 

as follows: 

(1) We may decide to do the testing 

at your plant or any other facility. If we 

do this, you must deliver the engine to 

a test facility we designate. The engine 

you provide must include appropriate 

manifolds, aftertreatment devices, 

electronic control units, and other 

emission-related components not 

normally attached directly to the engine 

block. If we do the testing at your plant, 

you must schedule it as soon as possible 

and make available the instruments, 

personnel, and equipment we need. 

(2) If we measure emissions on one of 

your engines, the results of that testing 

become the official emission results for 

the engine. 

(3) We may set the adjustable 

parameters of your engine to any point 

within the physically adjustable ranges 

(see § 1054.115(b)). 

(4) We may calibrate your engine 

within normal production tolerances for 

anything we do not consider an 

adjustable parameter. For example, this 

would apply where we determine that 

an engine parameter is not an adjustable 

parameter (as defined in § 1054.801) but 

that it is subject to production 

variability. 

(d) You may ask to use carryover 

emission data from a previous model 

year instead of doing new tests, but only 

if all the following are true: 

(1) The emission family from the 

previous model year differs from the 

current emission family only with 

respect to model year or other 

characteristics unrelated to emissions. 

You may also ask to add a configuration 

subject to § 1054.225. 

(2) The emission-data engine from the 

previous model year remains the 

appropriate emission-data engine under 

paragraph (b) of this section. 

(3) The data show that the emissiondata engine would meet all the 

requirements that apply to the emission 

family covered by the application for 

certification. For engines originally 

tested under the provisions of 40 CFR 

part 90, you may consider those test 

procedures to be equivalent to the 

procedures we specify in subpart F of 

this part. 

(e) We may require you to test another 

engine of the same or different 

configuration in addition to the 

engine(s) tested under paragraph (b) of 

this section. 

(f) If you use an alternate test 

procedure under 40 CFR 1065.10 and 

later testing shows that such testing 

does not produce results that are 

equivalent to the procedures specified 

in subpart F of this part, we may reject 

data you generated using the alternate 

procedure. 

§ 1054.240 How do I demonstrate that my 

emission family complies with exhaust 

emission standards? 

(a) For purposes of certification, your 

emission family is considered in 

compliance with the emission standards 

in § 1054.101(a) if all emission-data 

engines representing that family have 

test results showing deteriorated 

emission levels at or below these 

standards. This includes all test points 

over the course of the durability 

demonstration. Note that your FELs are 

considered to be the applicable 

emission standards with which you 

must comply if you participate in the 

ABT program in subpart H of this part. 

(b) Your engine family is deemed not 

to comply if any emission-data engine 

representing that family has test results 

showing a deteriorated emission level 

for any pollutant that is above an 

applicable emission standard. This 

includes all test points over the course 

of the durability demonstration. 

(c) Determine a deterioration factor to 

compare emission levels from the 

emission-data engine with the 

applicable emission standards. Section 

1054.245 specifies how to test engines 

to develop deterioration factors that 

represent the expected deterioration in 

emissions over your engines’ full useful 

life. Calculate a multiplicative 

deterioration factor as described in 

§ 1054.245(b). If the deterioration factor 

is less than one, use one. Specify the 

deterioration factor to one more 

significant figure than the emission 

standard. You may use assigned 

deterioration factors that we establish 

for up to 10,000 nonhandheld engines 

from small-volume emission families in 

each model year, except that smallvolume engine manufacturers may use 

assigned deterioration factors for any or 

all of their engine families. 

(d) Adjust the official emission results 

for each tested engine at the low-hour 

test point by multiplying the measured 

emissions by the deterioration factor, 

then rounding the adjusted figure to the 

same number of decimal places as the 

emission standard. Compare the 

rounded emission levels to the emission 

standard for each emission-data engine. 

In the case of HC+NOX standards, add 

the official emission results and apply 

the deterioration factor to the sum of the 

pollutants before rounding. However, if 

your deterioration factors are based on 

emission measurements that do not 

cover the engine’s full useful life, apply 

deterioration factors to each pollutant 

and then add the results before 

rounding. 

(e) The provisions of this paragraph 

(e) apply only for engine families with 

a useful life at or below 300 hours. To 

apply the deterioration factor to engines 

other than the original emission-data 

engine, they must be operated for the 

same number of hours before starting 

emission measurements that you used 

mstockstill on PROD1PC66 with RULES2

59274 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

for the original emission-data engine, 

within one hour. For example, if the 

original emission-data engine operated 

for 8 hours before the low-hour 

emission test, operate the other test 

engines for 7 to 9 hours before starting 

emission measurements. 

§ 1054.245 How do I determine 

deterioration factors from exhaust 

durability testing? 

This section describes how to 

determine deterioration factors, either 

with pre-existing test data or with new 

emission measurements. 

(a) You may ask us to approve 

deterioration factors for an emission 

family based on emission measurements 

from similar engines if you have already 

given us these data for certifying other 

engines in the same or earlier model 

years. Use good engineering judgment to 

decide whether the two engines are 

similar. 

(b) If you are unable to determine 

deterioration factors for an emission 

family under paragraph (a) of this 

section, select engines, subsystems, or 

components for testing. Determine 

deterioration factors based on service 

accumulation and related testing. 

Include consideration of wear and other 

causes of deterioration expected under 

typical consumer use. Determine 

deterioration factors as follows: 

(1) Measure emissions from the 

emission-data engine at a low-hour test 

point, at the midpoint of the useful life, 

and at the end of the useful life, except 

as specifically allowed by this 

paragraph (b). You may test at 

additional evenly spaced intermediate 

points. Collect emission data using 

measurements to one more decimal 

place than the emission standard. 

(2) Operate the engine over a 

representative duty cycle for a period at 

least as long as the useful life (in hours). 

You may operate the engine 

continuously. You may also use an 

engine installed in nonroad equipment 

to accumulate service hours instead of 

running the engine only in the 

laboratory. 

(3) In the case of dual-fuel or flexiblefuel engines, you may accumulate 

service hours on a single emission-data 

engine using the type or mixture of fuel 

expected to have the highest 

combustion and exhaust temperatures. 

For dual-fuel engines, you must 

measure emissions on each fuel type at 

each test point. 

(4) You may perform maintenance on 

emission-data engines as described in 

§ 1054.125 and 40 CFR part 1065, 

subpart E. If you change one or more 

spark plugs on an emission-data engine 

as allowed under § 1054.125, you must 

measure emissions before and after this 

maintenance. If you clean or change an 

air filter on an emission-data engine as 

allowed under § 1054.125, you must 

measure emissions before and after 

every second time you perform this 

maintenance. Use the average values 

from these two measurements to 

calculate deterioration factors. The 

emission-data engine must meet 

applicable emission standards before 

and after maintenance to be considered 

in compliance, as described in 

§ 1054.240(a) and (b). 

(5) Calculate your deterioration factor 

using a linear least-squares fit of your 

test data, but treat the low-hour test 

point as occurring at hour zero. Your 

deterioration factor is the ratio of the 

calculated emission level at the point 

representing the full useful life to the 

calculated emission level at zero hours. 

(6) If you test more than one engine 

to establish deterioration factors, 

average the deterioration factors from all 

the engines before rounding. 

(7) If your durability engine fails 

between 80 percent and 100 percent of 

useful life, you may use the last 

emission measurement as the test point 

representing the full useful life, 

provided it occurred after at least 80 

percent of the useful life. 

(8) If your useful life is 1,000 hours or 

longer, and your durability engine fails 

between 50 percent and 100 percent of 

useful life, you may extrapolate your 

emission results to determine the 

emission level representing the full 

useful life, provided emissions were 

measured at least once after 50 percent 

of the useful life. 

(9) Use good engineering judgment for 

all aspects of the effort to establish 

deterioration factors under this 

paragraph (b). 

(10) You may use other testing 

methods to determine deterioration 

factors, consistent with good 

engineering judgment, as long as we 

approve those methods in advance. 

(c) Include the following information 

in your application for certification: 

(1) If you determine your 

deterioration factors based on test data 

from a different emission family, 

explain why this is appropriate and 

include all the emission measurements 

on which you base the deterioration 

factor. 

(2) If you do testing to determine 

deterioration factors, describe the form 

and extent of service accumulation, 

including the method you use to 

accumulate hours. 

§ 1054.250 What records must I keep and 

what reports must I send to EPA? 

(a) Send the Designated Compliance 

Officer information related to your U.S.- 

directed production volumes as 

described in § 1054.345. In addition, 

within 45 days after the end of the 

model year, you must send us a report 

describing information about engines 

you produced during the model year as 

follows: 

(1) State the total production volume 

for each engine family that is not subject 

to reporting under § 1054.345. 

(2) State the total production volume 

for any engine family for which you 

produce engines after completing the 

reports required in § 1054.345. 

(3) If you produced exempted engines 

under the provisions of § 1054.625(j)(1), 

report the number of exempted engines 

you produced for each engine model 

and identify the buyer or shipping 

destination for each exempted engine. 

(4) For production volumes you report 

under this paragraph (a), identify 

whether or not the figures include 

California sales. Include a separate 

count of production volumes for 

California sales if those figures are 

available. 

(b) Organize and maintain the 

following records: 

(1) A copy of all applications and any 

summary information you send us. 

(2) Any of the information we specify 

in § 1054.205 that you were not required 

to include in your application. 

(3) A detailed history of all emissiondata engines. For each engine, describe 

all of the following: 

(i) The emission-data engine’s 

construction, including its origin and 

buildup, steps you took to ensure that 

it represents production engines, any 

components you built specially for it, 

and all the components you include in 

your application for certification. 

(ii) How you accumulated engine 

operating hours (service accumulation), 

including the dates and the number of 

hours accumulated. 

(iii) All maintenance, including 

modifications, parts changes, and other 

service, and the dates and reasons for 

the maintenance. 

(iv) All your emission tests, including 

documentation on routine and standard 

tests, as specified in part 40 CFR part 

1065, and the date and purpose of each 

test. 

(v) All tests to diagnose engine or 

emission control performance, giving 

the date and time of each and the 

reasons for the test. 

(vi) Any other significant events. 

(4) Production figures for each 

emission family divided by assembly 

plant. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59275 

(5) Keep a list of engine identification 

numbers for all the engines you produce 

under each certificate of conformity. 

(c) Keep data from routine emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in this section for 

eight years after we issue your 

certificate. 

(d) Store these records in any format 

and on any media as long as you can 

promptly send us organized, written 

records in English if we ask for them. 

You must keep these records readily 

available. We may review them at any 

time. 

§ 1054.255 What decisions may EPA make 

regarding my certificate of conformity? 

(a) If we determine your application is 

complete and shows that the emission 

family meets all the requirements of this 

part and the Clean Air Act, we will 

issue a certificate of conformity for your 

emission family for that model year. We 

may make the approval subject to 

additional conditions. 

(b) We may deny your application for 

certification if we determine that your 

emission family fails to comply with 

emission standards or other 

requirements of this part or the Clean 

Air Act. We will base our decision on 

all available information. If we deny 

your application, we will explain why 

in writing. 

(c) In addition, we may deny your 

application or suspend or revoke your 

certificate if you do any of the 

following: 

(1) Refuse to comply with any testing, 

reporting, or bonding requirements. 

(2) Submit false or incomplete 

information (paragraph (e) of this 

section applies if this is fraudulent). 

(3) Render inaccurate any test data. 

(4) Deny us from completing 

authorized activities (see 40 CFR 

1068.20). This includes a failure to 

provide reasonable assistance. 

(5) Produce engines or equipment for 

importation into the United States at a 

location where local law prohibits us 

from carrying out authorized activities. 

(6) Fail to supply requested 

information or amend your application 

to include all engines or equipment 

being produced. 

(7) Take any action that otherwise 

circumvents the intent of the Clean Air 

Act or this part. 

(d) We may void your certificate if 

you do not keep the records we require 

or do not give us information as 

required under this part or the Clean Air 

Act. 

(e) We may void your certificate if we 

find that you intentionally submitted 

false or incomplete information. 

(f) If we deny your application or 

suspend, revoke, or void your 

certificate, you may ask for a hearing 

(see § 1054.820). 

Subpart D—Production-line Testing 

§ 1054.300 Applicability. 

This subpart specifies requirements 

for engine manufacturers to test their 

production engines for exhaust 

emissions to ensure that the engines are 

being produced as described in the 

application for certification. The 

production-line verification described 

in 40 CFR part 1060, subpart D, applies 

for equipment and components for 

evaporative emissions. 

§ 1054.301 When must I test my 

production-line engines? 

(a) If you produce engines that are 

subject to the requirements of this part, 

you must test them as described in this 

subpart, except as follows: 

(1) Small-volume engine 

manufacturers may omit testing under 

this subpart. 

(2) We may exempt small-volume 

emission families from routine testing 

under this subpart. Request this 

exemption in your application for 

certification and include your basis for 

projecting a production volume below 

5,000 units. We will approve your 

request if we agree that you have made 

good-faith estimates of your production 

volumes. Your exemption is approved 

when we grant your certificate. You 

must promptly notify us if your actual 

production exceeds 5,000 units during 

the model year. If you exceed the 

production limit or if there is evidence 

of a nonconformity, we may require you 

to test production-line engines under 

this subpart, or under 40 CFR part 1068, 

subpart E, even if we have approved an 

exemption under this paragraph (a)(2). 

(b) We may suspend or revoke your 

certificate of conformity for certain 

engine families if your production-line 

engines do not meet the requirements of 

this part or you do not fulfill your 

obligations under this subpart (see 

§§ 1054.325 and 1054.340). 

(c) Other regulatory provisions 

authorize us to suspend, revoke, or void 

your certificate of conformity, or order 

recalls for engine families, without 

regard to whether they have passed 

these production-line testing 

requirements. The requirements of this 

subpart do not affect our ability to do 

selective enforcement audits, as 

described in 40 CFR part 1068. 

Individual engines in families that pass 

these production-line testing 

requirements must also conform to all 

applicable regulations of this part and 

40 CFR part 1068. 

(d) You may use alternate programs 

for testing production-line engines in 

the following circumstances: 

(1) You may use analyzers and 

sampling systems that meet the fieldtesting requirements of 40 CFR part 

1065, subpart J, but not the otherwise 

applicable requirements in 40 CFR part 

1065 for laboratory testing, to 

demonstrate compliance with emission 

standards if you double the minimum 

sampling rate specified in § 1054.310(b). 

Use measured test results to determine 

whether engines comply with 

applicable standards without applying a 

measurement allowance. This alternate 

program does not require prior approval 

but we may disallow use of this option 

where we determine that use of fieldgrade equipment would prevent you 

from being able to demonstrate that your 

engines are being produced to conform 

to the specifications in your application 

for certification. 

(2) You may ask to use another 

alternate program for testing 

production-line engines. In your 

request, you must show us that the 

alternate program gives equal assurance 

that your products meet the 

requirements of this part. We may waive 

some or all of this subpart’s 

requirements if we approve your 

alternate approach. For example, in 

certain circumstances you may be able 

to give us equal assurance that your 

products meet the requirements of this 

part by using less rigorous measurement 

methods if you offset that by increasing 

the number of test engines. 

(e) If you certify an engine family with 

carryover emission data, as described in 

§ 1054.235(d), 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. 

mstockstill on PROD1PC66 with RULES2

59276 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

§ 1054.305 How must I prepare and test my 

production-line engines? 

This section describes how to prepare 

and test production-line engines. You 

must assemble the test engine in a way 

that represents the assembly procedures 

for other engines in the engine family. 

You must ask us to approve any 

deviations from your normal assembly 

procedures for other production engines 

in the engine family. 

(a) Test procedures. Test your 

production-line engines using the 

applicable testing procedures in subpart 

F of this part to show you meet the 

emission standards in subpart B of this 

part. 

(b) Modifying a test engine. Once an 

engine is selected for testing (see 

§ 1054.310), you may adjust, repair, 

prepare, or modify it or check its 

emissions only if one of the following is 

true: 

(1) You document the need for doing 

so in your procedures for assembling 

and inspecting all your production 

engines and make the action routine for 

all the engines in the engine family. 

(2) This subpart otherwise specifically 

allows your action. 

(3) We approve your action in 

advance. 

(c) Engine malfunction. If an engine 

malfunction prevents further emission 

testing, ask us to approve your decision 

to either repair the engine or delete it 

from the test sequence. 

(d) Setting adjustable parameters. 

Before any test, we may require you to 

adjust any adjustable parameter to any 

setting within its physically adjustable 

range. 

(1) [Reserved] 

(2) We may specify adjustments 

within the physically adjustable range 

by considering their effect on emission 

levels. We may also consider how likely 

it is that someone will make such an 

adjustment with in-use equipment. 

(3) We may specify an air-fuel ratio 

within the adjustable range specified in 

§ 1054.115(b). 

(e) Stabilizing emission levels. Use 

good engineering judgment to operate 

your engines before testing such that 

deterioration factors can be applied 

appropriately. Determine the 

stabilization period as follows: 

(1) For engine families with a useful 

life at or below 300 hours, operate the 

engine for the same number of hours 

before starting emission measurements 

that you used for the emission-data 

engine, within one hour. For example, 

if the emission-data engine operated for 

8 hours before the low-hour emission 

test, operate the test engines for 7 to 9 

hours before starting emission 

measurements. 

(2) For engine families with a useful 

life above 300 hours, operate each 

engine for no more than the greater of 

two periods: 

(i) 12 hours. 

(ii) The number of hours you operated 

your emission-data engine for certifying 

the engine family (see 40 CFR part 1065, 

subpart E, or the applicable regulations 

governing how you should prepare your 

test engine). 

(f) Damage during shipment. If 

shipping an engine to a remote facility 

for production-line testing makes 

necessary an adjustment or repair, you 

must wait until after the initial emission 

test to do this work. We may waive this 

requirement if the test would be 

impossible or unsafe or if it would 

permanently damage the engine. Report 

to us, in your written report under 

§ 1054.345, all adjustments or repairs 

you make on test engines before each 

test. 

(g) Retesting after invalid tests. You 

may retest an engine if you determine 

an emission test is invalid under 

subpart F of this part. Explain in your 

written report reasons for invalidating 

any test and the emission results from 

all tests. If we determine that you 

improperly invalidated a test, we may 

require you to ask for our approval for 

future testing before substituting results 

of the new tests for invalid ones. 

§ 1054.310 How must I select engines for 

production-line testing? 

(a) Test engines from each engine 

family as described in this section based 

on test periods, as follows: 

(1) For engine families with projected 

U.S.-directed production volume of at 

least 1,600, the test periods are 

consecutive quarters (3 months). 

However, if your annual production 

period is less than 12 months long, you 

may take the following alternative 

approach to define quarterly test 

periods: 

(i) If your annual production period is 

120 days or less, the whole model year 

constitutes a single test period. 

(ii) If your annual production period 

is 121 to 210 days, divide the annual 

production period evenly into two test 

periods. 

(iii) If your annual production period 

is 211 to 300 days, divide the annual 

production period evenly into three test 

periods. 

(iv) If your annual production period 

is 301 days or longer, divide the annual 

production period evenly into four test 

periods. 

(2) For engine families with projected 

U.S.-directed production volume below 

1,600, the whole model year constitutes 

a single test period. 

(b) Early in each test period, randomly 

select and test an engine from the end 

of the assembly line for each engine 

family. 

(1) In the first test period for newly 

certified engines, randomly select and 

test one more engine. Then, calculate 

the required sample size for the model 

year as described in paragraph (c) of this 

section. 

(2) In later test periods of the same 

model year, combine the new test result 

with all previous testing in the model 

year. Then, calculate the required 

sample size for the model year as 

described in paragraph (c) of this 

section. 

(3) In the first test period for engine 

families relying on previously submitted 

test data, combine the new test result 

with the last test result from the 

previous model year. Then, calculate 

the required sample size for the model 

year as described in paragraph (c) of this 

section. Use the last test result from the 

previous model year only for this first 

calculation. For all subsequent 

calculations, use only results from the 

current model year. 

(c) Calculate the required sample size 

for each engine family. Separately 

calculate this figure for HC+NOX and 

CO. The required sample size is the 

greater of these calculated values. Use 

the following equation: 

N

t

x STD = ( ) ⋅

( ) −

















+ 95

2

1

σ

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. 

s = Test sample standard deviation (see 

paragraph (c)(2) of this section). 

x = Mean of emission test results of the 

sample. 

STD = Emission standard (or family emission 

limit, if applicable). 

(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 


mstockstill on PROD1PC66 with RULES2ER08OC08.095</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59277 

n t95 n t95 n t95

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 31+ 1.65 

(2) Calculate the standard deviation, 

for the test sample using the following 

formula: 

σ = ( ) −

( ) −















 ∑ X x

n

i

2

1

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 § 1054.315(a)(2)). 

(e) After each new test, recalculate the 

required sample size using the updated 

mean values, standard deviations, and 

the appropriate 95-percent confidence 

coefficient. 

(f) Distribute the remaining engine 

tests evenly throughout the rest of the 

year. You may need to adjust your 

schedule for selecting engines if the 

required sample size changes. If your 

scheduled quarterly testing for the 

remainder of the model year is sufficient 

to meet the calculated sample size, you 

may wait until the next quarter to do 

additional testing. Continue to 

randomly select engines from each 

engine family. 

(g) Continue testing until one of the 

following things happens: 

(1) After completing the minimum 

number of tests required in paragraph 

(b) of this section, the number of tests 

completed in an engine family, n, is 

greater than the required sample size, N, 

and the sample mean, x, is less than or 

equal to the emission standard. For 

example, if N = 5.1 after the fifth test, 

the sample-size calculation does not 

allow you to stop testing. 

(2) The engine family does not 

comply according to § 1054.315. 

(3) You test 30 engines from the 

engine family. 

(4) You test one percent of your 

projected annual U.S.-directed 

production volume for the engine 

family, rounded to the nearest whole 

number. Do not count an engine under 

this paragraph (g)(4) if it fails to meet an 

applicable emission standard. 

(5) You choose to declare that the 

engine family does not comply with the 

requirements of this subpart. 

(h) If the sample-size calculation 

allows you to stop testing for one 

pollutant but not another, you must 

continue measuring emission levels of 

all pollutants for any additional tests 

required under this section. However, 

you need not continue making the 

calculations specified in this subpart for 

the pollutant for which testing is not 

required. This paragraph (h) does not 

affect the number of tests required 

under this section, the required 

calculations in § 1054.315, or the 

remedial steps required under 

§ 1054.320. 

(i) You may elect to test more 

randomly chosen engines than we 

require under this section. Include these 

engines in the sample-size calculations. 

§ 1054.315 How do I know when my engine 

family fails the production-line testing 

requirements? 

This section describes the pass-fail 

criteria for the production-line testing 

requirements. We apply these criteria on 

an emission-family basis. See § 1054.320 

for the requirements that apply to 

individual engines that fail a 

production-line test. 

(a) Calculate your test results as 

follows: 

(1) Initial and final test results. 

Calculate and round the test results for 

each engine. If you do several tests on 

an engine, calculate the initial results 

for each test, then add all the test results 

together and divide by the number of 

tests. Round this final calculated value 

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 § 1054.240(c)). 

(3) Round deteriorated test results. 

Round the results to the number of 

decimal places in the emission standard 

expressed to one more decimal place. 

(b) Construct the following CumSum 

Equation for each engine family for 

HC+NOX and CO emissions: 

Ci = Max [0 or Ci-1 + Xi¥(STD + 0.25 × s)] 

Where: 

Ci = The current CumSum statistic. 

Ci-1 = The previous CumSum statistic. For the 

first test, the CumSum statistic is 0 (i.e., 

C1 = 0). 

Xi = The current emission test result for an 

individual engine. 

STD = Emission standard (or family emission 

limit, if applicable). 

(c) Use final deteriorated test results 

to calculate the variables in the equation 

in paragraph (b) of this section (see 

§ 1054.315(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. You may request 

to amend the application for 

certification to raise the FEL of the 

entire engine family as described in 

§ 1054.225(f). 

(h) If you amend the application for 

certification for an engine family under 

§ 1054.225, do not change any previous 

calculations of sample size or CumSum 

statistics for the model year. 

§ 1054.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

(a) If you have a production-line 

engine with final deteriorated test 

results exceeding one or more emission 

standards (see § 1054.315(a)), the 

certificate of conformity is automatically 

suspended for that failing engine. You 

must take the following actions before 

your certificate of conformity can cover 

that engine: 

(1) Correct the problem and retest the 

engine to show it complies with all 

emission standards. 

(2) Include the test results and 

describe the remedy for each engine in 


mstockstill on PROD1PC66 with RULES2ER08OC08.096</MATH>
59278 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

the written report required under 

§ 1054.345. 

(b) You may request to amend the 

application for certification to raise the 

FEL of the entire engine family at this 

point (see § 1054.225). 

§ 1054.325 What happens if an engine 

family fails the production-line testing 

requirements? 

(a) We may suspend your certificate of 

conformity for an engine family if it fails 

under § 1054.315. 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 § 1054.820). If we 

agree before a hearing occurs that we 

used erroneous information in deciding 

to suspend the certificate, we will 

reinstate the certificate. 

(d) Section 1054.335 specifies steps 

you must take to remedy the cause of 

the engine family’s production-line 

failure. All the engines you have 

produced since the end of the last test 

period are presumed noncompliant and 

should be addressed in your proposed 

remedy. We may require you to apply 

the remedy to engines produced earlier 

if we determine that the cause of the 

failure is likely to have affected the 

earlier engines. 

(e) You may request to amend the 

application for certification to raise the 

FEL of the engine family before or after 

we suspend your certificate as described 

in § 1054.225(f). We will approve your 

request if the failure is not caused by a 

defect and it is clear that you used good 

engineering judgment in establishing 

the original FEL. 

§ 1054.330 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 

§ 1054.315 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. 

§ 1054.335 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. 

§ 1054.340 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 § 1054.335 

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. 

§ 1054.345 What production-line testing 

records must I send to EPA? 

(a) Within 45 days of the end of each 

test period, send us a report with the 

following information: 

(1) Describe any facility used to test 

production-line engines and state its 

location. 

(2) State the total U.S.-directed 

production volume and number of tests 

for each engine family. 

(3) Describe how you randomly 

selected engines. 

(4) Describe each test engine, 

including the engine family’s 

identification and the engine’s model 

year, build date, model number, 

identification number, and number of 

hours of operation before testing. 

(5) Identify how you accumulated 

hours of operation on the engines and 

describe the procedure and schedule 

you used. 

(6) Provide the test number; the date, 

time and duration of testing; test 

procedure; all initial test results; final 

test results; and final deteriorated test 

results for all tests. Provide the emission 

results for all measured pollutants. 

Include information for both valid and 

invalid tests and the reason for any 

invalidation. 

(7) Describe completely and justify 

any nonroutine adjustment, 

modification, repair, preparation, 

maintenance, or test for the test engine 

if you did not report it separately under 

this subpart. Include the results of any 

emission measurements, regardless of 

the procedure or type of engine. 

(8) Provide the CumSum analysis 

required in § 1054.315 and the samplesize calculation required in § 1054.310 

for each engine family. 

(9) Report on each failed engine as 

described in § 1054.320. 

(10) State the date the test period 

ended for each engine family. 

(b) We may ask you to add 

information to your written report so we 

can determine whether your new 

engines conform with the requirements 

of this subpart. We may also ask you to 

send less information. 

(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 1054. We have not changed production 

processes or quality-control procedures for 

test engines in a way that might affect 

emission controls. All the information in this 

report is true and accurate to the best of my 

knowledge. I know of the penalties for 

violating the Clean Air Act and the 

regulations. (Authorized Company 

Representative) 

(d) Send electronic reports of 

production-line testing to the 

Designated Compliance Officer using an 

approved information format. If you 

want to use a different format, send us 

a written request with justification for a 

waiver. 

(e) We will send copies of your 

reports to anyone from the public who 

asks for them. Section 1054.815 

describes how we treat information you 

consider confidential. 

§ 1054.350 What records must I keep? 

(a) Organize and maintain your 

records as described in this section. We 

may review your records at any time. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59279 

(b) Keep paper or electronic records of 

your production-line testing for eight 

years after you complete all the testing 

required for an engine family in a model 

year. 

(c) Keep a copy of the written reports 

described in § 1054.345. 

(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 

§ 1054.345 that you do not include in 

your written reports. 

(e) If we ask, you must give us a more 

detailed description of projected or 

actual production figures for an engine 

family. We may ask you to divide your 

production figures by maximum engine 

power, displacement, fuel type, or 

assembly plant (if you produce engines 

at more than one plant). 

(f) Keep records of the engine 

identification number for each engine 

you produce under each certificate of 

conformity. You may identify these 

numbers as a range. Give us these 

records within 30 days if we ask for 

them. 

(g) We may ask you to keep or send 

other information necessary to 

implement this subpart. 

Subpart E—In-use Testing 

§ 1054.401 General provisions. 

We may perform in-use testing of any 

engines or equipment subject to the 

standards of this part. We will consult 

with you as needed for information or 

special equipment related to testing 

your engines. 

Subpart F—Test Procedures 

§ 1054.501 How do I run a valid emission 

test? 

(a) Applicability. This subpart is 

addressed to you as a manufacturer but 

it applies equally to anyone who does 

testing for you, and to us when we 

perform testing to determine if your 

engines or equipment meet emission 

standards. 

(b) General requirements. Use the 

equipment and procedures for sparkignition engines in 40 CFR part 1065 to 

determine whether engines meet the 

exhaust emission standards, as follows: 

(1) Measure the emissions of all 

regulated pollutants as specified in 

§ 1054.505 and 40 CFR part 1065. See 

§ 1054.650 for special provisions that 

apply for variable-speed engines 

(including engines shipped without 

governors). 

(2) Use the fuels and lubricants 

specified in 40 CFR part 1065, subpart 

H, for all the testing we require in this 

part. Except as specified in paragraph 

(d) of this section, use gasoline meeting 

the specifications described in 40 CFR 

1065.710 for general testing. For service 

accumulation, use the test fuel or any 

commercially available fuel that is 

representative of the fuel that in-use 

engines will use. You may alternatively 

use gasoline blended with ethanol as 

follows: 

(i) For handheld engines, you may use 

the ethanol-blended fuel for certifying 

engines under this part without our 

advance approval. If you use the 

blended fuel for certifying a given 

engine family, you may also use it for 

production-line testing or any other 

testing you perform for that engine 

family under this part. If you use the 

blended fuel for certifying a given 

engine family, we may use the blended 

fuel or the specified gasoline test fuel 

with that engine family. 

(ii) For nonhandheld engines, you 

may use the blended fuel for certifying 

engines under this part without our 

advance approval. If you use the 

blended fuel for certifying a given 

engine family, you must also use it for 

production-line testing or any other 

testing you perform for that engine 

family under this part. If the 

certification of all your Class I (or Class 

II) engine families in a given model year 

is based on test data collected using the 

blended fuel, we will also use the 

blended fuel for testing your Class I (or 

Class II) engines. If the certification of 

some but not all of your Class I (or Class 

II) engine families in a given model year 

is based on test data collected using the 

blended fuel, we may use the blended 

fuel or the specified gasoline test fuel 

for testing any of your Class I (or Class 

II) engines. 

(iii) The blended fuel must consist of 

a mix of gasoline meeting the 

specifications described in 40 CFR 

1065.710 for general testing and fuelgrade ethanol meeting the specifications 

described in 40 CFR 1060.501(c) such 

that the blended fuel has 10.0±1.0 

percent ethanol by volume. You may 

also use ethanol with a higher or lower 

purity if you show us that it will not 

affect your ability to demonstrate 

compliance with the applicable 

emission standards. You do not need to 

measure the ethanol concentration of 

such blended fuels and may instead 

calculate the blended composition by 

assuming that the ethanol is pure and 

mixes perfectly with the base fuel. 

(iv) You may ask to use the provisions 

of this paragraph (b)(2) for a blended 

test fuel containing less than 10 percent 

ethanol if your engine is subject to 

emission standards from other 

organizations that specify testing with 

that fuel. If we approve testing with 

such a fuel, we may test your engines 

with that test fuel, with gasoline, or 

with a 10-percent ethanol blend. 

(3) Ambient conditions for duty-cycle 

testing must be within ranges specified 

in 40 CFR 1065.520, subject to the 

provisions of § 1054.115(c). 

(i) Corrections. Emissions may not be 

corrected for the effects of test 

temperature or pressure. You may 

correct emissions for humidity as 

specified in 40 CFR 1065.670. 

(ii) Intake air temperature. Measure 

engine intake air temperature as 

described in 40 CFR 1065.125, and 

control it if necessary, consistent with 

good engineering judgment. For 

example, since the purpose of this 

requirement is to ensure that the 

measured air temperature is consistent 

with the intake air temperature that 

would occur during in-use operation at 

the same ambient temperature, do not 

cool the intake air and do not measure 

air temperature at a point where engine 

heat affects the temperature 

measurement. 

(4) The provisions of 40 CFR 1065.405 

describes how to prepare an engine for 

testing. However, you may consider 

emission levels stable without 

measurement after 12 hours of engine 

operation, except for the following 

special provisions that apply for engine 

families with a useful life of 300 hours 

or less: 

(i) We will not approve a stabilization 

period longer than 12 hours even if you 

show that emissions are not yet 

stabilized. 

(ii) Identify the number of hours you 

use to stabilize engines for low-hour 

emission measurements. You may 

consider emissions stable at any point 

less than 12 hours. For example, you 

may choose a point at which emission 

levels reach a low value before the 

effects of deterioration are established. 

mstockstill on PROD1PC66 with RULES2

59280 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(5) Prepare your engines for testing by 

installing a governor that you normally 

use on production engines, consistent 

with §§ 1054.235(b) and 1054.505. 

(6) During testing, supply the engine 

with fuel in a manner consistent with 

how it will be supplied with fuel in use. 

If you sell engines with complete fuel 

systems and your production engines 

will be equipped with a vapor line that 

routes running loss vapors into the 

engine’s intake system, measure exhaust 

emissions using a complete fuel system 

representing a production configuration 

that sends fuel vapors to the test 

engine’s intake system in a way that 

represents the expected in-use 

operation. You may alternatively 

demonstrate by engineering analysis 

that your engines will continue to meet 

emission standards for any amount of 

running loss vapor that can reasonably 

be expected during in-use operation. 

(7) Determine the carbon mass 

fraction of fuel, wc, using a calculation 

based on measured fuel properties as 

described in 40 CFR 1065.655(d)(1). You 

may not use the default values specified 

in 40 CFR 1065.655(d)(2). 

(c) Special and alternate procedures. 

You may use special or alternate 

procedures to the extent we allow them 

under 40 CFR 1065.10. The following 

additional provisions apply: 

(1) If you are unable to run the test 

cycle specified in this part for your 

engine, use an alternate test cycle that 

will result in a cycle-weighted emission 

measurement equivalent to the expected 

average in-use emissions. This cycle 

must be approved under 40 CFR 

1065.10. 

(2) Describe in your application for 

certification any specially designed 

fixtures or other hardware if they are 

needed for proper testing of your 

engines. (Note: You do not need to 

specify the size or performance 

characteristics of engine 

dynamometers.) You must send us these 

fixtures or other hardware if we ask for 

them. We may waive the requirement of 

§ 1054.205(aa) to identify a test facility 

in the United States for such engine 

families as long as the projected U.S.- 

directed production volume of all your 

engine families using the provisions of 

this paragraph (c)(2) is less than 5 

percent of your total production volume 

from all engine families certified under 

this part 1054. 

(d) Wintertime engines. You may test 

wintertime engines at the ambient 

temperatures specified in 40 CFR 

1065.520, even though this does not 

represent in-use operation for these 

engines (40 CFR 1065.10(c)(1)). In this 

case, you may use good engineering 

judgment to modify the test engine as 

needed to achieve intake temperatures 

that are analogous to in-use conditions. 

You may also test wintertime engines at 

reduced ambient temperatures as 

specified in 40 CFR 1051.505. Use the 

gasoline specified for low-temperature 

testing only if you test your engines at 

ambient temperatures below 20 °C. 

§ 1054.505 How do I test engines? 

(a) This section describes how to test 

engines under steady-state conditions. 

For handheld engines you must perform 

tests with discrete-mode sampling. For 

nonhandheld engines we allow you to 

perform tests with either discrete-mode 

or ramped-modal testing methods. You 

must use the same modal testing 

method for certification and all other 

testing you perform for an engine 

family. If we test your engines to 

confirm that they meet emission 

standards, we will use the modal testing 

method you select for your own testing. 

If you submit certification test data 

collected with both discrete-mode and 

ramped-modal testing (either in your 

original application or in an amendment 

to your application), either method may 

be used for subsequent testing. We may 

also perform other testing as allowed by 

the Clean Air Act. Conduct duty-cycle 

testing as follows: 

(1) For discrete-mode testing, sample 

emissions separately for each mode, 

then calculate an average emission level 

for the whole cycle using the weighting 

factors specified for each mode. In each 

mode, operate the engine for at least 5 

minutes, then sample emissions for at 

least 1 minute. Control engine speed as 

specified in this section. Use one of the 

following methods for confirming 

torque values for nonhandheld engines: 

(i) Calculate torque-related cycle 

statistics and compare with the 

established criteria as specified in 40 

CFR 1065.514 to confirm that the test is 

valid. 

(ii) Evaluate each mode separately to 

validate the duty cycle. All torque 

feedback values recorded during nonidle sampling periods must be within ±2 

percent of the reference value or within 

±0.27 N·m of the reference value, 

whichever is greater. Also, the mean 

torque value during non-idle sampling 

periods must be within ±1 percent of the 

reference value or ±0.12 N·m of the 

reference value, whichever is greater. 

Control torque during idle as specified 

in paragraph (c) of this section. 

(2) For ramped-modal testing, start 

sampling at the beginning of the first 

mode and continue sampling until the 

end of the last mode. Calculate 

emissions and cycle statistics the same 

as for transient testing as specified in 40 

CFR part 1065. Unless we specify 

otherwise, you may simulate the 

governor for ramped-modal testing 

consistent with good engineering 

judgment. 

(b) Measure emissions by testing the 

engine on a dynamometer with the test 

procedures for constant-speed engines 

in 40 CFR part 1065 while using one of 

the steady-state duty cycles identified in 

this paragraph (b) to determine whether 

it meets the exhaust emission standards 

specified in § 1054.101(a). This 

requirement applies for all engines, 

including those not meeting the 

definition of ‘‘constant-speed engine’’ in 

40 CFR 1065.1001. 

(1) For handheld engines, use the twomode duty cycle described in paragraph 

(a) of Appendix II of this part. Establish 

an engine’s rated speed as follows: 

(i) For ungoverned handheld engines 

used in fixed-speed applications all 

having approximately the same nominal 

in-use operating speed, hold engine 

speed within 350 rpm of the nominal 

speed for testing. We may allow you to 

include in your engine family without 

additional testing a small number 

engines that will be installed such that 

they have a different nominal speed. If 

your engine family includes a majority 

of engines with approximately the same 

nominal in-use operating speed and a 

substantial number of engines with 

different nominal speeds, you must test 

engines as specified in this paragraph 

(b)(1)(i) and paragraph (b)(1)(ii) of this 

section. 

(ii) For ungoverned handheld engines 

for which there is not a dominant value 

for nominal in-use operating speeds, 

hold engine speed within 350 rpm of 

the point at which the engine generates 

maximum power. 

(iii) For governed handheld engines, 

hold engine speed at maximum test 

speed, as defined in 40 CFR 1065.1001. 

(2) For nonhandheld engines, use the 

six-mode duty cycle or the 

corresponding ramped-modal cycle 

described in paragraph (b) of Appendix 

II of this part. Control engine speeds and 

torques during idle mode as specified in 

paragraph (c) of this section and during 

full-load operating modes as specified 

in paragraph (d) of this section. For all 

other modes, control torque as needed 

to meet the cycle-validation criteria in 

40 CFR 1065.514; control the engine 

speed to within 5 percent of the 

nominal speed specified in paragraph 

(d) of this section or let the installed 

governor (in the production 

configuration) control engine speed. The 

governor may be adjusted before 

emission sampling to target the nominal 

speed identified in paragraph (d) of this 

section, but the installed governor must 

control engine speed throughout the 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59281 

emission-sampling period whether the 

governor is adjusted or not. Note that 

ramped-modal testing involves 

continuous sampling, so governor 

adjustments may not occur during such 

a test. Note also that our testing may 

involve running the engine with the 

governor in the standard configuration 

even if you adjust the governor as 

described in this paragraph (a)(2) for 

certification or production-line testing. 

(c) During idle mode for nonhandheld 

engines, operate the engine with the 

following parameters: 

(1) Allow the engine to operate at the 

idle speed determined by the installed 

governor. If any production engines 

from the engine family have a userselectable idle speed, operate the engine 

with an installed governor that controls 

engine speed to the lowest available 

speed setting. 

(2) Keep engine torque under 5 

percent of the nominal torque value for 

Mode 1. 

(3) You must conduct testing at the 

idle mode even if the allowable torque 

values overlap with those for another 

specified mode. 

(d) During full-load operation for 

nonhandheld engines, operate the 

engine with the following parameters: 

(1) In normal circumstances, select a 

test speed of either 3060 rpm or 3600 

rpm that is most appropriate for the 

engine family. If all the engines in the 

engine family are used in intermediatespeed equipment, select a test speed of 

3060 rpm. The test associated with 

intermediate-speed operation is referred 

to as the A Cycle. If all the engines in 

the engine family are used in ratedspeed equipment, select a test speed of 

3600 rpm. The test associated with 

rated-speed operation is referred to as 

the B Cycle. If an engine family includes 

engines used in both intermediate-speed 

equipment and rated-speed equipment, 

select the test speed for emission-data 

engines that will result in worst-case 

emissions. In unusual circumstances, 

you may ask to use a test speed different 

than that specified in this paragraph 

(d)(1) if it better represents in-use 

operation. 

(2) Operate the engine ungoverned at 

wide-open throttle at the test speed 

established in paragraph (d)(1) of this 

section until the engine reaches thermal 

stability as described in 40 CFR 

1065.530(a)(2)(ii). Record the torque 

value after stabilization. Use this value 

for the full-load torque setting and for 

denormalizing the rest of the duty cycle. 

(3) Control engine speed during 

emission sampling to stay within 5 

percent of the nominal speed identified 

in paragraph (d)(1) of this section. 

(4) The provisions of this paragraph 

(d) apply instead of the engine mapping 

procedures in 40 CFR 1065.510. 

(e) See 40 CFR part 1065 for detailed 

specifications of tolerances and 

calculations. 

§ 1054.520 What testing must I perform to 

establish deterioration factors? 

Sections 1054.240 and 1054.245 

describe the required methods for 

testing to establish deterioration factors 

for an emission family. 

Subpart G—Special Compliance 

Provisions 

§ 1054.601 What compliance provisions 

apply to these engines? 

(a) Engine and equipment 

manufacturers, as well as owners, 

operators, and rebuilders of engines 

subject to the requirements of this part, 

and all other persons, must observe the 

provisions of this part, the requirements 

and prohibitions in 40 CFR part 1068, 

and the provisions of the Clean Air Act. 

(b) Note that the provisions of 40 CFR 

1068.103(f) prohibit engine 

manufacturers from deviating from 

normal production and inventory 

practices to stockpile engines with a 

date of manufacture before new or 

changed emission standards take effect. 

If your normal practice for producing 

engines subject to this part 1054 

includes maintaining engines in 

inventory for some engine families for 

more than 12 months, you must get our 

prior approval to continue this practice 

for model years in which emission 

standards change. Include in your 

request information showing that this is 

necessary and it is consistent with your 

normal business practice. Unless we 

specify otherwise, include relevant 

inventory and production records from 

the preceding eight years. Note that 40 

CFR 1068.103(f) applies to any engines 

inventoried beyond your normal 

practice and authorizes us to review 

your records to verify your normal 

practices, whether or not you maintain 

the engines in inventory for more than 

12 months. 

§ 1054.610 What is the exemption for 

delegated final assembly? 

The provisions of 40 CFR 1068.261 

related to delegated final assembly do 

not apply for handheld engines certified 

under this part 1054. The provisions of 

40 CFR 1068.261 apply for nonhandheld 

engines, with the following exceptions 

and clarifications: 

(a) Through the 2014 model year, you 

may use the provisions of this section 

for engines you sell to a distributor, 

where you establish a contractual 

arrangement in which you designate the 

distributor to be your agent in all 

matters related to compliance with the 

requirements of this section. Identify 

each of the distributors you intend to 

designate as your agent under this 

paragraph (a) in your application for 

certification. You may continue to use 

the provisions of this paragraph (a) this 

for later model years for specific 

distributors if we approve it based on 

your clear and convincing 

demonstration that each distributor can 

be expected to comply fully with the 

requirements of this section and 40 CFR 

1068.261. We may set additional 

conditions beyond the provisions 

specified in this section to ensure that 

all engines will be in a certified 

configuration when installed by the 

equipment manufacturer. 

(b) If you identify distributors as your 

agents under paragraph (a) of this 

section, you must perform or arrange for 

audits of all participating distributors 

and equipment manufacturers based on 

the following auditing rate instead of 

the provisions specified in 40 CFR 

1068.261(d)(3)(i) and (ii): 

(1) If you sell engines to 48 or more 

equipment manufacturers under the 

provisions of this section, you must 

annually perform or arrange for audits 

of twelve equipment manufacturers to 

whom you sell engines under this 

section. To select individual equipment 

manufacturers, divide all the affected 

equipment manufacturers into quartiles 

based on the number of engines they 

buy from you; select equal numbers of 

equipment manufacturers from each 

quartile each model year as much as 

possible. Vary the equipment 

manufacturers selected for auditing 

from year to year, though audits may be 

repeated in later model years if you find 

or suspect that a particular equipment 

manufacturer is not properly installing 

aftertreatment devices. 

(2) If you sell engines to fewer than 48 

equipment manufacturers under the 

provisions of this section, set up a plan 

to perform or arrange for audits of each 

equipment manufacturer on average 

once every four model years. 

§ 1054.612 What special provisions apply 

for equipment manufacturers modifying 

certified nonhandheld engines? 

The provisions of this section apply 

for all emission families through the 

2014 model year; starting with the 2015 

model year, these provisions are limited 

to small-volume emission families. 

(a) General provisions. If you buy 

certified nonhandheld engines for 

installation in equipment you produce, 

but you install the engines such that 

they use intake or exhaust systems that 

are not part of the originally certified 

mstockstill on PROD1PC66 with RULES2

59282 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

configuration, you become the engine 

manufacturer for those engines and 

must certify that they will meet 

emission standards. We will allow you 

to utilize the provisions for simplified 

certification specified in paragraph (b) 

of this section, as long as your design 

stays within the overall specifications 

from the original engine manufacturer 

(such as exhaust backpressure) and you 

use a catalyst as described in the 

original engine manufacturer’s 

application for certification. 

(b) Simplified certification. You must 

perform testing with an emission-data 

engine to show that you meet exhaust 

emission standards; however, you may 

use the deterioration factor from the 

original engine manufacturer. The 

production-line testing requirements in 

subpart D of this part do not apply for 

engines certified under this section. You 

must meet all the other requirements 

that apply to engine manufacturers for 

engines subject to standards under this 

part. The engine family must have the 

same useful life value specified by the 

original engine manufacturer for that 

engine. In your application for 

certification describe any differences 

between the original engine 

manufacturer’s design and yours and 

explain why the deterioration data 

generated by the original engine 

manufacturer is appropriate for your 

configuration. 

(c) Engine exemption. As an engine 

manufacturer, you may produce 

nonconforming engines for equipment 

manufacturers as allowed under 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 removable 

label to the engines as described in 40 

CFR 1068.262. 

§ 1054.615 What is the exemption for 

engines certified to standards for Large SI 

engines? 

(a) An engine is exempt from the 

requirements of this part if it is in an 

emission family that has a valid 

certificate of conformity showing that it 

meets emission standards and other 

requirements under 40 CFR part 1048 

for the appropriate model year. 

(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 have the 

certificate required in paragraph (a) of 

this section, they will be subject to the 

provisions of this part. Introducing 

these engines into U.S. commerce 

without a valid exemption or certificate 

of conformity violates the prohibitions 

in 40 CFR 1068.101(a). 

(d) Engines exempted under this 

section are subject to all the 

requirements affecting engines under 40 

CFR part 1048, including evaporative 

emission standards. The requirements 

and restrictions of 40 CFR part 1048 

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 spark-ignition 

engines above 19 kW. 

(e) Engines exempted under this 

section may not generate or use 

emission credits under this part 1054. 

§ 1054.620 What are the provisions for 

exempting engines used solely for 

competition? 

The provisions of this section apply 

for new engines and equipment built on 

or after January 1, 2010. 

(a) We may grant you an exemption 

from the standards and requirements of 

this part for a new engine on the 

grounds that it is to be used solely for 

competition. The requirements of this 

part, other than those in this section, do 

not apply to engines that we exempt for 

use solely for competition. 

(b) We will exempt engines that we 

determine will be used solely for 

competition. The basis of our 

determination is described in 

paragraphs (c) and (d) of this section. 

Exemptions granted under this section 

are good for only one model year and 

you must request renewal for each 

subsequent model year. We will not 

approve your renewal request if we 

determine the engine will not be used 

solely for competition. 

(c) Engines meeting all the following 

criteria are considered to be used solely 

for competition: 

(1) Neither the engine nor any 

equipment containing the engine may 

be displayed for sale in any public 

dealership or otherwise offered for sale 

to the general public. Note that this does 

not preclude display of these engines as 

long as they are not available for sale to 

the general public. 

(2) Sale of the equipment in which the 

engine is installed must be limited to 

professional competition teams, 

professional competitors, or other 

qualified competitors. For replacement 

engines, the sale of the engine itself 

must be limited to professional racing 

teams, professional racers, other 

qualified racers, or to the original 

equipment manufacturer. 

(3) The engine and the equipment in 

which it is installed must have 

performance characteristics that are 

substantially superior to noncompetitive 

models. 

(4) The engines are intended for use 

only as specified in paragraph (e) of this 

section. 

(d) You may ask us to approve an 

exemption for engines not meeting the 

criteria listed in paragraph (c) of this 

section as long as you have clear and 

convincing evidence that the engines 

will be used solely for competition. 

(e) Engines are considered to be used 

solely for competition only if their use 

is limited to competition events 

sanctioned by a state or federal 

government agency or another widely 

recognized public organization with 

authorizing permits for participating 

competitors. Operation of such engines 

may include only racing events, trials to 

qualify for racing events, and practice 

associated with racing events. 

Authorized attempts to set speed 

records are also considered racing 

events. Engines will not be considered 

to be used solely for competition if they 

are ever used for any recreational or 

other noncompetitive purpose. Any use 

of exempt engines in recreational events 

is a violation of 40 CFR 1068.101(b)(4). 

(f) You must permanently label 

engines exempted under this section to 

clearly indicate that they are to be used 

only for competition. Failure to properly 

label an engine will void the exemption 

for that engine. 

(g) If we request it, you must provide 

us any information we need to 

determine whether the engines are used 

solely for competition. This would 

generally include documentation 

regarding the number of engines and the 

ultimate purchaser of each engine as 

well as any documentation showing an 

equipment manufacturer’s request for an 

exempted engine. Keep these records for 

five years. 

§ 1054.625 What requirements apply under 

the Transition Program for Equipment 

Manufacturers? 

The provisions of this section allow 

equipment manufacturers to produce 

equipment with Class II engines that are 

subject to less stringent exhaust 

emission standards after the Phase 3 

emission standards begin to apply. To 

be eligible to use these provisions, you 

must follow all the instructions in this 

section. See § 1054.626 for requirements 

that apply specifically to companies that 

manufacture equipment outside the 

United States and to companies that 

import such equipment without 

manufacturing it. Engines and 

equipment you produce under this 

section are exempt from the 

prohibitions in 40 CFR 1068.101(a)(1) 

with respect to exhaust emissions, 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59283 

subject to the provisions of this section. 

Except as specified in paragraph (e) of 

this section, equipment exempted under 

this section must meet all applicable 

requirements related to evaporative 

emissions. 

(a) General. If you are an equipment 

manufacturer, you may introduce into 

U.S. commerce limited numbers of 

nonroad equipment with Class II 

engines exempted under this section. 

You may use the exemptions in this 

section only if you have primary 

responsibility for designing and 

manufacturing equipment and your 

manufacturing procedures include 

installing some engines in this 

equipment. Consider all U.S.-directed 

equipment production in showing that 

you meet the requirements of this 

section, including those from any parent 

or subsidiary companies and those from 

any other companies you license to 

produce equipment for you. If you 

produce a type of equipment that has 

more than one engine, count each 

engine separately. These provisions are 

available during the first four model 

years that the Phase 3 exhaust emission 

standards apply. 

(b) Allowances. Calculate how many 

pieces of equipment with exempted 

engines you may produce under this 

section by determining your U.S.- 

directed production volume of 

equipment with Class II engines from 

January 1, 2007 through December 31, 

2009, calculating your annual average 

production for this period, and 

multiplying the average value by 0.3. 

The same calculation applies for smallvolume equipment manufacturers, 

except that average annual production is 

multiplied by 2.0. For companies with 

no eligible production in a given year, 

calculate annual average production 

based only on those years in which you 

produce equipment during the specified 

period with Class II engines for sale in 

the United States. Use these allowances 

for equipment using model year 2011 

and later Class II engines. You may use 

these allowances for equipment you 

produce before December 31, 2014. 

(c) Access to exempted engines. You 

may use one of the following 

approaches to get exempted engines 

under this section: 

(1) Request a certain number of 

exempted Class II engines from the 

engine manufacturer as described in 

paragraph (j)(1) of this section. 

(2) You may make arrangements with 

the engine manufacturer to receive an 

engine without an exhaust system and 

install exhaust systems without 

aftertreatment that would otherwise be 

required to meet Phase 3 standards, as 

described in paragraph (j)(2) of this 

section. You must follow the engine 

manufacturer’s instructions for 

installing noncatalyzed mufflers. You 

must keep records to show which 

engines you modify as described in this 

paragraph (c)(2) and make them 

available to the engine manufacturer for 

any auditing under the provisions of 

§ 1054.610. If you do not place the label 

we specify in paragraph (f) of this 

section adjacent to the engine 

manufacturer’s emission control 

information label, you must place an 

additional permanent label as close as 

possible to the engine’s emission control 

information label where it will be 

readily visible in the final installation 

with at least the following items: 

(i) Your corporate name and 

trademark. 

(ii) The following statement: ‘‘THIS 

ENGINE MEETS PHASE 2 STANDARDS 

UNDER § 1054.625(c)(2).’’ 

(d) Inclusion of engines not subject to 

Phase 3 standards. The following 

provisions apply to engines that are not 

subject to Phase 3 standards: 

(1) If you use the provisions of 40 CFR 

1068.105(a) to use up your inventories 

of engines not certified to new emission 

standards, do not include these units in 

your count of equipment with exempted 

engines under paragraph (g)(2) of this 

section. 

(2) If you install engines that are 

exempted from the Phase 3 standards 

for any reason, other than for 

equipment-manufacturer allowances 

under this section, do not include these 

units in your count of equipment with 

exempted engines under paragraph 

(g)(2) of this section. For example, if we 

grant a hardship exemption for the 

engine manufacturer, you may count 

these as compliant engines under this 

section. This paragraph (d)(2) applies 

only if the engine has a permanent label 

describing why it is exempted from the 

Phase 3 standards. 

(e) Standards. If you produce 

equipment with exempted engines 

under this section, the engines must 

meet the Phase 2 emission standards 

specified in 40 CFR part 90. Any 

equipment using exempted engines 

under this section is also exempt from 

the running loss standard specified in 

§ 1054.112. 

(f) Equipment labeling. You must add 

a permanent label, written legibly in 

English, to the engine or another readily 

visible part of each piece of equipment 

with exempted engines you produce 

under this section. This label, which 

supplements the engine manufacturer’s 

emission control information label, 

must include at least the following 

items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) The calendar year in which the 

equipment is manufactured. 

(4) An e-mail address and phone 

number to contact for further 

information, or a Web site that includes 

this contact information. 

(5) The following statement: THIS 

EQUIPMENT [or identify the type of 

equipment] HAS AN ENGINE THAT 

MEETS U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 1054.625. 

(g) Notification and reporting. You 

must notify us of your intent to produce 

equipment under the provisions of this 

section and send us an annual report to 

verify that you are not exceeding the 

production limits for equipment with 

exempted engines, as follows: 

(1) Send the Designated Compliance 

Officer a written notice of your intent 

before you use the provisions of this 

section including all the following: 

(i) Your company’s name and address, 

and your parent company’s name and 

address, if applicable. Also identify the 

names of any other companies operating 

under the same parent company. 

(ii) The name, phone number and email address of a person to contact for 

more information. 

(iii) The calendar years in which you 

expect to use the exemption provisions 

of this section. 

(iv) The name and address of each 

company you expect to produce engines 

for the equipment you manufacture 

under this section. 

(v) How many pieces of equipment 

with exempted engines you may sell 

under this section, as described in 

paragraph (b) of this section. Include 

your production figures for the period 

from January 1, 2007 through December 

31, 2009, including figures broken down 

by equipment model and calendar year. 

You may send corrected figures with 

lower production volumes anytime after 

your initial notification. To make a 

correction for higher production 

volumes, send us the corrected figures 

by September 30, 2010. We may ask you 

to give us additional information to 

confirm your production figures. 

(2) For each year that you use the 

provisions of this section, send the 

Designated Compliance Officer a written 

report by March 31 of the following 

year. Identify the following things in 

your report: 

(i) The total count of equipment with 

exempted engines you sold in the 

preceding year, based on actual U.S.- 

directed production information. If you 

produce equipment in the 2010 calendar 

year with exempted engines from the 

mstockstill on PROD1PC66 with RULES2

59284 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

2011 model year, include these units in 

your March 31, 2012 report. 

(ii) Cumulative figures describing how 

many pieces of equipment with 

exempted engines you have produced 

for all the years you used the provisions 

of this section. 

(iii) The manufacturer of the engine 

installed in the equipment you produce 

under this section, if this is different 

than you specified under paragraph 

(g)(1)(iv) of this section. 

(3) If you send your initial notification 

under paragraph (g)(1) of this section 

after the specified deadline, we may 

approve your use of allowances under 

this section. In your request, describe 

why you were unable to meet the 

deadline. 

(h) Recordkeeping. Keep the following 

records of all equipment with exempted 

engines you produce under this section 

until at least December 31, 2019: 

(1) The model number for each piece 

of equipment. 

(2) Detailed figures for determining 

how many pieces of equipment with 

exempted engines you may produce 

under this section, as described in 

paragraph (b) of this section. 

(3) The notifications and reports we 

require under paragraph (g) of this 

section. 

(i) Enforcement. Producing more 

exempted engines or equipment than we 

allow under this section or installing 

engines that do not meet the emission 

standards of paragraph (e) of this section 

violates the prohibitions in 40 CFR 

1068.101(a)(1). You must give us the 

records we require under this section if 

we ask for them (see 40 CFR 

1068.101(a)(2)). 

(j) Provisions for engine 

manufacturers. As an engine 

manufacturer, use one of the following 

approaches to produce exempted 

engines under this section: 

(1) The provisions of this paragraph 

(j)(1) apply if you do not use the 

delegated-assembly provisions of 

§ 1054.610 for any of the engines in an 

engine family. You must have written 

assurance from equipment 

manufacturers or your authorized 

distributors that they need a certain 

number of exempted engines under this 

section. Keep these records for at least 

five years after you stop producing 

engines under this section. You must 

also send us an annual report of the 

engines you produce under this section, 

as described under § 1054.250(a). The 

engines must meet the emission 

standards in paragraph (e) of this 

section and you must meet all the 

requirements of 40 CFR 1068.265. You 

must meet the labeling requirements in 

40 CFR 90.114, but add the following 

statement instead of the compliance 

statement in 40 CFR 90.114(b)(7): THIS 

ENGINE MEETS U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 1054.625 

AND MUST BE USED ONLY UNDER 

THOSE FLEXIBILITY PROVISIONS. 

(2) The following provisions apply if 

you notify us that you plan to use the 

delegated-assembly provisions of 

§ 1054.610 for one or more equipment 

manufacturers for an engine family: 

(i) Include test data in your 

application for certification showing 

that your engines will meet the 

standards specified in paragraph (e) of 

this section if they have a noncatalyzed 

muffler in place of the aftertreatment 

that is part of the certified configuration. 

Use good engineering judgment for 

these measurements, which may involve 

sampling exhaust upstream of the 

catalyst or operating the engine with a 

noncatalyzed muffler. This may be 

based on emission measurements from 

previous model years if the data is still 

appropriate for the current engine 

configuration. 

(ii) Produce all your engines with the 

emission control information label we 

specify in § 1054.135. The engines must 

also be labeled as specified in 40 CFR 

1068.261. 

(iii) Include in the installation 

instructions required under § 1054.610 

any appropriate instructions or 

limitations on installing noncatalyzed 

mufflers to ensure that the fully 

assembled engine will meet the 

emission standards specified in 

paragraph (e) of this section. You may 

identify an appropriate range of 

backpressures, but this may not involve 

any instructions related to changing the 

fuel system for different fueling rates. 

(iv) Use one of the following 

approaches to properly account for 

emission credits if your engine family 

generates exhaust emission credits 

under subpart H of this part: 

(A) Multiply the credits calculated 

under § 1054.705 by 0.9. This is based 

on the expectation that equipment 

manufacturers will modify 10 percent of 

the engines to no longer meet Phase 3 

standards. 

(B) Include in your emission-credit 

calculations only those engines for 

which you can establish that the 

equipment manufacturer did not use the 

provisions of this section. This would 

involve an evaluation for each affected 

equipment manufacturer. For example, 

under this provision you may count 

emission credits for engines that you 

sell to equipment manufacturers with 

which you have no contract for 

delegated assembly. You may also count 

emission credits for engines that you 

sell to equipment manufacturers with 

which you have a delegated-assembly 

relationship if you confirm that the 

equipment manufacturer did not use the 

provisions of this section for those 

engines. 

(k) Additional exemptions for midsized companies. If your annual 

production of equipment with Class II 

engines in 2007, 2008, and 2009 is 

between 5,000 and 50,000 units, you 

may request additional engine 

allowances under this section. To do 

this, notify us by January 31, 2010 if you 

believe the provisions of this section 

will not allow you to sell certain 

equipment models starting in the 2011 

model year. In your notification, show 

us that you will be able to produce a 

number of Class II equipment models 

representing at least half your total U.S.- 

directed production volume in the 2011 

model year that will be compliant with 

all Phase 3 exhaust and evaporative 

emission standards. Also describe why 

you need more allowances under this 

section to accommodate anticipated 

changes in engine designs resulting 

from engine manufacturers’ compliance 

with changing exhaust emission 

standards. Include a proposal for the 

number of additional allowances you 

would need, with supporting rationale. 

We may approve allowances up to a 

total of 100 percent of the average 

annual U.S.-directed production volume 

you report under paragraph (b) of this 

section (in place of the 30 percent that 

is otherwise allowed). 

§ 1054.626 What special provisions apply 

to equipment imported under the Transition 

Program for Equipment Manufacturers? 

This section describes requirements 

that apply to equipment manufacturers 

using the provisions of § 1054.625 for 

equipment produced outside the United 

States. Note that § 1054.625 limits these 

provisions to equipment manufacturers 

that install some engines and have 

primary responsibility for designing and 

manufacturing equipment. Companies 

that import equipment into the United 

States without meeting these criteria are 

not eligible for allowances under 

§ 1054.625. Such importers may import 

equipment with exempted engines only 

as described in paragraph (b) of this 

section. 

(a) You or someone else may import 

your equipment with exempted engines 

under this section if you comply with 

the provisions in § 1054.625 and 

commit to the following: 

(1) Give any EPA inspector or auditor 

complete and immediate access to 

inspect and audit, as follows: 

(i) Inspections and audits may be 

announced or unannounced. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59285 

(ii) Inspections and audits may be 

performed by EPA employees or EPA 

contractors. 

(iii) You must provide access to any 

location where— 

(A) Any nonroad engine, equipment, 

or vehicle is produced or stored. 

(B) Documents related to 

manufacturer operations are kept. 

(C) Equipment, engines, or vehicles 

are tested or stored for testing. 

(iv) You must provide any documents 

requested by an EPA inspector or 

auditor that are related to matters 

covered by the inspections or audit. 

(v) EPA inspections and audits may 

include review and copying of any 

documents related to demonstrating 

compliance with the exemptions in 

§ 1054.625. 

(vi) EPA inspections and audits may 

include inspection and evaluation of 

complete or incomplete equipment, 

engines, or vehicles, and interviewing 

employees. 

(vii) You must make any of your 

employees available for interview by the 

EPA inspector or auditor, on request, 

within a reasonable time period. 

(viii) You must provide English 

language translations of any documents 

to an EPA inspector or auditor, on 

request, within 10 working days. 

(ix) You must provide Englishlanguage interpreters to accompany EPA 

inspectors and auditors, on request. 

(2) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

(3) The forum for any civil or criminal 

enforcement action related to the 

provisions of this section for violations 

of the Clean Air Act or regulations 

promulgated thereunder shall be 

governed by the Clean Air Act. 

(4) The substantive and procedural 

laws of the United States shall apply to 

any civil or criminal enforcement action 

against you or any of your officers or 

employees related to the provisions of 

this section. 

(5) Provide the notification required 

by § 1054.625(g). Include in the notice 

of intent in § 1054.625(g)(1) a 

commitment to comply with the 

requirements and obligations of 

§ 1054.625 and this section. This 

commitment must be signed by the 

owner or president. 

(6) You, your agents, officers, and 

employees must not seek to detain or to 

impose civil or criminal remedies 

against EPA inspectors or auditors, 

whether EPA employees or EPA 

contractors, for actions performed 

within the scope of EPA employment 

related to the provisions of this section. 

(7) By submitting notification of your 

intent to use the provisions of 

§ 1054.625, producing and exporting for 

resale to the United States nonroad 

equipment under this section, or taking 

other actions to comply with the 

requirements of this part, you, your 

agents, officers, and employees, without 

exception, become subject to the full 

operation of the administrative and 

judicial enforcement powers and 

provisions of the United States as 

described in 28 U.S.C. 1605(a)(2), 

without limitation based on sovereign 

immunity, for conduct that violates the 

requirements applicable to you under 

this part 1054—including such conduct 

that violates 18 U.S.C. 1001, 42 U.S.C. 

7413(c)(2), or other applicable 

provisions of the Clean Air Act—with 

respect to actions instituted against you 

and your agents, officers, and employees 

in any court or other tribunal in the 

United States. 

(8) Any report or other document you 

submit to us must be in the English 

language or include a complete 

translation in English. 

(9) You may be required to post a 

bond to cover any potential enforcement 

actions under the Clean Air Act before 

you or anyone else imports your 

equipment with exempted engines 

under this section, as specified in 

§ 1054.690. Use the bond amount 

specified in § 1054.690 without 

adjusting for inflation. Note that you 

may post a single bond to meet the 

requirements of this section and 

§ 1054.690 together. 

(b) The provisions of this paragraph 

(b) apply to importers that do not install 

engines into equipment and do not have 

primary responsibility for designing and 

manufacturing equipment. Such 

importers may import equipment with 

engines exempted under § 1054.625 

only if each engine is exempted under 

an allowance provided to an equipment 

manufacturer meeting the requirements 

of § 1054.625 and this section. You must 

notify us of your intent to use the 

provisions of this section and send us 

an annual report, as follows: 

(1) Notify the Designated Compliance 

Officer in writing before you use the 

provisions of § 1054.625. Include the 

following information: 

(i) Your company’s name and address, 

and your parent company’s name and 

address, if applicable. 

(ii) The name and address of the 

companies that produce the equipment 

and engines you will be importing 

under this section. 

(iii) Your best estimate of the number 

of units you will import under this 

section in the upcoming calendar year, 

broken down by equipment 

manufacturer. 

(2) For each year that you use the 

provisions of this section, send the 

Designated Compliance Officer a written 

report by March 31 of the following 

year. Include in your report the total 

number of engines you imported under 

this section in the preceding calendar 

year, broken down by engine 

manufacturer and by equipment 

manufacturer. 

§ 1054.630 What provisions apply for 

importation of individual items for personal 

use? 

(a) Any individual may import 

previously used nonconforming engines 

for purposes other than resale, but no 

more than once in any five-year period. 

This may include up to three 

nonconforming engines imported at the 

same time. To import engines under this 

section, provide to the Customs official 

the following information: 

(1) Identify your name, address, and 

telephone number. 

(2) If you are importing engines under 

this section on behalf of another person, 

identify the ultimate engine owner’s 

name, address, and telephone number. 

(3) Identify the total number of 

engines you are importing and specify 

the make, model, identification number, 

and original production year of each 

engine. 

(4) State: ‘‘I am importing these 

previously used engines for personal 

use. I have not imported any engines 

under the provisions of 40 CFR 

1054.630 within the previous five years. 

I am not importing these engines for 

purpose of resale. I authorize EPA 

enforcement officers to inspect my 

engines and my facilities as permitted 

by the Clean Air Act.’’ 

(b) We may require you to send us 

additional information but you do not 

need written approval from us to import 

engines under this section. We will also 

not require a U.S. Customs Service bond 

for engines you import under this 

section. 

(c) The provisions of this section may 

not be used to circumvent emission 

standards that apply to new engines 

under this part. For example, you may 

not purchase new engines and use them 

in a trivial manner outside of the United 

States to qualify for importation under 

this section. 

(d) If you violate the provisions of this 

section, or submit false information to 

obtain this exemption, you will be 

subject to civil penalties as specified in 

40 CFR 1068.101(a)(2) and (b)(5). 

mstockstill on PROD1PC66 with RULES2

59286 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

§ 1054.635 What special provisions apply 

for small-volume engine and equipment 

manufacturers? 

This section describes how we apply 

the special provisions in this part for 

small-volume engine and equipment 

manufacturers. 

(a) If you qualify under paragraph (1) 

or (2) of the definition of small-volume 

engine manufacturer or under paragraph 

(1) or (2) of the definition of smallvolume equipment manufacturer in 

§ 1054.801, the small-volume provisions 

apply as specified in this part. 

(b) If you are a small business (as 

defined by the Small Business 

Administration at 13 CFR 121.201) that 

manufactures nonroad spark-ignition 

engines or equipment, but you do not 

qualify under paragraph (1) or (2) of the 

definition of small-volume engine 

manufacturer or under paragraph (1) or 

(2) of the definition of small-volume 

equipment manufacturer in § 1054.801, 

you may ask us to designate you to be 

a small-volume engine or equipment 

manufacturer. You may do this whether 

you began manufacturing engines 

before, during, or after 2007. We may set 

other reasonable conditions that are 

consistent with the intent of this section 

and the Clean Air Act. 

(c) Special provisions apply for smallvolume engine and equipment 

manufacturers, as illustrated by the 

following examples: 

(1) Additional lead time and other 

provisions related to the transition to 

new emission standards. See § 1054.145. 

(2) More flexible arrangements for 

creating engine families. See § 1054.230. 

(3) Assigned deterioration factors. See 

§ 1054.240. 

(4) Waived requirements for 

production-line testing. See § 1054.301. 

(5) Streamlined certification 

provisions for equipment manufacturers 

relying on engine manufacturer’s design 

parameters. See § 1054.612. 

(6) Additional allowances under the 

Transition Program for Equipment 

Manufacturers. See § 1054.625. 

(7) Additional special provisions 

apply for small-volume engine and 

equipment manufacturers under 40 CFR 

part 1068. For example, see 40 CFR 

1068.250. 

(d) Small-volume engine and 

equipment manufacturers may ask us to 

waive or modify the requirements of 

§ 1054.690 if this would cause a serious 

economic hardship, as long as you 

demonstrate to us in some other way 

that you will meet any potential 

compliance-or enforcement-related 

obligations. In evaluating such a 

request, we would consider the extent to 

which there is a risk of noncompliance 

or nonconformity and the extent to 

which the manufacturer could be 

expected to fulfill future regulatory 

obligations and administrative 

judgments. We may also consider how 

many years the manufacturer has 

certified engines without a violation or 

a finding of noncompliance to 

determine whether to adjust applicable 

asset thresholds or to reduce the 

minimum bond value. We may set other 

reasonable conditions to ensure that the 

manufacturer will meet applicable 

requirements. 

(e) If you use any of the provisions of 

this part that apply specifically to smallvolume manufacturers and we find that 

you exceed the production limits or 

otherwise do not qualify as a smallvolume manufacturer, we may consider 

you to be in violation of the 

requirements that apply for companies 

that are not small-volume manufacturers 

for those engines produced in excess of 

the specified production limits. If you 

no longer qualify as a small-volume 

engine manufacturer (based on 

increased production volumes or other 

factors), we will work with you to 

determine a reasonable schedule for 

complying with additional requirements 

that apply. For example, if you no 

longer qualify as a small-volume engine 

manufacturer shortly before you certify 

your engines for the next model year, 

we might allow you to use assigned 

deterioration factors for one more model 

year. 

§ 1054.640 What special provisions apply 

to branded engines? 

The following provisions apply if you 

identify the name and trademark of 

another company instead of your own 

on your emission control information 

label, as provided by § 1054.135(c)(2): 

(a) You must have a contractual 

agreement with the other company that 

obligates that company to take the 

following steps: 

(1) Meet the emission warranty 

requirements that apply under 

§ 1054.120. This may involve a separate 

agreement involving reimbursement of 

warranty-related expenses. 

(2) Report all warranty-related 

information to the certificate holder. 

(b) In your application for 

certification, identify the company 

whose trademark you will use. 

(c) You remain responsible for 

meeting all the requirements of this 

chapter, including warranty and defectreporting provisions. 

§ 1054.645 What special provisions apply 

for converting an engine to use an alternate 

fuel? 

A certificate of conformity is no 

longer valid for an engine if the engine 

is modified such that it is not in a 

configuration covered by the certificate. 

This section applies if such 

modifications are done to convert the 

engine to run on a different fuel type. 

Such engines may need to be recertified 

as specified in this section if the 

certificate is no longer valid for that 

engine. 

(a) Converting a certified new engine 

to run on a different fuel type violates 

40 CFR 1068.101(a)(1) if the modified 

engine is not covered by a certificate of 

conformity. 

(b) Converting a certified engine that 

is not new to run on a different fuel type 

violates 40 CFR 1068.101(b)(1) if the 

modified engine is not covered by a 

certificate of conformity. We may 

specify alternate certification provisions 

consistent with the requirements of this 

part. For example, you may certify the 

modified engine for a partial useful life. 

For example, if the engine is modified 

halfway through its original useful life 

period, you may generally certify the 

engine based on completing the original 

useful life period; or if the engine is 

modified after the original useful life 

period is past, you may generally certify 

the engine based on testing that does not 

involve further durability 

demonstration. 

(c) Engines may be certified using the 

certification procedures for new engines 

as specified in this part or using the 

certification procedures for aftermarket 

parts as specified in 40 CFR part 85, 

subpart V. Unless the original engine 

manufacturer continues to be 

responsible for the engine as specified 

in paragraph (d) of this section, you 

must remove the original engine 

manufacturer’s emission control 

information label if you recertify the 

engine. 

(d) The original engine manufacturer 

is not responsible for operation of 

modified engines in configurations 

resulting from modifications performed 

by others. In cases where the 

modification allows an engine to be 

operated in either its original 

configuration or a modified 

configuration, the original engine 

manufacturer remains responsible for 

operation of the modified engine in its 

original configuration. 

(e) Entities producing conversion kits 

may obtain certificates of conformity for 

the converted engines. Such entities are 

engine manufacturers for purposes of 

this part. 

§ 1054.650 What special provisions apply 

for adding or changing governors? 

The special provisions in this section 

apply for engines that will not be 

governed to control engine speeds 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59287 

consistent with the constant-speed 

operation reflected by the duty cycles 

specified in § 1054.505. We refer to 

these as constant-speed governors in 

this section. Paragraph (a) of this section 

also applies for any engines shipped 

without installed governors. 

(a) The representative-testing 

requirements of 40 CFR 1065.10(c)(1) 

related to in-use duty cycles do not 

apply to engines you produce and ship 

without constant-speed governors if you 

comply with all the following 

requirements: 

(1) You must have test data showing 

that the effectiveness of the engine’s 

emission controls over the expected 

range of in-use operation will be similar 

to that measured over the specified duty 

cycle. Alternatively, if your emission 

controls depend on maintaining a 

consistent air-fuel ratio, you may 

demonstrate that the engine is calibrated 

to maintain a consistent air-fuel ratio 

over the expected range of in-use 

operation. 

(2) Describe in your application for 

certification the data and analysis that 

supports your conclusion. 

(b) It is a violation of the tampering 

provisions in 40 CFR 1068.101(b)(1) to 

remove a governor from a certified 

engine unless you recertify the engine in 

the modified configuration. 

§ 1054.655 What special provisions apply 

for installing and removing altitude kits? 

An action for the purpose of installing 

or modifying altitude kits and 

performing other changes to compensate 

for changing altitude is not considered 

a prohibited act under 40 CFR 

1068.101(b) as long as as it is done 

consistent with the manufacturer’s 

instructions. 

§ 1054.660 What are the provisions for 

exempting emergency rescue equipment? 

The provisions of this section apply 

for new equipment built on or after 

January 1, 2010. 

(a) Equipment manufacturers may 

introduce into U.S. commerce 

equipment that is not certified to 

current emission standards under the 

following conditions if the equipment 

will be used solely in emergency rescue 

situations: 

(1) You must determine annually that 

no engines certified to current emission 

standards are available to power the 

equipment safely and practically. We 

may review your records supporting this 

determination at any time. 

(2) You may not use exempted 

engines for the following equipment 

used to provide remote power to a 

rescue tool: generators, alternators, 

compressors, or pumps. 

(3) If engines that meet less stringent 

emission standards are capable of 

powering your equipment safely and 

practically, you must use them as a 

condition of this exemption. You must 

use available engines meeting the most 

stringent standards feasible. 

(4) You must send the engine 

manufacturer a written request for each 

exempted equipment model. 

(5) You must notify the Designated 

Compliance Officer of your intent to use 

the provisions of this section. We may 

require you to notify us annually or to 

send us annual reports describing how 

you meet the conditions of this section. 

(b) For the purposes of this section, 

‘‘emergency rescue situations’’ means 

firefighting or other situations in which 

a person is retrieved from imminent 

danger. 

(c) As an engine manufacturer, you 

may produce exempt engines under this 

section without our prior approval if 

you have a written request for an 

exempted engine for use in emergency 

rescue equipment from the equipment 

manufacturer. You must permanently 

label engines with the following 

statement: ‘‘EMERGENCY RESCUE 

EQUIPMENT—EXEMPT FROM 

EMISSION STANDARDS UNDER 40 

CFR 1054.660.’’ Failure to properly label 

an engine will void the exemption. 

(d) We may discontinue an exemption 

under this section if we find that 

engines are not used solely for 

emergency rescue equipment or if we 

find that a certified engine is available 

to power the equipment safely and 

practically. 

§ 1054.690 What bond requirements apply 

for certified engines? 

(a) Before introducing certified 

engines into U.S. commerce, you must 

post a bond to cover any potential 

compliance or enforcement actions 

under the Clean Air Act unless you 

demonstrate to us in your application 

for certification that you are able to meet 

any potential compliance-or 

enforcement-related obligations, as 

described in this section. See paragraph 

(i) of this section for the requirements 

related to importing engines that have 

been certified by someone else. Note 

that you might also post bond under this 

section to meet your obligations under 

§ 1054.120. 

(b) The bonding requirements apply if 

you do not have long-term assets in the 

United States meeting any of the 

following thresholds: 

(1) A threshold of $3 million applies 

if you have been a certificate holder in 

each of the preceding ten years without 

failing a test conducted by EPA officials 

or having been found by EPA to be 

noncompliant under applicable 

regulations. 

(2) A threshold of $6 million applies 

if you are a secondary engine 

manufacturer. 

(3) A threshold of $10 million applies 

if you do not qualify for the smaller 

bond thresholds in paragraph (b)(1) or 

(2) of this section. 

(c) For the purpose of establishing 

your level of long-term assets under 

paragraph (b) of this section, include the 

values from your most recent balance 

sheet for buildings, land, and fixed 

equipment, but subtract depreciation 

and related long-term liabilities (such as 

a mortgage). If you have sufficient longterm assets to avoid bond payments 

under this section, you must identify 

the location of these assets in your 

application for certification. 

(d) The minimum value of the bond 

is $500,000. A higher bond value may 

apply based on the per-engine bond 

values shown in Table 1 to this section 

and on the U.S.-directed production 

volume from each displacement 

grouping for the calendar year. For 

example, if you have projected U.S.- 

directed production volumes of 10,000 

engines with 180 cc displacement and 

10,000 engines with 400 cc 

displacement in 2013, the appropriate 

bond amount is $750,000. Adjust the 

value of the bond as follows: 

(1) If your estimated or actual U.S.- 

directed production volume in any later 

calendar year increases beyond the level 

appropriate for your current bond 

payment, you must post additional bond 

to reflect the increased volume within 

90 days after you change your estimate 

or determine the actual production 

volume. You may not decrease your 

bond. 

(2) If you sell engines without 

aftertreatment components under the 

provisions of § 1054.610, you must 

increase the per-engine bond values for 

the current year by 20 percent. Round 

calculated values to the nearest dollar. 

TABLE 1 TO § 1054.690—PER-ENGINE

BOND VALUES

For engines with 

displacement falling in the 

following ranges . . . 

The perengine bond 

value is . . . 

Disp. < 225 cc ...................... $25 

225 ≤ Disp. < 740 cc ............ 50 

740 ≤ Disp. ≤ 1,000 cc ......... 100 

Disp. > 1,000 cc ................... 200 

(e) The threshold identified in 

paragraph (b) of this section and the 

bond values identified in paragraph (d) 

of this section are in 2008 dollars. 

Adjust these values in 2010 and later 

calendar years by comparing the 

mstockstill on PROD1PC66 with RULES2

59288 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

Consumer Price Index values published 

by the Bureau of Labor Statistics for the 

preceding June and June 2008 (see 

ftp://ftp.bls.gov/pub/special.requests/ 

cpi/cpiai.txt). Round calculated values 

for the thresholds and for total bond 

obligations to the nearest thousand 

dollars. 

(f) You may meet the bond 

requirements of this section by 

obtaining a bond from a third-party 

surety that is cited in the U.S. 

Department of Treasury Circular 570, 

‘‘Companies Holding Certificates of 

Authority as Acceptable Sureties on 

Federal Bonds and as Acceptable 

Reinsuring Companies’’ (http:// 

www.fms.treas.gov/c570/ 

c570.html#certified). You must maintain 

this bond for every year in which you 

sell certified engines and for five years 

after you no longer hold a certificate of 

conformity. 

(g) If you forfeit some or all of your 

bond in an enforcement action, you 

must post any appropriate bond for 

continuing sale within 90 days after you 

forfeit the bond amount. 

(h) You will forfeit the proceeds of the 

bond posted under this section if you 

need to satisfy any United States 

administrative settlement agreement, 

administrative final order, or judicial 

judgment against you arising from your 

violation of this chapter, or violation of 

18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or 

other applicable provisions of the Clean 

Air Act. 

(i) If you are required to post a bond 

under this section, you must note that 

in your application for certification as 

described in § 1054.205. Your 

certification is conditioned on your 

compliance with this section. Your 

certificate is automatically suspended if 

you fail to comply with the 

requirements of this section. We may 

also revoke your certificate. 

(j) The following provisions apply if 

you import engines for resale when 

those engines have been certified by 

someone else (or equipment containing 

such engines): 

(1) You and the certificate holder are 

each responsible for compliance with 

the requirements of this part and the 

Clean Air Act. For example, we may 

require you to comply with the warranty 

requirements in the standard-setting 

part. 

(2) You do not need to post bond if 

the certificate holder complies with the 

bond requirements of this section. You 

also do not need to post bond if the 

certificate holder complies with the 

asset requirements of this section and 

the repair-network provisions of 

§ 1054.120(f)(4). 

Subpart H—Averaging, Banking, and 

Trading for Certification 

§ 1054.701 General provisions. 

(a) You may average, bank, and trade 

(ABT) emission credits for purposes of 

certification as described in this subpart 

to show compliance with the standards 

of this part. This applies for engines 

with respect to exhaust emissions and 

for equipment with respect to 

evaporative emissions. Participation in 

this program is voluntary. 

(b) The definitions of subpart I of this 

part apply to this subpart. The following 

definitions also apply: 

(1) Actual emission credits means 

emission credits you have generated 

that we have verified by reviewing your 

final report. 

(2) Averaging set means a set of 

engines (or equipment) in which 

emission credits may be exchanged only 

with other engines (or equipment) in the 

same averaging set. 

(3) Broker means any entity that 

facilitates a trade of emission credits 

between a buyer and seller. 

(4) Buyer means the entity that 

receives emission credits as a result of 

a trade. 

(5) Family means engine family for 

exhaust credits or emission family for 

evaporative credits. 

(6) Reserved emission credits means 

emission credits you have generated 

that we have not yet verified by 

reviewing your final report. 

(7) Seller means the entity that 

provides emission credits during a 

trade. 

(8) Standard means the emission 

standard that applies under subpart B of 

this part for engines or fuel-system 

components not participating in the 

ABT program of this subpart. 

(9) Trade means to exchange emission 

credits, either as a buyer or seller. 

(c) The use of emission credits is 

limited to averaging sets, as follows: 

(1) You may not average or exchange 

exhaust credits with evaporative credits, 

or vice versa. 

(2) Handheld engines and 

nonhandheld engines are in separate 

averaging sets with respect to exhaust 

emissions except as specified in 

§ 1054.740(e). You may use emission 

credits generated under 40 CFR part 90 

for handheld engines subject to the 

standards in § 1054.103 only if you can 

demonstrate that those credits were 

generated by handheld engines, except 

as specified in § 1054.740(e). You may 

use emission credits generated under 40 

CFR part 90 for nonhandheld engines 

only if you can demonstrate that those 

credits were generated by nonhandheld 

engines, subject to the provisions of 

§ 1054.740. 

(3) Equipment using handheld 

engines and equipment using 

nonhandheld engines are in separate 

averaging sets with respect to 

evaporative emissions. You may not 

average or exchange evaporative credits 

between either of these averaging sets. 

(4) For purposes of calculating 

emission credits under this subpart, 

engines with displacement at or below 

80 cc are presumed to be handheld 

engines. You may treat these as 

nonhandheld engines for calculating 

exhaust or evaporative emission credits 

only for those engines you can 

demonstrate will be installed in 

nonhandheld equipment. For example, 

if 50 percent of engines in a family will 

be used in nonhandheld equipment, you 

may calculate the emission credits for 

50 percent of the engines to be 

nonhandheld credits. Use the specified 

calculation methods for handheld 

engines to quantify positive or negative 

exhaust emission credits for all engines 

at or below 80 cc. 

(d) You may not generate evaporative 

credits based on permeation 

measurements from metal fuel tanks. 

(e) You may not use emission credits 

generated under this subpart to offset 

any emissions that exceed an FEL or 

standard. This applies for all testing, 

including certification testing, in-use 

testing, selective enforcement audits, 

and other production-line testing. 

However, if exhaust emissions from an 

engine exceed an exhaust FEL or 

standard (for example, during a 

selective enforcement audit), you may 

use emission credits to recertify the 

family with a higher FEL that applies 

only to future production. 

(f) Emission credits may be used in 

the model year they are generated 

(averaging) and in future model years 

(banking). Emission credits may not be 

used for past model years. 

(g) You may increase or decrease an 

exhaust FEL during the model year by 

amending your application for 

certification under § 1054.225. See 40 

CFR 1060.225 for provisions related to 

changing an FEL for fuel tank 

permeation. 

(h) Engine and equipment 

manufacturers certifying with respect to 

evaporative emissions may use emission 

credits to demonstrate compliance 

under this subpart. Component 

manufacturers may establish FELs for 

their certified products, but they may 

not generate or use emission credits 

under this subpart. 

(i) In your application for 

certification, base your showing of 

compliance on projected production 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59289 

volumes for engines or equipment 

intended for sale in the United States. 

As described in § 1054.730, compliance 

with the requirements of this subpart is 

determined at the end of the model year 

based on actual production volumes for 

engines or equipment intended for sale 

in the United States. Do not include any 

of the following engines or equipment to 

calculate emission credits: 

(1) Engines or equipment exempted 

under subpart G of this part or under 40 

CFR part 1068. 

(2) Engines or equipment intended for 

export. 

(3) Engines or equipment that are 

subject to state emission standards for 

that model year. However, this 

restriction does not apply if we 

determine that the state standards and 

requirements are equivalent to those of 

this part and that products sold in such 

a state will not generate credits under 

the state program. For example, you 

may not include engines or equipment 

certified for California if California has 

more stringent emission standards for 

these products or if your products 

generate or use emission credits under 

the California program. 

(4) Engines or equipment not subject 

to the requirements of this part, such as 

those excluded under § 1054.5. 

(5) Any other engines or equipment 

where we indicate elsewhere in this part 

1054 that they are not to be included in 

the calculations of this subpart. 

§ 1054.705 How do I generate and 

calculate exhaust emission credits? 

The provisions of this section apply 

for calculating exhaust emission credits. 

You may generate exhaust emission 

credits only if you are a certifying 

engine manufacturer. 

(a) For each participating family, 

calculate positive or negative emission 

credits relative to the otherwise 

applicable emission standard. Calculate 

positive emission credits for a family 

that has an FEL below the standard. 

Calculate negative emission credits for a 

family that has an FEL above the 

standard. Sum your positive and 

negative credits for the model year 

before rounding. Round the sum of 

emission credits to the nearest kilogram 

(kg) using consistent units throughout 

the following equation: 

Emission credits (kg) = (STD ¥ FEL) × 

(Volume) × (Power) × (UL) × (LF) × 

(10¥3) 

Where: 

STD = the emission standard, in g/kW-hr. 

FEL = the family emission limit for the 

family, in g/kW-hr. 

Volume = the number of engines eligible to 

participate in the averaging, banking, 

and trading program within the given 

family during the model year, as 

described in § 1054.701(i). 

Power = the maximum modal power of the 

emission-data engine as calculated from 

the applicable test procedure described 

in subpart F of this part, in kilowatts. 

UL = the useful life for the given family, in 

hours. 

LF = load factor. Use 0.47 for nonhandheld 

engines and 0.85 for handheld engines. 

We may specify a different load factor if 

we approve the use of special test 

procedures for a family under 40 CFR 

1065.10(c)(2), consistent with good 

engineering judgment. 

(b) [Reserved] 

§ 1054.706 How do I generate and 

calculate evaporative emission credits? 

The provisions of this section apply 

for calculating evaporative emission 

credits related to fuel tank permeation. 

You may generate credits only if you are 

a certifying equipment manufacturer. 

This may include engine manufacturers 

that make engines with complete fuel 

systems as described in § 1054.2. 

(a) For each participating family, 

calculate positive or negative emission 

credits relative to the otherwise 

applicable emission standard. Calculate 

positive emission credits for a family 

that has an FEL below the standard. 

Calculate negative emission credits for a 

family that has an FEL above the 

standard. Sum your positive and 

negative credits for the model year 

before rounding. Round the sum of 

emission credits to the nearest kilogram 

(kg) using consistent units throughout 

the following equation: 

Emission credits (kg) = (STD¥FEL) × 

(Total Area) × (UL) × (AF) × (365) 

× (10¥3) 

STD = the emission standard, in g/m2/day. 

FEL = the family emission limit for the 

family, in g/m2/day, as described in 

paragraph (b) of this section. 

Total Area = The combined internal surface 

area of all fuel tanks in the family, taking 

production volume into account, in m2. 

UL = 5 years, which represents the useful life 

for the given family. 

AF= adjustment factor. Use 1.0 for testing at 

28 °C; use 0.60 for testing at 40 °C. 

(b) For calculating credits under 

paragraph (a) of this section, the 

emission standard and FEL must both 

be based on test measurements at the 

same temperature (28 ° or 40 °C). 

Determine the FEL for calculating 

emission credits relative to testing at 

28 °C as described in paragraphs (b)(1) 

and (2) of this section. Determine the 

FEL for calculating emission credits 

relative to testing at 40 °C as described 

in paragraph (b)(3) of this section. 

(1) To use an FEL below 5.0 g/m2/day, 

it must be based on emission 

measurements. 

(2) The provisions of this paragraph 

(b)(2) apply for all emission families 

with FELs at or above 5.0 g/m2/day. To 

calculate emission credits for such 

emission families, you must choose 

from one of the following options and 

apply it to all your emission families 

with FELs at or above 5.0 g/m2/day: 

(i) Option 1: Establish all your FELs 

based on emission measurements. This 

may include measurements from a 

certifying fuel tank manufacturer. 

(ii) Option 2: Use an assigned FEL of 

10.4 g/m2/day. This would apply 

without regard to whether any of these 

emission families have measured 

emission levels below 10.4 g/m2/day. If 

any of your fuel tanks were otherwise 

certified (by you or the fuel tank 

manufacturer) with an FEL at or above 

5.0 g/m2/day, the assigned FEL of 10.4 

g/m2/day applies only for emission 

credit calculations. 

(3) Determine the FEL for calculating 

emission credits relative to testing at 

40 °C as described in paragraph (b)(1) 

and (2) of this section, but use 8.3 g/m2/ 

day instead of 5.0 g/m2/day and use 17.3 

g/m2/day instead of 10.4 g/m2/day. 

§ 1054.710 How do I average emission 

credits? 

(a) Averaging is the exchange of 

emission credits among your families. 

You may average emission credits only 

within the same averaging set. 

(b) You may certify one or more 

families to an FEL above the emission 

standard, subject to the FEL caps and 

other provisions in subpart B of this 

part, if you show in your application for 

certification that your projected balance 

of all emission-credit transactions in 

that model year is greater than or equal 

to zero. 

(c) If you certify a family to an FEL 

that exceeds the otherwise applicable 

standard, you must obtain enough 

emission credits to offset the family’s 

deficit by the due date for the final 

report required in § 1054.730. The 

emission credits used to address the 

deficit may come from your other 

families that generate emission credits 

in the same model year, from emission 

credits you have banked, or from 

emission credits you obtain through 

trading. 

§ 1054.715 How do I bank emission 

credits? 

(a) Banking is the retention of 

emission credits by the manufacturer 

generating the emission credits for use 

in future model years for averaging or 

trading. You may use banked emission 

credits only within the averaging set in 

which they were generated, except as 

described in this subpart. 

mstockstill on PROD1PC66 with RULES2

59290 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(b) You may designate any emission 

credits you plan to bank in the reports 

you submit under § 1054.730. During 

the model year and before the due date 

for the final report, you may designate 

your reserved emission credits for 

averaging or trading. 

(c) Reserved credits become actual 

emission credits when you submit your 

final report. However, we may revoke 

these emission credits if we are unable 

to verify them after reviewing your 

reports or auditing your records. 

§ 1054.720 How do I trade emission 

credits? 

(a) Trading is the exchange of 

emission credits between 

manufacturers. You may use traded 

emission credits for averaging, banking, 

or further trading transactions. Traded 

emission credits may be used only 

within the averaging set in which they 

were generated, except as described in 

this subpart. 

(b) You may trade actual emission 

credits as described in this subpart. You 

may also trade reserved emission 

credits, but we may revoke these 

emission credits based on our review of 

your records or reports or those of the 

company with which you traded 

emission credits. You may trade banked 

credits within an averaging set to any 

certifying engine or equipment 

manufacturer. 

(c) If a negative emission credit 

balance results from a transaction, both 

the buyer and seller are liable, except in 

cases we deem to involve fraud. See 

§ 1054.255(e) for cases involving fraud. 

We may void the certificates of all 

families participating in a trade that 

results in a manufacturer having a 

negative balance of emission credits. 

See § 1054.745. 

§ 1054.725 What must I include in my 

application for certification? 

(a) You must declare in your 

application for certification your intent 

to use the provisions of this subpart for 

each family that will be certified using 

the ABT program. You must also declare 

the FELs you select for the family for 

each pollutant for which you are using 

the ABT program. Your FELs must 

comply with the specifications of 

subpart B of this part, including the FEL 

caps. FELs must be expressed to the 

same number of decimal places as the 

emission standard. 

(b) Include the following in your 

application for certification: 

(1) A statement that, to the best of 

your belief, you will not have a negative 

balance of emission credits for any 

averaging set when all emission credits 

are calculated at the end of the year. 

(2) Detailed calculations of projected 

emission credits (positive or negative) 

based on projected production volumes. 

We may require you to include similar 

calculations from your other engine 

families to demonstrate that you will be 

able to avoid a negative credit balance 

for the model year. If you project 

negative emission credits for a family, 

state the source of positive emission 

credits you expect to use to offset the 

negative emission credits. 

§ 1054.730 What ABT reports must I send 

to EPA? 

(a) If any of your families are certified 

using the ABT provisions of this 

subpart, you must send an end-of-year 

report within 90 days after the end of 

the model year and a final report within 

270 days after the end of the model year. 

We may waive the requirement to send 

the end-of-year report as long as you 

send the final report on time. 

(b) Your end-of-year and final reports 

must include the following information 

for each family participating in the ABT 

program: 

(1) Family designation. 

(2) The emission standards that would 

otherwise apply to the family. 

(3) The FEL for each pollutant. If you 

change the FEL after the start of 

production, identify the date that you 

started using the new FEL and/or give 

the engine identification number for the 

first engine covered by the new FEL. In 

this case, identify each applicable FEL 

and calculate the positive or negative 

emission credits under each FEL. 

(4) The projected and actual 

production volumes for the model year 

with a point of retail sale in the United 

States, as described in § 1054.701(i). For 

fuel tanks, state the production volume 

in terms of surface area and production 

volume for each fuel tank configuration 

and state the total surface area for the 

emission family. If you changed an FEL 

during the model year, identify the 

actual production volume associated 

with each FEL. 

(5) The maximum modal power of the 

emission-data engine or the appropriate 

internal surface area of the fuel tank. 

(6) Useful life. 

(7) Calculated positive or negative 

emission credits for the whole family. 

Identify any emission credits that you 

traded, as described in paragraph (d)(1) 

of this section. 

(c) Your end-of-year and final reports 

must include the following additional 

information: 

(1) Show that your net balance of 

emission credits from all your 

participating families in each averaging 

set in the applicable model year is not 

negative. 

(2) State whether you will retain any 

emission credits for banking. 

(3) State that the report’s contents are 

accurate. 

(d) If you trade emission credits, you 

must send us a report within 90 days 

after the transaction, as follows: 

(1) As the seller, you must include the 

following information in your report: 

(i) The corporate names of the buyer 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) The families that generated 

emission credits for the trade, including 

the number of emission credits from 

each family. 

(2) As the buyer, you must include the 

following information in your report: 

(i) The corporate names of the seller 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) How you intend to use the 

emission credits, including the number 

of emission credits you intend to apply 

to each family (if known). 

(e) Send your reports electronically to 

the Designated Compliance Officer 

using an approved information format. 

If you want to use a different format, 

send us a written request with 

justification for a waiver. 

(f) Correct errors in your end-of-year 

report or final report as follows: 

(1) You may correct any errors in your 

end-of-year report when you prepare the 

final report as long as you send us the 

final report by the time it is due. 

(2) If you or we determine within 270 

days after the end of the model year that 

errors mistakenly decreased your 

balance of emission credits, you may 

correct the errors and recalculate the 

balance of emission credits. You may 

not make these corrections for errors 

that are determined more than 270 days 

after the end of the model year. If you 

report a negative balance of emission 

credits, we may disallow corrections 

under this paragraph (f)(2). 

(3) If you or we determine anytime 

that errors mistakenly increased your 

balance of emission credits, you must 

correct the errors and recalculate the 

balance of emission credits. 

§ 1054.735 What records must I keep? 

(a) You must organize and maintain 

your records as described in this 

section. We may review your records at 

any time. 

(b) Keep the records required by this 

section for at least eight years after the 

due date for the end-of-year report. You 

may not use emission credits for any 

engines or equipment if you do not keep 

all the records required under this 

section. You must therefore keep these 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59291 

records to continue to bank valid 

credits. Store these records in any 

format and on any media as long as you 

can promptly send us organized, written 

records in English if we ask for them. 

You must keep these records readily 

available. We may review them at any 

time. 

(c) Keep a copy of the reports we 

require in § 1054.730. 

(d) Keep records of the engine 

identification number for each engine or 

piece of equipment you produce that 

generates or uses emission credits under 

the ABT program. You may identify 

these numbers as a range. If you change 

the FEL after the start of production, 

identify the date you started using each 

FEL and the range of engine 

identification numbers associated with 

each FEL. 

(e) We may require you to keep 

additional records or to send us relevant 

information not required by this section 

in accordance with the Clean Air Act. 

§ 1054.740 What special provisions apply 

for generating and using emission credits? 

(a) You may generate Phase 3 

emission credits from 2008 through 

2011 model year Class I engines if you 

voluntarily meet the Phase 3 exhaust 

emission standards specified in 

§ 1054.105. Divide these into 

transitional and enduring emission 

credits as follows: 

(1) Transitional credits are based on 

reducing emissions from Phase 2 levels 

down to Phase 3 levels. Calculate the 

value of transitional emission credits as 

described in § 1054.705, based on 

setting STD equal to 15.0 g/kW-hr and 

FEL equal to 10.0 g/kW-hr. You may use 

these transitional credits only for Class 

I engines in 2012 through 2014 model 

years. You may not use these 

transitional credits for Class II engines. 

(2) Enduring credits are based on 

reducing emissions below Phase 3 

levels. Calculate the value of enduring 

credits as described in § 1054.705, based 

on setting STD equal to 10.0 g/kW-hr 

and FEL to the value of the family 

emission limit you select for the family. 

You may use these enduring credits for 

any nonhandheld engines certified to 

the Phase 3 standards under this part, 

except as specified in paragraph (d) of 

this section. 

(b) You may generate Phase 3 

emission credits from 2008 through 

2010 model year Class II engines if you 

voluntarily meet the Phase 3 exhaust 

emission standards specified in 

§ 1054.105. Divide these into 

transitional and enduring emission 

credits as follows: 

(1) Transitional credits are based on 

reducing emissions from Phase 2 levels 

down to Phase 3 levels. Calculate the 

value of transitional emission credits as 

described in § 1054.705, based on 

setting STD equal to 11.0 g/kW-hr and 

FEL equal to 8.0 g/kW-hr. You may use 

these transitional credits only for Class 

II engines in 2011 through 2013 model 

years. You may not use these 

transitional credits for Class I engines. 

(2) Enduring credits are based on 

reducing emissions below Phase 3 

levels. Calculate the value of enduring 

credits as described in § 1054.705, based 

on setting STD equal to 8.0 g/kW-hr and 

FEL to the value of the family emission 

limit you select for the family. You may 

use these enduring credits for any 

nonhandheld engines certified to the 

Phase 3 standards under this part, 

except as specified in paragraph (d) of 

this section. 

(c) You may use emission credits 

generated by Class I and Class II engines 

subject to Phase 2 emission standards 

under 40 CFR part 90 to demonstrate 

compliance with the Phase 3 exhaust 

emission standards, but only after you 

have exhausted all transitional credits 

from engines meeting Phase 3 standards, 

subject to the conditions of paragraph 

(d) of this section. You may use these 

Phase 2 emission credits only in the 

2012 and 2013 model years for Class I 

engines and only in the 2011 through 

2013 model years for Class II engines. 

Determine a maximum number of Phase 

2 emission credits for demonstrating 

compliance with the Phase 3 standards 

for a given engine class (Class I or Class 

II) as follows: 

(1) Calculate a Phase 2 credit 

allowance for each engine class based 

on production information for model 

years 2007, 2008, and 2009 using the 

following equation: 

Credit allowance (kg) = (Emissions 

Delta) × (Volume) × (Avg. Power) × 

(Avg. UL) × (LF) ×(10¥3) 

Where: 

Emissions Delta = 1.6 g/kW-hr for Class I and 

2.1 g/kW-hr for Class II. 

Volume = the number of your engines 

eligible to participate in the averaging, 

banking, and trading program, as 

described in § 1054.701(i), based on 

actual U.S.-directed production volumes. 

Avg. Power = the production-weighted 

average value of the maximum modal 

power for all your engine families in the 

engine class, as described in 

§ 1054.705(a), in kilowatts. 

Avg. UL = the production-weighted average 

value of the useful life for all your engine 

families in the engine class, in hours. 

LF = load factor. Use 0.47. 

(2) Do not include wintertime engines 

in the calculation of credit allowances 

unless they are certified to meet the 

otherwise applicable HC+NOX emission 

standard. 

(3) Calculate the average annual Phase 

2 credit allowance for each engine class 

over three model years as specified in 

paragraph (c)(1) of this section. The 

resulting average value is the maximum 

number of Phase 2 emission credits you 

may use under this paragraph (c) for 

each engine class. 

(4) For 2013 and earlier model years, 

include in the reports described in 

§ 1054.730 the total allowable number of 

Phase 2 emission credits and your 

cumulative totals of Phase 2 credits you 

have used to comply with the 

requirements of this part for each engine 

class. 

(d) If you generate enduring emission 

credits from Class I engines under 

paragraph (a) of this section, you may 

not use these for Class II engines in the 

2011 or 2012 model year. Similarly, if 

you generate enduring emission credits 

from Class II engines under paragraph 

(b) of this section, you may not use 

these for Class I engines in the 2012 

model year. These restrictions also 

apply for emission credits you generate 

for engines subject to the standards of 

this part in the 2011 or 2012 model year. 

(e) You may use Phase 2 or Phase 3 

emission credits from nonhandheld 

engines to demonstrate compliance with 

the Phase 3 standards for handheld 

engines subject to the following 

restrictions: 

(1) The handheld family must be 

certified in 2008 and all later model 

years using carryover of emission data 

from an engine family that was most 

recently certified with new emission 

data in 2007 or an earlier model year. 

(2) The handheld family’s FEL may 

not increase above the level selected for 

the 2007 model year in later years 

unless such an increase is based on 

emission data from production engines. 

(3) Your total production of handheld 

engines certified under this paragraph 

(e) may not exceed 30,000 in any model 

year. 

§ 1054.745 What can happen if I do not 

comply with the provisions of this subpart? 

(a) For each family participating in 

the ABT program, the certificate of 

conformity is conditional upon full 

compliance with the provisions of this 

subpart during and after the model year. 

You are responsible to establish to our 

satisfaction that you fully comply with 

applicable requirements. We may void 

the certificate of conformity for a family 

if you fail to comply with any 

provisions of this subpart. 

(b) You may certify your family to an 

FEL above an emission standard based 

on a projection that you will have 

mstockstill on PROD1PC66 with RULES2

59292 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

enough emission credits to offset the 

deficit for the family. However, we may 

void the certificate of conformity if you 

cannot show in your final report that 

you have enough actual emission credits 

to offset a deficit for any pollutant in a 

family. 

(c) We may void the certificate of 

conformity for a family if you fail to 

keep records, send reports, or give us 

information we request. 

(d) You may ask for a hearing if we 

void your certificate under this section 

(see § 1054.820). 

Subpart I—Definitions and Other 

Reference Information 

§ 1054.801 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 

Clean Air Act gives to them. The 

definitions follow: 

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust (including those 

which are difficult to access) and that, 

if adjusted, may affect emissions or 

engine performance during emission 

testing or normal in-use operation. This 

includes, but is not limited to, 

parameters related to injection timing 

and fueling rate. You may ask us to 

exclude a parameter that is difficult to 

access if it cannot be adjusted to affect 

emissions without significantly 

degrading engine performance, or if you 

otherwise show us that it will not be 

adjusted in a way that affects emissions 

during in-use operation. 

Aftertreatment means relating to a 

catalytic converter, particulate filter, 

thermal reactor, or any other system, 

component, or technology mounted 

downstream of the exhaust valve (or 

exhaust port) whose design function is 

to decrease emissions in the engine 

exhaust before it is exhausted to the 

environment. Exhaust-gas recirculation 

(EGR), turbochargers, and oxygen 

sensors are not aftertreatment. 

Alcohol-fueled engine means an 

engine that is designed to run using an 

alcohol fuel. For purposes of this 

definition, alcohol fuels do not include 

fuels with a nominal alcohol content 

below 25 percent by volume. 

Amphibious vehicle means a vehicle 

with wheels or tracks that is designed 

primarily for operation on land and 

secondarily for operation in water. 

Applicable emission standard or 

applicable standard means an emission 

standard to which an engine (or 

equipment) is subject. Additionally, if 

an engine (or equipment) has been or is 

being certified to another standard or 

FEL, applicable emission standard 

means the FEL or other standard to 

which the engine (or equipment) has 

been or is being certified. This 

definition does not apply to subpart H 

of this part. 

Auxiliary emission control device 

means any element of design that senses 

temperature, motive speed, engine RPM, 

transmission gear, or any other 

parameter for the purpose of activating, 

modulating, delaying, or deactivating 

the operation of any part of the emission 

control system. 

Brake power means the usable power 

output of the engine, not including 

power required to fuel, lubricate, or heat 

the engine, circulate coolant to the 

engine, or to operate aftertreatment 

devices. 

Calibration means the set of 

specifications and tolerances specific to 

a particular design, version, or 

application of a component or assembly 

capable of functionally describing its 

operation over its working range. 

Carryover means relating to 

certification based on emission data 

generated from an earlier model year as 

described in § 1054.235(d). 

Certification means relating to the 

process of obtaining a certificate of 

conformity for an emission family that 

complies with the emission standards 

and requirements in this part. 

Certified emission level means the 

highest deteriorated emission level in an 

emission family for a given pollutant 

from either transient or steady-state 

testing. 

Class I means relating to nonhandheld 

engines with total displacement below 

225 cc. See § 1054.101 for special 

provisions that apply for engines with 

total displacement at or below 80 cc. 

Class II means relating to 

nonhandheld engines with total 

displacement at or above 225 cc. 

Class III means relating to handheld 

engines with total displacement below 

20 cc. 

Class IV means relating to handheld 

engines with total displacement at or 

above 20 cc but below 50 cc. 

Class V means relating to handheld 

engines with total displacement at or 

above 50 cc. 

Clean Air Act means the Clean Air 

Act, as amended, 42 U.S.C. 7401–7671q. 

Cold-weather equipment is limited to 

the following types of handheld 

equipment: chainsaws, cut-off saws, 

clearing saws, brush cutters with 

engines at or above 40cc, commercial 

earth and wood drills, and ice augers. 

This includes earth augers if they are 

also marketed as ice augers. 

Crankcase emissions means airborne 

substances emitted to the atmosphere 

from any part of the engine crankcase’s 

ventilation or lubrication systems. The 

crankcase is the housing for the 

crankshaft and other related internal 

parts. 

Critical emission-related component 

means any of the following components: 

(1) Electronic control units, 

aftertreatment devices, fuel-metering 

components, EGR-system components, 

crankcase-ventilation valves, all 

components related to charge-air 

compression and cooling, air filters, 

spark plugs, and all sensors and 

actuators associated with any of these 

components. 

(2) Any other component whose 

primary purpose is to reduce emissions. 

Date of manufacture has the meaning 

given in 40 CFR 1068.30. 

Days means calendar days unless 

otherwise specified. For example, when 

we specify working days we mean 

calendar days, excluding weekends and 

U.S. national holidays. 

Designated Compliance Officer means 

the Manager, Heavy-Duty and Nonroad 

Engine Group (6405–J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

Designated Enforcement Officer 

means the Director, Air Enforcement 

Division (2242A), U.S. Environmental 

Protection Agency, 1200 Pennsylvania 

Ave., NW.,Washington, DC 20460. 

Deteriorated emission level means the 

emission level that results from 

applying the appropriate deterioration 

factor to the official emission result of 

the emission-data engine. 

Deterioration factor means the 

relationship between emissions at the 

end of useful life and emissions at the 

low-hour test point (see §§ 1054.240 and 

1054.245), expressed in one of the 

following ways: 

(1) For multiplicative deterioration 

factors, the ratio of emissions at the end 

of useful life to emissions at the lowhour test point. 

(2) For additive deterioration factors, 

the difference between emissions at the 

end of useful life and emissions at the 

low-hour test point. 

Discrete-mode means relating to the 

discrete-mode type of steady-state test 

described in § 1054.505. 

Displacement has the meaning given 

in § 1054.140. 

Dry weight means the weight of the 

equipment as sold without fuel, oil, or 

engine coolant. 

Dual-fuel engine means an engine 

designed for operation on two different 

fuels but not on a continuous mixture of 

those fuels. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59293 

Emission control system means any 

device, system, or element of design that 

controls or reduces the emissions of 

regulated pollutants from an engine. 

Emission-data engine means an 

engine that is tested for certification. 

This includes engines tested to establish 

deterioration factors. 

Emission-data equipment means an 

engine, piece of equipment, or fuel 

system component that is tested for 

certification. This includes units tested 

to establish deterioration factors. 

Emission family has the meaning 

given in § 1054.230. We may refer to 

emission families as ‘‘engine families’’ 

where provisions relate only to exhaust 

emissions from engines. 

Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emission deterioration. 

Engine has the meaning given in 40 

CFR 1068.30. This includes complete 

and partially complete engines. 

Engine configuration means a unique 

combination of engine hardware and 

calibration within an emission family. 

Engines within a single engine 

configuration differ only with respect to 

normal production variability. 

Engine manufacturer means the 

manufacturer of the engine. See the 

definition of ‘‘manufacturer’’ in this 

section. 

Equipment means any mechanical 

device commonly known as equipment, 

including vehicles. If the equipment has 

an installed engine, the term equipment 

includes the installed engine and fuel 

system components. 

Equipment manufacturer means a 

manufacturer of nonroad equipment. All 

nonroad equipment manufacturing 

entities under the control of the same 

person are considered to be a single 

nonroad equipment manufacturer. 

(Note: In § 1054.626, the term 

‘‘equipment manufacturer’’ has a 

narrower meaning that applies only to 

that section.). 

Evaporative means relating to fuel 

emissions controlled by 40 CFR part 

1060. This generally includes emissions 

that result from permeation of fuel 

through the fuel-system materials or 

from ventilation of the fuel system. 

Excluded means relating to an engine 

that either: 

(1) Has been determined not to be a 

nonroad engine, as specified in 40 CFR 

1068.30; or 

(2) Is a nonroad engine that, according 

to § 1054.5, is not subject to this part 

1054. 

Exempted has the meaning given in 

40 CFR 1068.30. 

Exhaust-gas recirculation (EGR) 

means a technology that reduces 

emissions by routing exhaust gases that 

had been exhausted from the 

combustion chamber(s) back into the 

engine to be mixed with incoming air 

before or during combustion. The use of 

valve timing to increase the amount of 

residual exhaust gas in the combustion 

chamber(s) that is mixed with incoming 

air before or during combustion is not 

considered exhaust-gas recirculation for 

the purposes of this part. 

Family emission limit (FEL) means an 

emission level declared by the 

manufacturer to serve in place of an 

otherwise applicable emission standard 

under the ABT program in subpart H of 

this part. The family emission limit 

must be expressed to the same number 

of decimal places as the emission 

standard it replaces. The family 

emission limit serves as the emission 

standard for the engine family (exhaust) 

or emission family (evaporative) with 

respect to all required testing. 

Flexible-fuel engine means an engine 

designed for operation on any mixture 

of two or more different fuels. 

Fuel line means hose or tubing 

designed to contain liquid fuel 

(including molded hose or tubing). This 

does not include any of the following: 

(1) Fuel tank vent lines. 

(2) Segments of hose or tubing whose 

external surface is normally exposed to 

liquid fuel inside the fuel tank. 

(3) Hose or tubing designed to return 

unused fuel from the carburetor to the 

fuel tank for handheld engines. 

(4) Primer bulbs that contain liquid 

fuel only for priming the engine before 

starting. 

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 natural gas. 

There can be multiple grades within a 

single fuel type, such as lowtemperature or all-season gasoline. 

Good engineering judgment has the 

meaning given in 40 CFR 1068.30. See 

40 CFR 1068.5 for the administrative 

process we use to evaluate good 

engineering judgment. 

Handheld means relating to 

equipment that meets any of the 

following criteria: 

(1) It is carried by the operator 

throughout the performance of its 

intended function. 

(2) It is designed to operate multipositionally, such as upside down or 

sideways, to complete its intended 

function. 

(3) It has a combined engine and 

equipment dry weight under 16.0 

kilograms, has no more than two 

wheels, and at least one of the following 

attributes is also present: 

(i) The operator provides support or 

carries the equipment throughout the 

performance of its intended function. 

Carry means to completely bear the 

weight of the equipment, including the 

engine. Support means to hold a piece 

of equipment in position to prevent it 

from falling, slipping, or sinking, 

without carrying it. 

(ii) The operator provides support or 

attitudinal control for the equipment 

throughout the performance of its 

intended function. Attitudinal control 

involves regulating the horizontal or 

vertical position of the equipment. 

(4) It is an auger with a combined 

engine and equipment dry weight under 

22.0 kilograms. 

(5) It is used in a recreational 

application with a combined total 

vehicle dry weight under 20.0 

kilograms. Note that snowmobiles, 

offroad motorcycles, and all-terrain 

vehicles are regulated under 40 CFR 

part 1051 and marine vessels are 

regulated under 40 CFR part 1045. 

(6) It is a hand-supported jackhammer 

or rammer/compactor. This does not 

include equipment that can remain 

upright without operator support, such 

as a plate compactor. 

Hydrocarbon (HC) means the 

hydrocarbon group on which the 

emission standards are based for each 

fuel type, as described in subpart B of 

this part. 

Identification number means a unique 

specification (for example, a model 

number/serial number combination) 

that allows someone to distinguish a 

particular engine from other similar 

engines. 

Integrated equipment manufacturer 

means an equipment manufacturer that 

also manufactures the engines for its 

equipment. Equipment manufacturers 

that manufacture the engines for some 

but not all of their equipment are 

considered to be integrated 

manufacturers for that equipment using 

the manufacturer’s own engines. 

Intermediate-speed equipment means 

nonhandheld equipment in which the 

installed engine is intended for 

operation at speeds substantially below 

3600 rpm. 

Low-hour means relating to an engine 

that is considered to have stabilized 

emissions and represents the 

undeteriorated emission level. A lowhour engine typically operates no more 

than a few hours beyond the minimum 

stabilization period. However, a lowhour engine could have more hours as 

mstockstill on PROD1PC66 with RULES2

59294 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

long as emissions remain stable. In the 

absence of other information, a lowhour engine with a useful life of 300 

hours or less would generally have 

operated no more than 15 hours and a 

low-hour engine with a longer useful 

life would generally have operated no 

more than 24 hours. 

Manufacture means the physical and 

engineering process of designing, 

constructing, and assembling an engine 

or piece of equipment. 

Manufacturer has the meaning given 

in section 216(1) of the Clean Air Act 

(42 U.S.C. 7550(1)). In general, this term 

includes any person who manufactures 

an engine, vehicle, vessel, or piece of 

equipment for sale in the United States 

or otherwise introduces a new nonroad 

engine or piece of equipment into U.S. 

commerce. This includes importers who 

import engines, equipment, or vehicles 

for resale, but not dealers. All 

manufacturing entities under the control 

of the same person are considered to be 

a single manufacturer. 

Marine engine means a nonroad 

engine that is installed or intended to be 

installed on a vessel. 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. 

This includes a portable auxiliary 

marine engine only if its fueling, 

cooling, or exhaust system is an integral 

part of the vessel. 

Marine generator engine means an 

auxiliary marine engine used primarily 

to operate an electrical generator or 

alternator to produce electric power. 

Marine vessel has the meaning given 

in 1 U.S.C. 3, except that it does not 

include amphibious vehicles. The 

definition in 1 U.S.C. 3 very broadly 

includes every craft capable of being 

used as a means of transportation on 

water. 

Maximum engine power has the 

meaning given in § 1054.140. 

Maximum test torque has the meaning 

given in 40 CFR 1065.1001. 

Model year has the meaning given in 

40 CFR part 1060 for equipment and 

means one of the following things for 

engines: 

(1) For freshly manufactured engines 

(see definition of ‘‘new nonroad 

engine,’’ paragraph (1)), model year 

means your annual new model 

production period. This must include 

January 1 of the calendar year for which 

the model year is named. It may not 

begin before January 2 of the previous 

calendar year and it must end by 

December 31 of the named calendar 

year. For seasonal production periods 

not including January 1, model year 

means the calendar year in which the 

production occurs, unless you choose to 

certify the applicable emission family 

with the following model year. For 

example, if your production period is 

June 1, 2010 through November 30, 

2010, your model year would be 2010 

unless you choose to certify the 

emission family for model year 2011. 

(2) For an engine that is converted to 

a nonroad engine after being placed into 

service as a stationary engine, or being 

certified and placed into service as a 

motor vehicle engine, model year means 

the calendar year in which the engine 

was originally produced. For a motor 

vehicle engine that is converted to be a 

nonroad engine without having been 

certified, model year means the calendar 

year in which the engine becomes a new 

nonroad engine. (See definition of ‘‘new 

nonroad engine,’’ paragraph (2).) 

(3) For a nonroad engine excluded 

under § 1054.5 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 

(see definition of ‘‘new nonroad 

engine,’’ paragraph (4)). 

(5) For imported engines: 

(i) For imported engines described in 

paragraph (5)(i) of the definition of 

‘‘new nonroad engine,’’ model year has 

the meaning given in paragraphs (1) 

through (4) of this definition. 

(ii) For imported engines described in 

paragraph (5)(ii) of the definition of 

‘‘new nonroad engine,’’ model year 

means the calendar year in which the 

engine is assembled in its final certified 

configuration. 

(iii) For imported engines described 

in paragraph (5)(iii) of the definition of 

‘‘new nonroad engine,’’ model year 

means the calendar year in which the 

engine is assembled in its imported 

configuration, unless specified 

otherwise in this part or in 40 CFR part 

1068. 

Motor vehicle has the meaning given 

in 40 CFR 85.1703(a). 

New nonroad engine means any of the 

following things: 

(1) A freshly manufactured nonroad 

engine for which the ultimate purchaser 

has never received the equitable or legal 

title. This kind of engine might 

commonly be thought of as ‘‘brand 

new.’’ In the case of this paragraph (1), 

the engine is new from the time it is 

produced until the ultimate purchaser 

receives the title or the product is 

placed into service, whichever comes 

first. 

(2) An engine originally manufactured 

as a motor vehicle engine or a stationary 

engine that is later used or intended to 

be used in a piece of nonroad 

equipment. In this case, the engine is no 

longer a motor vehicle or stationary 

engine and becomes a ‘‘new nonroad 

engine.’’ The engine is no longer new 

when it is placed into nonroad service. 

This paragraph (2) applies if a motor 

vehicle engine or a stationary engine is 

installed in nonroad equipment, or if a 

motor vehicle or a piece of stationary 

equipment is modified (or moved) to 

become nonroad equipment. 

(3) A nonroad engine that has been 

previously placed into service in an 

application we exclude under § 1054.5, 

when that engine is installed in a piece 

of equipment that is covered by this part 

1054. The engine is no longer new when 

it is placed into nonroad service covered 

by this part 1054. For example, this 

would apply to a marine-propulsion 

engine that is no longer used in a 

marine vessel but is instead installed in 

a piece of nonroad equipment subject to 

the provisions of this part. 

(4) An engine not covered by 

paragraphs (1) through (3) of this 

definition that is intended to be 

installed in new nonroad equipment. 

This generally includes installation of 

used engines in new equipment. The 

engine is no longer new when the 

ultimate purchaser receives a title for 

the equipment or the product is placed 

into service, whichever comes first. 

(5) An imported nonroad engine, 

subject to the following provisions: 

(i) An imported nonroad engine 

covered by a certificate of conformity 

issued under this part that meets the 

criteria of one or more of paragraphs (1) 

through (4) of this definition, where the 

original engine manufacturer holds the 

certificate, is new as defined by those 

applicable paragraphs. 

(ii) An imported engine that will be 

covered by a certificate of conformity 

issued under this part, where someone 

other than the original engine 

manufacturer holds the certificate (such 

as when the engine is modified after its 

initial assembly), is a new nonroad 

engine when it is imported. It is no 

longer new when the ultimate purchaser 

receives a title for the engine or it is 

placed into service, whichever comes 

first. 

(iii) An imported nonroad engine that 

is not covered by a certificate of 

conformity issued under this part at the 

time of importation is new. This 

addresses uncertified engines and 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59295 

equipment initially placed into service 

that someone seeks to import into the 

United States. Importation of this kind 

of engine (or equipment containing such 

an engine) is generally prohibited by 40 

CFR part 1068. However, the 

importation of such an engine is not 

prohibited if the engine has a model 

year before 1997, since it is not subject 

to standards. 

New nonroad equipment means either 

of the following things: 

(1) A nonroad piece of equipment for 

which the ultimate purchaser has never 

received the equitable or legal title. The 

product is no longer new when the 

ultimate purchaser receives this title or 

the product is placed into service, 

whichever comes first. 

(2) A nonroad piece of equipment 

with an engine that becomes new while 

installed in the equipment. For example 

a complete piece of equipment that was 

imported without being covered by a 

certificate of conformity would be new 

nonroad equipment because the engine 

would be considered to be new at the 

time of importation. 

Noncompliant engine or 

noncompliant equipment means an 

engine or equipment 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 or 

nonconforming equipment means an 

engine or equipment not covered by a 

certificate of conformity that would 

otherwise be subject to emission 

standards. 

Nonhandheld means relating to an 

engine (or equipment) subject to the 

standards of this part that is not a 

handheld engine (or equipment). 

Nonintegrated equipment 

manufacturer means an equipment 

manufacturer that is not an integrated 

equipment manufacturer. Equipment 

manufacturers that manufacture the 

engines for some but not all of their 

equipment are considered to be 

nonintegrated manufacturers for that 

equipment using a different engine 

manufacturer’s engines. 

Nonmethane hydrocarbon has the 

meaning given in 40 CFR 1065.1001. 

This generally means the difference 

between the emitted mass of total 

hydrocarbons and the emitted mass of 

methane. 

Nonroad means relating to nonroad 

engines or 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, engines used solely for 

competition, or engines used in aircraft. 

Official emission result means the 

measured emission rate for an emissiondata engine on a given duty cycle before 

the application of any deterioration 

factor. 

Overhead valve means relating to a 

four-stroke spark-ignition engine in 

which the intake and exhaust valves are 

located above the combustion chamber 

within the cylinder head. Such engines 

are sometimes referred to as ‘‘valve-inhead’’ engines. 

Owners manual means a document or 

collection of documents prepared by the 

engine manufacturer for the owner or 

operator to describe appropriate engine 

maintenance, applicable warranties, and 

any other information related to 

operating or keeping the engine. The 

owners manual is typically provided to 

the ultimate purchaser at the time of 

sale. The owners manual may be in 

paper or electronic format. 

Oxides of nitrogen has the meaning 

given in 40 CFR part 1065.1001 

Percent has the meaning given in 40 

CFR 1065.1001. 

Permeation emissions means fuel that 

escapes from the fuel system by 

diffusing through the walls of fuelsystem components. 

Phase 1 means relating to the Phase 

1 emission standards described in 40 

CFR 90.103. 

Phase 2 means relating to the Phase 

2 emission standards described in 40 

CFR 90.103. 

Phase 3 means relating to the Phase 

3 exhaust emission standards described 

in § 1054.105. 

Placed into service means put into 

initial use for its intended purpose. 

Pressurized oil system means a system 

designed to deliver lubricating oil to 

internal engine components, including a 

step to circulate oil through a filter. 

Ramped-modal means relating to the 

ramped-modal type of steady-state test 

described in § 1054.505. 

Rated-speed equipment means 

nonhandheld equipment in which the 

installed engine is intended for 

operation at a rated speed that is 

nominally 3600 rpm or higher. 

Recreational application means an 

application in which a vehicle is ridden 

primarily for pleasure. Note that engines 

used in reduced-scale model vehicles 

that cannot be ridden (such as model 

airplanes) are excluded from this part 

under § 1054.5. 

Relating to as used in this section 

means relating to something in a 

specific, direct manner. This expression 

is used in this section only to define 

terms as adjectives and not to broaden 

the meaning of the terms. 

Revoke has the meaning given in 40 

CFR 1068.30. In general this means to 

terminate the certificate or an 

exemption for an engine family. 

Round has the meaning given in 40 

CFR 1065.1001. 

Running loss emissions has the 

meaning given in 40 CFR 1060.801. 

Scheduled maintenance means 

adjusting, repairing, removing, 

disassembling, cleaning, or replacing 

components or systems periodically to 

keep a part or system from failing, 

malfunctioning, or wearing prematurely. 

It also may mean actions you expect are 

necessary to correct an overt indication 

of failure or malfunction for which 

periodic maintenance is not 

appropriate. 

Side valve means relating to a fourstroke spark-ignition engine in which 

the intake and exhaust valves are 

located to the side of the cylinder, not 

within the cylinder head. Such engines 

are sometimes referred to as ‘‘L-head’’ 

engines. 

Small-volume emission family means 

one of the following: 

(1) For requirements related to 

exhaust emissions for nonhandheld 

engines and to exhaust and evaporative 

emissions for handheld engines, smallvolume emission family means any 

emission family whose U.S.-directed 

production volume in a given model 

year is projected at the time of 

certification to be no more than 5,000 

engines. 

(2) For requirements related to 

evaporative emissions for nonhandheld 

equipment, small-volume emission 

family means any equipment 

manufacturer’s U.S.-directed production 

volume for identical fuel tank is 

projected at the time of certification to 

be no more than 5,000 units. Tanks are 

generally considered identical if they 

are produced under a single part 

number to conform to a single design or 

blueprint. Tanks should be considered 

identical if they differ only with respect 

to production variability, postproduction changes (such as different 

fittings or grommets), supplier, color, or 

other extraneous design variables. 

Small-volume engine manufacturer 

means one of the following: 

(1) For handheld engines, an engine 

manufacturer that had U.S.-directed 

production volume of handheld engines 

of no more than 25,000 handheld 

engines in any calendar year. For 

manufacturers owned by a parent 

company, this production limit applies 

to the production of the parent company 

and all its subsidiaries. 

(2) For nonhandheld engines, an 

engine manufacturer that had U.S.- 

directed production volume of no more 

mstockstill on PROD1PC66 with RULES2

59296 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

than 10,000 nonhandheld engines in 

any calendar year. For manufacturers 

owned by a parent company, this 

production limit applies to the 

production of the parent company and 

all its subsidiaries. 

(3) An engine manufacturer that we 

designate to be a small-volume engine 

manufacturer under § 1054.635. 

Small-volume equipment 

manufacturer means one of the 

following: 

(1) For handheld equipment, an 

equipment manufacturer that had a 

U.S.-directed production volume of no 

more than 25,000 pieces of handheld 

equipment in any calendar year. For 

manufacturers owned by a parent 

company, this production limit applies 

to the production of the parent company 

and all its subsidiaries. 

(2) For nonhandheld equipment, an 

equipment manufacturer with annual 

U.S.-directed production volumes of no 

more than 5,000 pieces of nonhandheld 

equipment in 2007, 2008, and 2009. For 

manufacturers owned by a parent 

company, this production limit applies 

to the production of the parent company 

and all its subsidiaries. 

(3) An equipment manufacturer that 

we designate to be a small-volume 

equipment manufacturer under 

§ 1054.635. 

Snowthrower engine means an engine 

used exclusively to power 

snowthrowers. 

Spark-ignition means relating to a 

gasoline-fueled engine or any other type 

of engine with a spark plug (or other 

sparking device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation. 

Steady-state means relating to 

emission tests in which engine speed 

and load are held at a finite set of 

essentially constant values. Steady-state 

tests are either discrete-mode tests or 

ramped-modal tests. 

Structurally integrated nylon fuel tank 

has the meaning given in 40 CFR 

1060.801. 

Subchapter U means the portion of 

the Code of Federal Regulations 

including 40 CFR parts 1000 through 

1299. 

Suspend has the meaning given in 40 

CFR 1068.30. In general this means to 

temporarily discontinue the certificate 

or an exemption for an engine family. 

Test engine means an engine in a test 

sample. 

Test sample means the collection of 

engines selected from the population of 

an emission family for emission testing. 

This may include testing for 

certification, production-line testing, or 

in-use testing. 

Tethered gas cap means a gas cap that 

is loosely but permanently connected to 

the fuel tank. 

Thermal reactor means a hot surface 

in the engine exhaust system that has 

the effect of significantly lowering 

emissions of one or more regulated 

pollutants. Hot surfaces that have an 

inconsequential effect on emissions are 

not thermal reactors. 

Total hydrocarbon has the meaning 

given in 40 CFR 1065.1001. This 

generally means the combined mass of 

organic compounds measured by the 

specified procedure for measuring total 

hydrocarbon, expressed as a 

hydrocarbon with a hydrogen-to-carbon 

mass ratio of 1.85:1. 

Total hydrocarbon equivalent has the 

meaning given in 40 CFR 1065.1001. 

This generally means the sum of the 

carbon mass contributions of nonoxygenated hydrocarbons, alcohols and 

aldehydes, or other organic compounds 

that are measured separately as 

contained in a gas sample, expressed as 

exhaust hydrocarbon from petroleumfueled engines. The hydrogen-to-carbon 

ratio of the equivalent hydrocarbon is 

1.85:1. 

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 has the meaning given 

in 40 CFR 1068.30. 

Upcoming model year for an emission 

family means the model year after the 

one currently in production. 

U.S.-directed production volume 

means the number of engine or 

equipment units, subject to the 

requirements of this part, produced by 

a manufacturer for which the 

manufacturer has a reasonable 

assurance that sale was or will be made 

to ultimate purchasers in the United 

States. 

Useful life means the period during 

which the engine and equipment are 

designed to properly function in terms 

of power output and intended function, 

without being remanufactured, specified 

as a number of hours of operation or 

calendar years, whichever comes first. It 

is the period during which a nonroad 

engine is required to comply with all 

applicable emission standards. See, for 

example, §§ 1054.107, 1054.110, and 

1054.112. If an engine has no hour 

meter, the specified number of hours 

does not limit the period during which 

an in-use engine is required to comply 

with emission standards unless the 

degree of service accumulation can be 

verified separately. 

Variable-speed engine means an 

engine that is not a constant-speed 

engine. 

Vessel means marine vessel. 

Void has the meaning given in 40 CFR 

1068.30. In general this means to 

invalidate a certificate or an exemption 

both retroactively and prospectively. 

Volatile liquid fuel means any fuel 

other than diesel or biodiesel that is a 

liquid at atmospheric pressure and has 

a Reid Vapor Pressure higher than 2.0 

pounds per square inch. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives. 

Wide-open throttle means maximum 

throttle opening. 

Wintertime engine means an engine 

used exclusively to power equipment 

that is used only in wintertime, such as 

snowthrowers and ice augers. 

§ 1054.805 What symbols, acronyms, and 

abbreviations does this part use? 

The following symbols, acronyms, 

and abbreviations apply to this part: 

ABT Averaging, banking, and trading. 

cc cubic centimeters. 

CFR Code of Federal Regulations. 

CH4 methane. 

CO carbon monoxide. 

CO2 carbon dioxide. 

EPA Environmental Protection 

Agency. 

FEL Family Emission Limit. 

g gram. 

HC hydrocarbon. 

hr hour. 

kPa kilopascals. 

kW kilowatts. 

N2O nitrous oxide. 

NMHC nonmethane hydrocarbons. 

NOX oxides of nitrogen (NO and NO2). 

psig pounds per square inch of gauge 

pressure. 

RPM revolutions per minute. 

THC total hydrocarbon. 

THCE total hydrocarbon equivalent. 

U.S.C. United States Code. 

§ 1054.815 What provisions apply to 

confidential information? 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. 

(b) We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. This applies 

both to any information you send us and 

to any information we collect from 

inspections, audits, or other site visits. 

(c) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59297 

confidential whenever we need to 

release information from it. 

(d) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in 40 CFR 

2.204. 

§ 1054.820 How do I request a hearing? 

(a) You may request a hearing under 

certain circumstances as described 

elsewhere in this part. To do this, you 

must file a written request, including a 

description of your objection and any 

supporting data, within 30 days after we 

make a decision. 

(b) For a hearing you request under 

the provisions of this part, we will 

approve your request if we find that 

your request raises a substantial factual 

issue. 

(c) If we agree to hold a hearing, we 

will use the procedures specified in 40 

CFR part 1068, subpart G. 

§ 1054.825 What reporting and 

recordkeeping requirements apply under 

this part? 

Under the Paperwork Reduction Act 

(44 U.S.C. 3501 et seq.), the Office of 

Management and Budget approves the 

reporting and recordkeeping specified 

in the applicable regulations. The 

following items illustrate the kind of 

reporting and recordkeeping we require 

for engines and equipment regulated 

under this part: 

(a) We specify the following 

requirements related to engine and 

equipment certification in this part 

1054: 

(1) In § 1054.20 we require equipment 

manufacturers to label their equipment 

if they are relying on component 

certification. 

(2) In § 1054.135 we require engine 

manufacturers to keep certain records 

related to duplicate labels sent to 

equipment manufacturers. 

(3) In § 1054.145 we include various 

reporting and recordkeeping 

requirements related to interim 

provisions. 

(4) In subpart C of this part we 

identify a wide range of information 

required to certify engines. 

(5) In §§ 1054.345 and 1054.350 we 

specify certain records related to 

production-line testing. 

(6) [Reserved] 

(7) In subpart G of this part we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various special compliance 

provisions. 

(8) In §§ 1054.725, 1054.730, and 

1054.735 we specify certain records 

related to averaging, banking, and 

trading. 

(b) We specify the following 

requirements related to equipment and 

component certification in 40 CFR part 

1060: 

(1) In 40 CFR 1060.20 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR part 1060, subpart C, we 

identify a wide range of information 

required to certify products. 

(3) In 40 CFR 1060.301 we require 

manufacturers to make engines or 

equipment available for our testing if we 

make such a request. 

(4) In 40 CFR 1060.505 we specify 

information needs for establishing 

various changes to published test 

procedures. 

(c) We specify the following 

requirements related to testing in 40 

CFR part 1065: 

(1) In 40 CFR 1065.2 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR 1065.10 and 1065.12 we 

specify information needs for 

establishing various changes to 

published test procedures. 

(3) In 40 CFR 1065.25 we establish 

basic guidelines for storing test 

information. 

(4) In 40 CFR 1065.695 we identify 

data that may be appropriate for 

collecting during testing of in-use 

engines using portable analyzers. 

(d) We specify the following 

requirements related to the general 

compliance provisions in 40 CFR part 

1068: 

(1) In 40 CFR 1068.5 we establish a 

process for evaluating good engineering 

judgment related to testing and 

certification. 

(2) In 40 CFR 1068.25 we describe 

general provisions related to sending 

and keeping information. 

(3) In 40 CFR 1068.27 we require 

manufacturers to make engines available 

for our testing or inspection if we make 

such a request. 

(4) In 40 CFR 1068.105 we require 

equipment manufacturers to keep 

certain records related to duplicate 

labels from engine manufacturers. 

(5) In 40 CFR 1068.120 we specify 

recordkeeping related to rebuilding 

engines. 

(6) In 40 CFR part 1068, subpart C, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various exemptions. 

(7) In 40 CFR part 1068, subpart D, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to importing engines. 

(8) In 40 CFR 1068.450 and 1068.455 

we specify certain records related to 

testing production-line engines in a 

selective enforcement audit. 

(9) In 40 CFR 1068.501 we specify 

certain records related to investigating 

and reporting emission-related defects. 

(10) In 40 CFR 1068.525 and 1068.530 

we specify certain records related to 

recalling nonconforming engines. 

Appendix I to Part 1054—Summary of 

Previous Emission Standards 

The following standards apply to nonroad 

spark-ignition engines produced before the 

model years specified in § 1054.1: 

(a) Handheld engines. Phase 1 and Phase 

2 standards apply for handheld engines as 

specified in 40 CFR 90.103 and summarized 

in the following tables: 

TABLE 1 TO APPENDIX I—PHASE 1 

EMISSION STANDARDS FOR

HANDHELD ENGINES (g/kW-hr) a

Engine displacement 

class HC NOX CO 

Class III ......................... 295 5.36 805 

Class IV ........................ 241 5.36 805 

Class V ......................... 161 5.36 603 

aPhase 1 standards are based on testing 

with new engines only. 

TABLE 2 TO APPENDIX I—PHASE 2 

EMISSION STANDARDS FOR

HANDHELD ENGINES (g/kW-hr) a

Engine displacement class HC+NOX CO 

Class III ................................ 50 805 

Class IV ............................... 50 805 

Class V ................................ 72 603 

aThe standards shown are the fully phasedin standards. See 40 CFR 90.103 for standards that applied during the phase-in period. 

(b) Nonhandheld engines. Phase 1 and 

Phase 2 standards apply for 

nonhandheld engines as specified in 40 

CFR 90.103 and summarized in the 

following tables: 

TABLE 3 TO APPENDIX I—PHASE 1 

EMISSION STANDARDS FOR

NONHANDHELD ENGINES (g/kW-hr) a

Engine displacement 

class HC+NOX CO 

Class I .......................... 16.1 519 

Class II ......................... 13.4 519 

aPhase 1 standards are based on testing 

with new engines only. 

mstockstill on PROD1PC66 with RULES2

59298 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

TABLE 4 TO APPENDIX I—PHASE 2 

EMISSION STANDARDS FOR

NONHANDHELD ENGINES (g/kW-hr) 

Engine displacement 

class 

HC+NOX NMHC+ 

NOX CO 

Class I-A ... 50 610 

Class I-B ... 40 37 610 

Class I ....... 16 .1 14 .8 610 

Class II a ... 12 .1 11 .3 610 

aThe Class II standards shown are the fully 

phased-in standards. See 40 CFR 90.103 for 

standards that applied during the phase-in 

period. 

Appendix II to Part 1054—Duty Cycles 

for Laboratory Testing 

(a) Test handheld engines with the 

following steady-state duty cycle: 

G3 

mode 

No. 

Engine 

speed a

Torque 

(percent) b

Weighting 

factors 

1 .......... Rated speed 100 0.85 

2 .......... Warm idle 0 0.15 

aTest engines at the specified speeds as 

described in § 1054.505. bTest engines at 100 percent torque by setting operator demand to maximum. Control 

torque during idle at its warm idle speed as 

described in 40 CFR 1065.510. 

(b) Test nonhandheld engines with one of 

the following steady-state duty cycles: 

(1) The following duty cycle applies for 

discrete-mode testing: 

G2 mode No.a

Torque 

(percent) b

Weighting 

factors 

1 ................................ 100 0 .09 

2 ................................ 75 0 .2 

3 ................................ 50 0 .29 

4 ................................ 25 0 .3 

5 ................................ 10 0 .07 

6 ................................ 0 0 .05 

a Control engine speed as described in 

§ 1054.505. Control engine speed for Mode 6 

as described in § 1054.505(c) for idle operation. bThe percent torque is relative to the value 

established for full-load torque, as described in 

§ 1054.505. 

(2) The following duty cycle applies 

for ramped-modal testing: 

RMC mode a

Time in 

mode 

(seconds) 

Torque 

(percent) b, c

1a Steady-state .......... 41 0 

1b Transition .............. 20 * 

2a Steady-state .......... 135 100 

2b Transition .............. 20 * 

3a Steady-state .......... 112 10 

3b Transition .............. 20 * 

4a Steady-state .......... 337 75 

4b Transition .............. 20 * 

5a Steady-state .......... 518 25 

RMC mode a

Time in 

mode 

(seconds) 

Torque 

(percent) b, c

5b Transition .............. 20 * 

6a Steady-state .......... 494 50 

6b Transition .............. 20 * 

7 Steady-state ............ 43 0 

* Linear transition. 

a Control engine speed as described in 

§ 1054.505. Control engine speed for Mode 6 

as described in § 1054.505(c) for idle operation. bAdvance from one mode to the next within 

a 20-second transition phase. During the transition phase, command a linear progression 

from the torque setting of the current mode to 

the torque setting of the next mode. cThe percent torque is relative to the value 

established for full-load torque, as described in 

§ 1054.505. 

■ § 208. A new part 1060 is added to 

subchapter U of chapter I to read as 

follows: 

PART 1060—CONTROL OF 

EVAPORATIVE EMISSIONS FROM 

NEW AND IN—USE NONROAD AND 

STATIONARY EQUIPMENT 

Subpart A—Overview and Applicability 

Sec. 

1060.1 Which products are subject to this 

part’s requirements? 

1060.5 Do the requirements of this part 

apply to me? 

1060.10 How is this part organized? 

1060.15 Do any other CFR parts apply to 

me? 

1060.30 Submission of information. 

Subpart B—Emission Standards and 

Related Requirements 

1060.101 What evaporative emission 

requirements apply under this part? 

1060.102 What permeation emission 

control requirements apply for fuel 

lines? 

1060.103 What permeation emission 

control requirements apply for fuel 

tanks? 

1060.104 What running loss emission 

control requirements apply? 

1060.105 What diurnal requirements apply 

for equipment? 

1060.120 What emission-related warranty 

requirements apply? 

1060.125 What maintenance instructions 

must I give to buyers? 

1060.130 What installation instructions 

must I give to equipment manufacturers? 

1060.135 How must I label and identify the 

engines and equipment I produce? 

1060.137 How must I label and identify the 

fuel-system components I produce? 

Subpart C—Certifying Emission Families 

1060.201 What are the general requirements 

for obtaining a certificate of conformity? 

1060.202 What are the certification 

requirements related to the general 

standards in § 1060.101? 

1060.205 What must I include in my 

application? 

1060.210 What records should equipment 

manufacturers keep if they do not apply 

for certification? 

1060.225 How do I amend my application 

for certification? 

1060.230 How do I select emission 

families? 

1060.235 What emission testing must I 

perform for my application for a 

certificate of conformity? 

1060.240 How do I demonstrate that my 

emission family complies with 

evaporative emission standards? 

1060.250 What records must I keep? 

1060.255 What decisions may EPA make 

regarding my certificate of conformity? 

Subpart D—Production Verification Testing 

1060.301 Manufacturer testing. 

1060.310 Supplying products to EPA for 

testing. 

Subpart E—In-Use Testing 

1060.401 General Provisions. 

Subpart F—Test Procedures 

1060.501 General testing provisions. 

1060.505 Other procedures. 

1060.510 How do I test EPA Low-Emission 

Fuel Lines for permeation emissions? 

1060.515 How do I test EPA Nonroad Fuel 

Lines and EPA Cold-Weather Fuel Lines 

for permeation emissions? 

1060.520 How do I test fuel tanks for 

permeation emissions? 

1060.521 How do I test fuel caps for 

permeation emissions? 

1060.525 How do I test fuel systems for 

diurnal emissions? 

Subpart G—Special Compliance Provisions 

1060.601 How do the prohibitions of 40 

CFR 1068.101 apply with respect to the 

requirements of this part? 

1060.605 Exemptions from evaporative 

emission standards. 

1060.640 What special provisions apply to 

branded equipment? 

Subpart H—Averaging, Banking, and 

Trading Provisions 

1060.701 Applicability. 

1060.705 How do I certify components to 

an emission level other than the standard 

under this part or use such components 

in my equipment? 

Subpart I—Definitions and Other Reference 

Information 

1060.801 What definitions apply to this 

part? 

1060.805 What symbols, acronyms, and 

abbreviations does this part use? 

1060.810 What materials does this part 

reference? 

1060.815 What provisions apply to 

confidential information? 

1060.820 How do I request a hearing? 

1060.825 What reporting and recordkeeping 

requirements apply under this part? 

Authority: 42 U.S.C. 7401–7671q. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59299 

Subpart A—Overview and Applicability 

§ 1060.1 Which products are subject to 

this part’s requirements? 

(a) The standards and other 

requirements in this part 1060 apply to 

the fuel lines, fuel tanks, couplings and 

fittings, and fuel caps used or intended 

to be used in the following categories of 

new engines and equipment that are 

fueled with a volatile liquid fuel (such 

as gasoline, but not including diesel 

fuel), and to the equipment in which 

these components are installed, starting 

with the model years shown in Table 1 

to this section: 

(1) Compression-ignition engines we 

regulate under 40 CFR part 1039. This 

includes stationary compressionignition engines we regulate under the 

provisions of 40 CFR part 1039, as 

indicated under 40 CFR part 60, subpart 

IIII. See the evaporative emission 

standards specified in 40 CFR 1048.105. 

These engines are considered to be 

Large SI engines for purposes of this 

part 1060. 

(2) Marine compression-ignition 

engines we regulate under 40 CFR part 

1042. See the evaporative emission 

standards specified in 40 CFR 1045.112. 

These engines are considered to be 

Marine SI engines for purposes of this 

part 1060. 

(3) Marine SI engines we regulate 

under 40 CFR part 1045. See the 

evaporative emission standards 

specified in 40 CFR 1045.112. 

(4) Large SI engines we regulate under 

40 CFR part 1048. This includes 

stationary spark-ignition engines subject 

to standards under 40 CFR parts 1048 or 

1054 as indicated in 40 CFR part 60, 

subpart JJJJ. See the evaporative 

emission standards specified in 40 CFR 

1048.105. 

(5) Recreational vehicles and engines 

we regulate under 40 CFR part 1051 

(such as snowmobiles and off-highway 

motorcycles). This includes highway 

motorcycles subject to standards under 

40 CFR part 1051 as indicated in 40 CFR 

part 86, subpart E since these 

motorcycles are considered to be 

recreational vehicles for purposes of this 

part 1060. See the evaporative emission 

standards specified in 40 CFR 1051.110. 

(6) Small SI engines we regulate 

under 40 CFR part 1054. See the 

evaporative emission standards 

specified for handheld engines in 40 

CFR 1054.110 and for nonhandheld 

engines in 40 CFR 1054.112. 

(7) Portable marine fuel tanks and fuel 

lines associated with such fuel tanks 

must meet evaporative emission 

standards specified in 40 CFR 1045.112. 

Portable nonroad fuel tanks and fuel 

lines associated with such fuel tanks 

must also meet evaporative emission 

standards specified in 40 CFR 1045.112, 

whether or not they are used with 

marine vessels. Portable nonroad fuel 

tanks are considered to be portable 

marine fuel tanks for purposes of this 

part 1060. 

(b) The regulations in this part 1060 

apply for new replacement components 

used with any of the engines or 

equipment specified in paragraph (a) of 

this section as described in § 1060.601. 

(c) Fuel caps are subject to 

evaporative emission standards at the 

point of installation on a fuel tank. If a 

fuel cap is certified for use with Marine 

SI engines or Small SI engines under the 

optional standards of § 1060.103, it is 

subject to all the requirements of this 

part 1060 as if these optional standards 

were mandatory. 

(d) This part 1060 does not apply to 

any diesel-fueled engine or any other 

engine that does not use a volatile liquid 

fuel. In addition, this part does not 

apply to any engines or equipment in 

the following categories even if they use 

a volatile liquid fuel: 

(1) Light-duty motor vehicles (see 40 

CFR part 86). 

(2) Heavy-duty motor vehicles and 

heavy-duty motor vehicle engines (see 

40 CFR part 86). This part 1060 also 

does not apply to fuel systems for 

nonroad engines where such fuel 

systems are subject to part 86 because 

they are part of a heavy-duty motor 

vehicle. 

(3) Aircraft engines (see 40 CFR part 

87). 

(4) Locomotives (see 40 CFR part 92 

and 1033). 

(5) Land-based nonroad diesel engines 

we regulate under 40 CFR part 89. 

(6) Marine diesel engines we regulate 

under 40 CFR part 89, 94, or 1042. 

(7) Land-based spark-ignition engines 

at or below 19 kW that we regulate 

under 40 CFR part 90. Note that there 

are provisions in 40 CFR part 90 that 

reference specific portions of this part 

1060. 

(8) Marine spark-ignition engines we 

regulate under 40 CFR part 91. 

(e) This part 1060 does not apply for 

fuel lines made wholly of metal. 

TABLE 1 TO § 1060.1—PART 1060 APPLICABILITY a

Equipment 

category or 

subcategory 

Fuel line 

permeation Tank permeation Diurnal emissions Running loss emissions 

Marine SI—portable marine fuel tanks.January 1, 2009 b .............. January 1, 2011 ................ January 1, 2010 ................ Not applicable. 

Marine SI—personal 

watercraft.

January 1, 2009 ................ Model year 2011 ............... Model year 2010 ............... Not applicable. 

Marine SI—other vessels 

with installed fuel tanks.

January 1, 2009 b .............. Model year 2012 ............... July 31, 2011 .................... Not applicable. 

Large SI ............................. Model year 2007 ............... Not applicable ................... Model year 2007 (includes 

tank permeation).

Model year 2007. 

Recreational vehicles ........ Model year 2008 ............... Model year 2008 ............... Not applicable ................... Not applicable. 

Small SI—handheld ........... Model year 2012 c ............. Model year 2010 d ............. Not applicable ................... Not applicable. 

Small SI—Class I 

nonhandheld.

January 1, 2009 ................ Model year 2012 ............... Not applicable e ................. Model year 2012. 

Small SI—Class II 

nonhandheld.

January 1, 2009 ................ Model year 2011 ............... Not applicable e ................. Model year 2011. 

a Implementation is based on the date of manufacture of the equipment. Where we do not identify a specific date, the emission standards start 

to apply at the beginning of the model year. b January 1, 2011 for primer bulbs. Standards phase in for under-cowl fuel lines on outboard engines, by length: 30% in 2010, 60% in 2011, 

90% in 2012–2014, 100% in 2015. c 2013 for small-volume emission families that do not include cold-weather fuel lines. 

d 2011 for structurally integrated nylon fuel tanks and 2013 for all small-volume emission families. 

e Manufacturers may optionally meet diurnal standards as specified in § 1060.105(e). 

mstockstill on PROD1PC66 with RULES2

59300 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

§ 1060.5 Do the requirements of this part 

apply to me? 

The requirements of this part are 

generally addressed to the 

manufacturers that are subject to this 

part’s requirements as described in 

paragraph (a) of this section. The term 

‘‘you’’ generally means the 

manufacturer or manufacturers that are 

subject to these requirements. 

Paragraphs (b) through (e) of this section 

describe which manufacturers may or 

must certify their products. (Note: 

§ 1060.601(f) allows the certification 

responsibility to be delegated in certain 

circumstances.) 

(a) Overall responsibilities. 

Manufacturers of the engines, 

equipment, and fuel-system components 

described in § 1060.1 are subject to the 

standards and other requirements of this 

part 1060 except as otherwise noted. 

Multiple manufacturers may be subject 

to these standards and other 

requirements. For example, when a 

Small SI equipment manufacturer buys 

fuel line manufactured by another 

person and installs them in its 

equipment, both the equipment 

manufacturer and the fuel line 

manufacturer are subject to the 

standards and other requirements of this 

part. The following provisions apply in 

such cases: 

(1) Each person meeting the definition 

of manufacturer for a product that is 

subject to the standards and other 

requirements of this part must comply 

with such requirements. However, if 

one person complies with a specific 

requirement for a given product, then all 

manufacturers are deemed to have 

complied with that specific 

requirement. For example, if a Small SI 

equipment manufacturer uses fuel lines 

manufactured and certified by another 

company, the equipment manufacturer 

is not required to obtain a certificate 

with respect to the fuel line emission 

standards. Such an equipment 

manufacturer remains subject to the 

standards and other requirements of this 

part. However, where a provision 

requires a specific manufacturer to 

comply with certain provisions, this 

paragraph (a) does not change or modify 

such a requirement. For example, this 

paragraph (a) does not allow you to rely 

on another company to certify instead of 

you if we specifically require you to 

certify. 

(2) The requirements of subparts C 

and D of this part apply to the 

manufacturer that obtains the certificate 

of conformity. Other manufacturers are 

required to comply with the 

requirements of subparts C and D of this 

part only when we send notification. In 

our notification, we will specify a 

reasonable period for complying with 

the requirements identified in the 

notice. See § 1060.601 for the 

applicability of 40 CFR part 1068 to 

these other manufacturers. 

(3) Certificate holders are responsible 

for meeting all applicable requirements 

even if other manufacturers are also 

subject to those requirements. 

(b) Marine SI. Certify vessels, engines, 

and fuel-system components as follows: 

(1) Component manufacturers must 

certify their fuel lines and fuel tanks 

intended for installation with Marine SI 

engines and vessels under this part 

1060, except as allowed by 

§ 1060.601(f). This includes permeation 

and diurnal emission standards. 

(2) Vessel manufacturers are subject to 

all the requirements of this part 1060 

that apply to Marine SI engines and fuel 

systems. However, they must certify 

their vessels to the emission standards 

specified in §§ 1060.102 through 

1060.105 only if one or more of the 

following conditions apply: 

(i) Vessel manufacturers install 

certified components that are not 

certified to meet all applicable 

evaporative emission standards, 

including both permeation and diurnal 

standards. This would include vessel 

manufacturers that make their own fuel 

tanks. Vessel manufacturers would 

certify under this part 1060. 

(ii) Vessel manufacturers intend to 

generate or use evaporative emission 

credits, even if they use only certified 

components to meet all applicable 

evaporative emission standards. Vessel 

manufacturers would certify under part 

40 CFR part 1045 using the emissioncredit provisions in subpart H of that 

part to demonstrate compliance with the 

emission standard. 

(3) Engine manufacturers must meet 

all the requirements of this part 1060 

that apply to vessel manufacturers for 

all fuel-system components they install 

on their engines. For example, engine 

manufacturers that install under-cowl 

fuel lines and fuel tanks must comply 

with the requirements specified for 

vessel manufacturers with respect to 

those components. 

(c) Large SI. Certify engines, 

equipment, and fuel-system components 

as follows: 

(1) Engine manufacturers must certify 

their engines under 40 CFR part 1048. 

(2) Equipment manufacturers and 

component manufacturers may certify 

fuel lines and fuel tanks intended for 

use with Large SI engines under this 

part 1060. 

(d) Recreational vehicles. Certify 

vehicles, engines and fuel-system 

components as follows: 

(1) Vehicle manufacturers must certify 

their vehicles under 40 CFR part 1051. 

(2) Engine manufacturers must meet 

all the requirements of 40 CFR part 1051 

that apply to vehicle manufacturers for 

all fuel-system components they install 

on their engines. For example, engine 

manufacturers that install fuel-line 

segments on the engines they ship to 

vehicle manufacturers must comply 

with the requirements specified for 

equipment manufacturers with respect 

to those components. 

(3) Component manufacturers may 

certify fuel lines and fuel tanks intended 

for recreational vehicles under this part 

1060. 

(e) Small SI. Certify engines, 

equipment, and fuel-system components 

as follows: 

(1) Component manufacturers must 

certify their fuel lines and fuel tanks 

intended for Small SI engines and 

equipment under this part 1060, except 

as allowed by § 1060.601(f). 

(2) Engine manufacturers must meet 

all the requirements of this part 1060 

that apply to equipment manufacturers 

for all fuel-system components they 

install on their engines. Engine 

manufacturers that produce Small SI 

engines with complete fuel systems are 

considered the equipment 

manufacturers for those engines under 

this part 1060. 

(3) Equipment manufacturers must 

certify their equipment and are subject 

to all the requirements of this part 1060. 

(f) Summary of certification 

responsibilities. Tables 1 through 3 of 

this section summarize the certification 

responsibilities for different kinds of 

manufacturers as described in 

paragraphs (b) through (e) of this 

section. The term ‘‘No’’ as used in the 

tables means that a manufacturer is not 

required to obtain a certificate of 

conformity under paragraphs (b) 

through (e) of this section. In situations 

where multiple manufacturers are 

subject to the standards and other 

requirements of this part, such a 

manufacturer must nevertheless certify 

if the manufacturer who is required to 

certify under paragraphs (b) through (e) 

of this section fails to obtain a certificate 

of conformity. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59301 

TABLE 1 TO § 1060.5—SUMMARY OF ENGINE MANUFACTURER CERTIFICATION RESPONSIBILITIES

Equipment type Is the engine manufacturer required to certify fuel systems? a

Code of Federal 

Regulations cite for 

certification 

Marine SI ......................................... No.

Large SI ........................................... Yes ......................................................................................................... 40 CFR part 1048. 

Recreational vehicles ...................... No.

Small SI ........................................... No, unless engines are sold with complete fuel systems ..................... 40 CFR part 1060. 

aFuel lines and fuel tanks that are attached to or sold with engines must be covered by a certificate of conformity. 

TABLE 2 TO § 1060.5—SUMMARY OF EQUIPMENT MANUFACTURER CERTIFICATION RESPONSIBILITIES

Equipment type Is the equipment manufacturer required to certify fuel systems? 

Code of Federal 

Regulations cite for 

certification 

Marine SI ......................................... Yes, but only if vessel manufacturers install uncertified fuel lines or 

fuel tanks or intend to generate or use evaporative emission credits.

40 CFR part 1060.a

Large SI ........................................... Allowed but not required ........................................................................ 40 CFR part 1060. 

Recreational vehicles ...................... Yes, even if vehicle manufacturers install certified components .......... 40 CFR part 1051. 

Small SI ........................................... Yes ......................................................................................................... 40 CFR part 1060.a

aSee the exhaust standard-setting part for provisions related to generating or using evaporative emission credits. 

TABLE 3 OF § 1060.5—SUMMARY OF COMPONENT MANUFACTURER CERTIFICATION RESPONSIBILITIES

Equipment type Is the component manufacturer required to certify fuel lines and fuel 

tanks? 

Code of Federal 

Regulations cite for 

certification 

Marine SI ......................................... Yes, including portable marine fuel tanks and associated fuel lines .... 40 CFR part 1060. 

Large SI ........................................... Allowed but not required ........................................................................ 40 CFR part 1060. 

Recreational vehicles ...................... Allowed but not required ........................................................................ 40 CFR part 1060. 

Small SI ........................................... Yes a ....................................................................................................... 40 CFR part 1060. 

aSee § 1060.601 for an allowance to make contractual arrangements with engine or equipment manufacturers instead of certifying. 

§ 1060.10 How is this part organized? 

This part 1060 is divided into the 

following subparts: 

(a) Subpart A of this part defines the 

applicability of part 1060 and gives an 

overview of regulatory requirements. 

(b) Subpart B of this part describes the 

emission standards and other 

requirements that must be met to certify 

equipment or components under this 

part. Note that § 1060.110 discusses 

certain interim requirements and 

compliance provisions that apply only 

for a limited time. 

(c) Subpart C of this part describes 

how to apply for a certificate of 

conformity. 

(d) Subpart D of this part describes 

the requirements related to verifying 

that products are being produced as 

described in an approved application 

for certification. 

(e) Subpart E of this part describes the 

requirements related to verifying that 

products are meeting the standards in 

use. 

(f) Subpart F of this part describes 

how to measure evaporative emissions. 

(g) Subpart G of this part and 40 CFR 

part 1068 describe requirements, 

prohibitions, and other provisions that 

apply to manufacturers, owners, 

operators, and all others. 

(h) Subpart H of this part describes 

how to certify your equipment or 

components for inclusion in an 

emission averaging program allowed by 

an exhaust standard-setting part. 

(i) Subpart I of this part contains 

definitions and other reference 

information. 

§ 1060.15 Do any other CFR parts apply to 

me? 

(a) There is a separate part of the CFR 

that includes exhaust emission 

requirements for each particular 

application, as described in § 1060.1(a). 

We refer to these as the exhaust 

standard-setting parts. In cases where an 

exhaust standard-setting part includes 

evaporative requirements, apply this 

part 1060 as specified in the exhaust 

standard-setting part, as follows: 

(1) The requirements in the exhaust 

standard-setting part may differ from the 

requirements in this part. In cases where 

it is not possible to comply with both 

the exhaust standard-setting part and 

this part, you must comply with the 

requirements in the exhaust standardsetting part. The exhaust standardsetting part may also allow you to 

deviate from the procedures of this part 

for other reasons. 

(2) The exhaust standard-setting parts 

may reference some sections of this part 

1060 or may allow or require 

certification under this part 1060. See 

the exhaust standard-setting parts to 

determine what provisions of this part 

1060 apply for these equipment types. 

(b) The requirements and prohibitions 

of part 1068 of this chapter apply to 

everyone, including anyone who 

manufactures, imports, owns, operates, 

or services any of the fuel systems 

subject to this part 1060. Part 1068 of 

this chapter describes general 

provisions, including the following 

areas: 

(1) Prohibited acts and penalties for 

engine manufacturers, equipment 

manufacturers, and others. 

(2) Exclusions and exemptions for 

certain products. 

(3) Importing products. 

(4) Defect reporting and recall. 

(5) Procedures for hearings. 

(c) Other parts of this chapter apply 

if referenced in this part. 

§ 1060.30 Submission of information. 

(a) This part includes various 

requirements to record data or other 

information. Refer to § 1060.825, 40 CFR 

mstockstill on PROD1PC66 with RULES2

59302 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

1068.25, and the exhaust standardsetting part regarding recordkeeping 

requirements. If recordkeeping 

requirements are not specified, store 

these records in any format and on any 

media and keep them readily available 

for one year after you send an associated 

application for certification, or one year 

after you generate the data if they do not 

support an application for certification. 

You must promptly send us organized, 

written records in English if we ask for 

them. We may review them at any time. 

(b) The regulations in § 1060.255 and 

40 CFR 1068.101 describe your 

obligation to report truthful and 

complete information and the 

consequences of failing to meet this 

obligation. This includes information 

not related to certification. 

(c) Send all reports and requests for 

approval to the Designated Compliance 

Officer (see § 1060.801). 

(d) Any written information we 

require you to send to or receive from 

another company is deemed to be a 

required record under this section. Such 

records are also deemed to be 

submissions to EPA. We may require 

you to send us these records whether or 

not you are a certificate holder. 

Subpart B—Emission Standards and 

Related Requirements 

§ 1060.101 What evaporative emission 

requirements apply under this part? 

Products subject to this part must 

meet emission standards and related 

requirements as follows: 

(a) Section 1060.102 describes 

permeation emission control 

requirements for fuel lines. 

(b) Section 1060.103 describes 

permeation emission control 

requirements for fuel tanks. 

(c) Section 1060.104 describes 

running loss emission control 

requirements for fuel systems. 

(d) Section 1060.105 describes diurnal 

emission control requirements for fuel 

tanks. 

(e) The following general 

requirements apply for components and 

equipment subject to the emission 

standards in §§ 1060.102 through 

1060.105: 

(1) Adjustable parameters. 

Components or equipment with 

adjustable parameters must meet all the 

requirements of this part for any 

adjustment in the physically adjustable 

range. 

(2) Prohibited controls. The following 

controls are prohibited: 

(i) For anyone to design, manufacture, 

or install emission control systems so 

they cause or contribute to an 

unreasonable risk to public health, 

welfare, or safety while operating. 

(ii) For anyone to design, 

manufacture, or install emission control 

systems with features that disable, 

deactivate, or bypass the emission 

controls, either actively or passively. 

For example, you may not include a 

manual vent that the operator can open 

to bypass emission controls. You may 

ask us to allow such features if needed 

for safety reasons or if the features are 

fully functional during emission tests 

described in subpart F of this part. 

(3) Emission credits. Equipment 

manufacturers are allowed to comply 

with the emission standards in this part 

using evaporative emission credits only 

if the exhaust standard-setting part 

explicitly allows it for evaporative 

emissions. See the exhaust standardsetting part and subpart H of this part 

for information about complying with 

evaporative emission credits. For 

equipment manufacturers to generate or 

use evaporative emission credits, 

components must be certified to a 

family emission limit, which serves as 

the standard for those components. 

(f) This paragraph (f) specifies 

requirements that apply to equipment 

manufacturers subject to requirements 

under this part, whether or not they are 

subject to and certify to any of the 

emission standards in §§ 1060.102 

through 1060.105. Equipment 

manufacturers meeting these 

requirements will be deemed to be 

certified as in conformity with the 

requirements of this paragraph (f) 

without submitting an application for 

certification, as follows: 

(1) Fuel caps, vents, and carbon 

canisters. You are responsible for 

ensuring that proper caps and vents are 

installed on each new piece of 

equipment that is subject to emission 

standards under this part. The following 

particular requirements apply to 

equipment that is subject to running 

loss or diurnal emission standards, 

including portable marine fuel tanks: 

(i) All equipment must have a 

tethered fuel cap. Fuel caps must also 

include a visual, audible, or other 

physical indication that they have been 

properly sealed. 

(ii) You may not add vents unless 

they are specified in or allowed by the 

applicable certificates of conformity. 

(iii) If the emission controls rely on 

carbon canisters, they must be installed 

in a way that prevents exposing the 

carbon to water or liquid fuel. 

(2) Fuel-line fittings. The following 

requirements apply for fuel-line fittings 

that will be used with fuel lines that 

must meet permeation emission 

standards: 

(i) Use good engineering judgment to 

ensure that all fuel-line fittings will 

remain securely connected to prevent 

fuel leakage throughout the useful life of 

the equipment. 

(ii) Fuel lines that are intended to be 

detachable (such as those for portable 

marine fuel tanks) must be self-sealing 

when detached from the fuel tank or 

engine. 

(3) Refueling. For any equipment 

using fuel tanks that are subject to 

diurnal or permeation emission 

standards under this part, you must 

design and build your equipment such 

that operators can reasonably be 

expected to fill the fuel tank without 

spitback or spillage during the refueling 

event. The following examples illustrate 

designs that meet this requirement: 

(i) Equipment that is commonly 

refueled using a portable gasoline 

container should have a fuel tank inlet 

that is larger than a typical dispensing 

spout. The fuel tank inlet should be 

located so the operator can place the 

nozzle directly in the fuel tank inlet and 

see the fuel level in the tank while 

pouring the fuel from an appropriately 

sized refueling container (either through 

the tank wall or the fuel tank inlet). We 

will deem you to comply with the 

requirements of this paragraph (f)(3)(i) if 

you design your equipment to meet 

applicable industry standards related to 

fuel tank inlets. 

(ii) Marine SI vessels with a filler 

neck extending to the side of the boat 

should be designed for automatic fuel 

shutoff. Alternatively, the filler neck 

should be designed such that the 

orientation of the filler neck allows 

dispensed fuel that collects in the filler 

neck to flow back into the fuel tank. A 

filler neck that ends with a horizontal or 

nearly horizontal segment at the 

opening where fuel is dispensed would 

not be an acceptable design. 

(g) Components and equipment must 

meet the standards specified in this part 

throughout the applicable useful life. 

Where we do not specify procedures for 

demonstrating the durability of 

emission controls, use good engineering 

judgment to ensure that your products 

will meet the standards throughout the 

useful life. The useful life is one of the 

following values: 

(1) The useful life in years specified 

for the components or equipment in the 

exhaust standard-setting part. 

(2) The useful life in years specified 

for the engine in the exhaust standardsetting part if the exhaust standards are 

specified for the engine rather than the 

equipment and there is no useful life 

given for components or equipment. 

(3) Five years if no useful life is 

specified in years for the components, 

equipment, or engines in the exhaust 

standard-setting part. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59303 

§ 1060.102 What permeation emission 

control requirements apply for fuel lines? 

(a) Nonmetal fuel lines must meet 

permeation requirements as follows: 

(1) Marine SI fuel lines, including fuel 

lines associated with outboard engines 

or portable marine fuel tanks, must meet 

the permeation requirements in this 

section. 

(2) Large SI fuel lines must meet the 

permeation requirements specified in 40 

CFR 1048.105. 

(3) Fuel lines for recreational vehicles 

must meet the permeation requirements 

specified in 40 CFR 1051.110 or in this 

section. 

(4) Small SI fuel lines must meet the 

permeation requirements in this section, 

unless they are installed in equipment 

certified to meet diurnal emission 

standards under § 1060.105(e). 

(b) Different categories of nonroad 

equipment are subject to different 

requirements with respect to fuel line 

permeation. Fuel lines are classified 

based on measured emissions over the 

test procedure specified for the class. 

(c) The regulations in 40 CFR part 

1048 require that fuel lines used with 

Large SI engines must meet the 

standards for EPA Low-Emission Fuel 

Lines. The regulations in 40 CFR part 

1054 require that fuel lines used with 

handheld Small SI engines installed in 

cold-weather equipment must meet the 

standards for EPA Cold-Weather Fuel 

Lines. Unless specified otherwise in this 

subchapter U, fuel lines used with all 

other engines and equipment subject to 

the provisions of this part 1060, 

including fuel lines associated with 

outboard engines or portable marine 

fuel tanks, must meet the standards for 

EPA Nonroad Fuel Lines. 

(d) The following standards apply for 

each fuel line classification: 

(1) EPA Low-Emission Fuel Lines 

must have permeation emissions at or 

below 10 g/m2/day when measured 

according to the test procedure 

described in § 1060.510. 

(2) EPA Nonroad Fuel Lines must 

have permeation emissions at or below 

15 g/m2/day when measured according 

to the test procedure described in 

§ 1060.515. 

(3) EPA Cold-Weather Fuel Lines 

must meet the following permeation 

emission standards when measured 

according to the test procedure 

described in § 1060.515: 

TABLE 1 TO § 1060.102—PERMEATION

STANDARDS FOR EPA COLDWEATHER FUEL LINES

Model year Standard 

(g/m2/day) 

2012 ...................................... 290 

2013 ...................................... 275 

2014 ...................................... 260 

2015 ...................................... 245 

2016 and later ...................... 225 

(e) You may certify fuel lines as 

follow: 

(1) You may certify straight-run fuel 

lines as sections of any length. 

(2) You may certify molded fuel lines 

in any configuration representing your 

actual production, subject to the 

provisions for selecting a worst-case 

configuration in § 1060.235(b). 

(3) You may certify fuel line 

assemblies as aggregated systems that 

include multiple sections of fuel line 

with connectors and fittings. For 

example, you may certify fuel lines for 

portable marine fuel tanks as assemblies 

of fuel hose, primer bulbs, and selfsealing end connections. The length of 

such an assembly must not be longer 

than a typical in-use installation and 

must always be less than 2.5 meters 

long. You may also certify primer bulbs 

separately. The standard applies with 

respect to the total permeation 

emissions divided by the wetted 

internal surface area of the assembly. 

Where it is not practical to determine 

the actual internal surface area of the 

assembly, you may assume that the 

internal surface area per unit length of 

the assembly is equal to the ratio of 

internal surface area per unit length of 

the hose section of the assembly. 

§ 1060.103 What permeation emission 

control requirements apply for fuel tanks? 

(a) Fuel tanks must meet permeation 

requirements as follows: 

(1) Marine SI fuel tanks, including 

engine-mounted fuel tanks and portable 

marine fuel tanks, must meet the 

permeation requirements in this section. 

(2) Large SI fuel tanks must meet 

diurnal emission standards as specified 

in § 1060.105, which includes 

measurement of permeation emissions. 

No separate permeation standard 

applies. 

(3) Fuel tanks for recreational vehicles 

must meet the permeation requirements 

specified in 40 CFR 1051.110 or in this 

section. 

(4) Small SI fuel tanks must meet the 

permeation requirements in this section 

unless they are installed in equipment 

certified to meet diurnal emission 

standards under § 1060.105(e). 

(b) Permeation emissions from fuel 

tanks may not exceed 1.5 g/m2/day 

when measured at a nominal 

temperature of 28 °C with the test 

procedures for tank permeation in 

§ 1060.520. You may also choose to 

meet a standard of 2.5 g/m2/day if you 

perform testing at a nominal 

temperature of 40 °C under 

§ 1060.520(d). 

(c) The exhaust standard-setting part 

may allow for certification of fuel tanks 

to a family emission limit for calculating 

evaporative emission credits as 

described in subpart H of this part 

instead of meeting the emission 

standards in this section. 

(d) For purposes of this part, fuel 

tanks do not include fuel lines that are 

subject to § 1060.102, petcocks designed 

for draining fuel, or grommets used with 

fuel lines. Fuel tanks include other 

fittings (such as fuel caps, gaskets, and 

O-rings) that are directly mounted to the 

fuel tank. 

(e) Fuel caps may be certified 

separately to the permeation emission 

standard in paragraph (b) of this section 

using the test procedures specified in 

§ 1060.521. For the purposes of this 

paragraph (e), gaskets or O-rings that are 

produced as part of an assembly with 

the fuel cap are considered part of the 

fuel cap. 

(f) Metal fuel tanks that meet the 

permeation criteria in § 1060.240(d)(2) 

or use certified nonmetal fuel caps will 

be deemed to be certified as in 

conformity with the requirements of this 

section without submitting an 

application for certification. 

§ 1060.104 What running loss emission 

control requirements apply? 

(a) Engines and equipment must meet 

running loss requirements as follows: 

(1) Marine SI engines and vessels are 

not subject to running loss emission 

standards. 

(2) Large SI engines and equipment 

must prevent fuel boiling during 

operation as specified in 40 CFR 

1048.105. 

(3) Recreational vehicles are not 

subject to running loss emission 

standards. 

(4) Nonhandheld Small SI engines 

and equipment that are not used in 

wintertime equipment must meet 

running loss requirements described in 

this section. Handheld Small SI engines 

and equipment are not subject to 

running loss emission standards. 

(b) You must demonstrate control of 

running loss emissions in one of the 

following ways if your engines or 

equipment are subject to the 

requirements of this section: 

mstockstill on PROD1PC66 with RULES2

59304 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(1) Route running loss emissions into 

the engine intake system so fuel vapors 

vented from the tank during engine 

operation are combusted in the engine. 

This may involve routing vapors 

through a carbon canister. If another 

company has certified the engine with 

respect to exhaust emissions, state in 

your application for certification that 

you have followed the engine 

manufacturer’s installation instructions. 

(2) Use a fuel tank that remains sealed 

under normal operating conditions. This 

may involve a bladder or other means to 

prevent pressurized fuel tanks. 

(3) Get an approved Executive Order 

from the California Air Resources Board 

showing that your system meets 

applicable running loss standards in 

California. 

(c) If you are subject to both running 

loss and diurnal emission standards, use 

good engineering judgment to ensure 

that the emission controls are 

compatible. 

§ 1060.105 What diurnal requirements 

apply for equipment? 

(a) Fuel tanks must meet diurnal 

emission requirements as follows: 

(1) Marine SI fuel tanks, including 

engine-mounted fuel tanks and portable 

marine fuel tanks, must meet the 

requirements related to diurnal 

emissions specified in this section. 

(2) Large SI fuel tanks must meet the 

requirements related to diurnal 

emissions specified in 40 CFR 1048.105. 

(3) Recreational vehicles are not 

subject to diurnal emission standards. 

(4) Small SI fuel tanks are not subject 

to diurnal emission standards, except as 

specified in paragraph (e) of this 

section. 

(b) Diurnal emissions from Marine SI 

fuel tanks may not exceed 0.40 g/gal/ 

day when measured using the test 

procedures specified in § 1060.525 for 

general fuel temperatures. An 

alternative standard of 0.16 g/gal/day 

applies for fuel tanks installed in 

nontrailerable boats when measured 

using the corresponding fuel 

temperature profile in § 1060.525. 

Portable marine fuel tanks are not 

subject to the requirements of this 

paragraph (b), but must instead comply 

with the requirements of paragraphs (c) 

and (d) of this section. 

(c) Portable marine fuel tanks and 

associated fuel-system components 

must meet the following requirements: 

(1) They must be self-sealing (without 

any manual vents) when not attached to 

the engines. The tanks may not vent to 

the atmosphere when attached to an 

engine. 

(2) They must remain sealed up to a 

positive pressure of 34.5 kPa (5.0 psig); 

however, they may contain air inlets 

that open when there is a vacuum 

pressure inside the tank. 

(d) Detachable fuel lines that are 

intended for use with portable marine 

fuel tanks must be self-sealing (without 

any manual vents) when not attached to 

the engine or fuel tank. 

(e) Manufacturers of nonhandheld 

Small SI equipment may optionally 

meet the diurnal emission standards 

adopted by the California Air Resources 

Board in the Final Regulation Order, 

Article 1, Chapter 15, Division 3, Title 

13, California Code of Regulations, July 

26, 2004 (incorporated by reference in 

§ 1060.810). To meet this requirement, 

equipment must be certified to the 

performance standards specified in Title 

13 CCR § 2754(a) based on the 

applicable requirements specified in 

CP–902 and TP–902, including the 

requirements related to fuel caps in 

Title 13 CCR § 2756. Equipment 

certified under this paragraph (e) does 

not need to use fuel lines or fuel tanks 

that have been certified separately. 

Equipment certified under this 

paragraph (e) are subject to all the 

referenced requirements as if these 

specifications were mandatory. 

(f) The following general provisions 

apply for controlling diurnal emissions: 

(1) If you are subject to both running 

loss and diurnal emission standards, use 

good engineering judgment to ensure 

that the emission controls are 

compatible. 

(2) You may not use diurnal emission 

controls that increase the occurrence of 

fuel spitback or spillage during in-use 

refueling. Also, if you use a carbon 

canister, you must incorporate design 

features that prevent liquid gasoline 

from reaching the canister during 

refueling or as a result of fuel sloshing 

or fuel expansion. 

§ 1060.120 What emission-related warranty 

requirements apply? 

(a) General requirements. The 

certifying manufacturer must warrant to 

the ultimate purchaser and each 

subsequent purchaser that the new 

nonroad equipment, including its 

evaporative emission control system, 

meets two conditions: 

(1) It is designed, built, and equipped 

so it conforms at the time of sale to the 

ultimate purchaser with the 

requirements of this part. 

(2) It is free from defects in materials 

and workmanship that may keep it from 

meeting these requirements. 

(b) Warranty period. Your emissionrelated warranty must be valid for at 

least two years from the point of first 

retail sale. 

(c) Components covered. The 

emission-related warranty covers all 

components whose failure would 

increase the evaporative emissions, 

including those listed in 40 CFR part 

1068, Appendix I, and those from any 

other system you develop to control 

emissions. Your emission-related 

warranty does not cover components 

whose failure would not increase 

evaporative emissions. 

(d) Relationships between 

manufacturers. 

(1) The emission-related warranty 

required for equipment manufacturers 

that certify equipment must cover all 

specified components even if another 

company produces the component. 

(2) Where an equipment manufacturer 

fulfills a warranty obligation for a given 

component, the component 

manufacturer is deemed to have also 

met that obligation. 

§ 1060.125 What maintenance instructions 

must I give to buyers? 

Give ultimate purchasers written 

instructions for properly maintaining 

and using the emission control system. 

You may not specify any maintenance 

more frequently than once per year. For 

example, if you produce cold-weather 

equipment that requires replacement of 

fuel cap gaskets or O-rings, provide 

clear instructions to the ultimate 

purchaser, including the required 

replacement interval. 

§ 1060.130 What installation instructions 

must I give to equipment manufacturers? 

(a) If you sell a certified fuel-system 

component for someone else to install in 

equipment, give the installer 

instructions for installing it consistent 

with the requirements of this part. 

(b) Make sure the instructions have 

the following information: 

(1) Include the heading: ‘‘Emissionrelated installation instructions’’. 

(2) State: ‘‘Failing to follow these 

instructions when installing [IDENTIFY 

COMPONENT(S)] 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 limits on the range of 

applications needed to ensure that the 

component operates consistently with 

your application for certification. For 

example: 

(i) For fuel tanks sold without fuel 

caps, you must specify the requirements 

for the fuel cap, such as the allowable 

materials, thread pattern, how it must 

seal, etc. You must also include 

instructions to tether the fuel cap as 

described in § 1060.101(f)(1) if you do 

not sell your fuel tanks with tethered 

fuel caps. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59305 

(ii) If your fuel lines do not meet 

permeation standards specified in 

§ 1060.102 for EPA Low-Emission Fuel 

Lines, tell equipment manufacturers not 

to install the fuel lines with Large SI 

engines that operate on gasoline or 

another volatile liquid fuel. 

(4) Describe instructions for installing 

components so they will operate 

according to design specifications in 

your application for certification. 

Specify sufficient detail to ensure that 

the equipment will meet the applicable 

standards when your component is 

installed. 

(5) If you certify a component with a 

family emission limit above the 

emission standard, be sure to indicate 

that the equipment manufacturer must 

have a source of credits to offset the 

higher emissions. Also indicate the 

applications for which the regulations 

allow for compliance using evaporative 

emission credits. 

(6) Instruct the equipment 

manufacturers that they must comply 

with the requirements of § 1060.202. 

(c) You do not need installation 

instructions for components you install 

in your own equipment. 

(d) Provide instructions in writing or 

in an equivalent format. For example, 

you may post instructions on a publicly 

available Web site for downloading or 

printing, provided you keep a copy of 

these instructions in your records. If you 

do not provide the instructions in 

writing, explain in your application for 

certification how you will ensure that 

each installer is informed of the 

installation requirements. 

§ 1060.135 How must I label and identify 

the engines and equipment I produce? 

The labeling requirements of this 

section apply for all equipment 

manufacturers and for engine 

manufacturers that certify with respect 

to evaporative emissions. See § 1060.137 

for the labeling requirements that apply 

separately for fuel lines, fuel tanks, and 

other fuel-system components. 

(a) You must affix a permanent and 

legible label identifying each engine or 

piece of equipment before introducing it 

into U.S. commerce. The label must 

be— 

(1) Attached in one piece so it is not 

removable without being destroyed or 

defaced. 

(2) Secured to a part of the engine or 

equipment needed for normal operation 

and not normally requiring replacement. 

(3) Durable and readable for the 

equipment’s entire life. 

(4) Written in English. 

(5) Readily visible in the final 

installation. It may be under a hinged 

door or other readily opened cover. It 

may not be hidden by any cover 

attached with screws or any similar 

designs. Labels on marine vessels must 

be visible from the helm. 

(b) If you hold a certificate for your 

engine or equipment with respect to 

evaporative emissions, the engine or 

equipment label specified in paragraph 

(a) of this section must— 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your corporate name and 

trademark. You may identify another 

company and use its trademark instead 

of yours if you comply with the 

provisions of § 1060.640. 

(3) State the date of manufacture 

[MONTH and YEAR] of the equipment; 

however, you may omit this from the 

label if you stamp or engrave it on the 

equipment. 

(4) State: ‘‘THIS EQUIPMENT [or 

VEHICLE or BOAT] MEETS U.S. EPA 

EVAP STANDARDS.’’ 

(5) Identify the certified fuel-system 

components installed on the equipment 

as described in this paragraph (b)(5). 

Establish a component code for each 

certified fuel-system component, 

including those certified by other 

companies. You may use part numbers, 

certification numbers, or any other 

unique code that you or the certifying 

component manufacturer establish. This 

identifying information must 

correspond to printing or other labeling 

on each certified fuel-system 

component, whether you or the 

component manufacturer certifies the 

individual component. You may 

identify multiple part numbers if your 

equipment design might include an 

option to use more than one component 

design (such as from multiple 

component manufacturers). Use one of 

the following methods to include 

information on the label that identifies 

certified fuel-system components: 

(i) Use the component codes to 

identify each certified fuel-system 

component on the label specified in this 

paragraph (b). 

(ii) Identify the emission family on 

the label using EPA’s standardized 

designation or an abbreviated 

equipment code that you establish in 

your application for certification. 

Equipment manufacturers that also 

certify their engines with respect to 

exhaust emissions may use the same 

emission family name for both exhaust 

and evaporative emissions. If you use 

the provisions of this paragraph 

(b)(5)(ii), you must identify all the 

certified fuel-system components and 

the associated component codes in your 

application for certification. In this case 

the label specified in this paragraph (b) 

may omit the information related to 

specific fuel-system components. 

(c) If you produce equipment without 

certifying with respect to evaporative 

emissions, the equipment label 

specified in paragraph (a) of this section 

must— 

(1) State: ‘‘MEETS U.S. EPA EVAP 

STANDARDS USING CERTIFIED 

COMPONENTS.’’ 

(2) Include your corporate name. 

(d) You may add information to the 

emission control information label as 

follows: 

(1) You may identify other emission 

standards that the engine meets or does 

not meet (such as California standards). 

You may include this information by 

adding it to the statement we specify or 

by including a separate statement. 

(2) You may add other information to 

ensure that the engine will be properly 

maintained and used. 

(3) You may add appropriate features 

to prevent counterfeit labels. For 

example, you may include the engine’s 

unique identification number on the 

label. 

(e) Anyone subject to the labeling 

requirements in this part 1060 may ask 

us to approve modified labeling 

requirements if it is necessary or 

appropriate. We will approve the 

request if the alternate label is 

consistent with the requirements of this 

part. 

§ 1060.137 How must I label and identify 

the fuel-system components I produce? 

The requirements of this section 

apply for manufacturers of fuel-system 

components subject to emission 

standards under this part 1060. 

However, these requirements do not 

apply if you produce fuel-system 

components that will be covered by a 

certificate of conformity from another 

company under § 1060.601(f). These 

requirements also do not apply for 

components you certify if you also 

certify the equipment in which the 

component is installed and meet the 

labeling requirements in § 1060.135. 

(a) Label the following components as 

described in this section: 

(1) All fuel tanks, except for metal 

fuel tanks that are deemed certified 

under § 1060.103(f). 

(2) Fuel lines. This includes primer 

bulbs unless they are excluded from the 

definition of ‘‘fuel line’’ under the 

standard-setting part. Label primer 

bulbs separately. 

(3) Carbon canisters. 

(4) Fuel caps, as described in this 

paragraph (a)(4). Fuel caps must be 

labeled if they are separately certified 

under § 1060.103 or if the diurnal 

control system requires that the fuel 

mstockstill on PROD1PC66 with RULES2

59306 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

tank hold pressure. Fuel caps must also 

be labeled if they are attached directly 

to the fuel tank, unless the fuel tank is 

certified based on a worst-case fuel cap. 

(5) Replaceable pressure-relief 

assemblies. This does not apply if the 

component is integral to the fuel tank or 

fuel cap. 

(6) Other components we determine 

to be critical to the proper functioning 

of evaporative emission controls. 

(b) Label your certified fuel-system 

components at the time of manufacture. 

The label must be— 

(1) Attached so it is not removable 

without being destroyed or defaced. 

This may involve printing directly on 

the product. For molded products, you 

may use the mold to apply the label. 

(2) Durable and readable for the 

equipment’s entire life. 

(3) Written in English. 

(c) Except as specified in paragraph 

(d) of this section, you must create the 

label specified in paragraph (b) of this 

section as follows: 

(1) Include your corporate name. You 

may identify another company instead 

of yours if you comply with the 

provisions of § 1054.640. 

(2) Include EPA’s standardized 

designation for the emission family. 

(3) State: ‘‘EPA COMPLIANT’’. 

(4) Fuel tank labels must identify the 

FEL, if applicable. 

(5) Fuel line labels must identify the 

applicable permeation level. This may 

involve any of the following 

approaches: 

(i) Identify the applicable numerical 

emission standard (such as 15 g/m 2/ 

day). 

(ii) Identify the applicable emission 

standards using EPA classifications 

(such as EPA Nonroad Fuel Lines). 

(iii) Identify the applicable industry 

standard specification (such as SAE J30 

R12). 

(6) Fuel line labels must be 

continuous, with no more than 12 

inches before repeating. We will 

consider labels to be continuous if the 

space between repeating segments is no 

longer than that of the repeated 

information. You may add a continuous 

stripe or other pattern to help identify 

the particular type or grade of your 

products. 

(d) You may create an abbreviated 

label for your components. Such a label 

may rely on codes to identify the 

component. The code must at a 

minimum identify the certification 

status, your corporate name, and the 

emission family. For example, XYZ 

Manufacturing may label its fuel lines as 

‘‘EPA–XYZ–A15’’ to designate that their 

‘‘A15’’ family was certified to meet 

EPA’s 15 g/m 2/day standard. If you do 

this, you must describe the abbreviated 

label in your application for 

certification and identify all the 

associated information specified in 

paragraph (c) of this section. 

(e) You may ask us to approve 

modified labeling requirements in this 

section as described in § 1060.135(e). 

Subpart C—Certifying Emission 

Families 

§ 1060.201 What are the general 

requirements for obtaining a certificate of 

conformity? 

Manufacturers of engines, equipment, 

or fuel-system components may need to 

certify their products with respect to 

evaporative emission standards as 

described in §§ 1060.1 and 1060.601. 

See § 1060.202 for requirements related 

to certifying with respect to the 

requirements specified in § 1060.101(f). 

The following general requirements 

apply for obtaining a certificate of 

conformity: 

(a) You must send us a separate 

application for a certificate of 

conformity for each emission family. A 

certificate of conformity for equipment 

is valid starting with the indicated 

effective date but it is not valid for any 

production after December 31 of the 

model year for which it is issued. No 

certificate will be issued after December 

31 of the model year. A certificate of 

conformity for a component is valid 

starting with the indicated effective date 

but it is not valid for any production 

after the end of the production period 

for which it is issued. 

(b) The application must contain all 

the information required by this part 

and must not include false or 

incomplete statements or information 

(see § 1060.255). 

(c) We may ask you to include less 

information than we specify in this 

subpart as long as you maintain all the 

information required by § 1060.250. For 

example, equipment manufacturers 

might use only components that are 

certified by other companies to meet 

applicable emission standards, in which 

case we would not require submission 

of emission data already submitted by 

the component manufacturer. 

(d) You must use good engineering 

judgment for all decisions related to 

your application (see 40 CFR 1068.5). 

(e) An authorized representative of 

your company must approve and sign 

the application. 

(f) See § 1060.255 for provisions 

describing how we will process your 

application. 

(g) We may specify streamlined 

procedures for small-volume equipment 

manufacturers. 

§ 1060.202 What are the certification 

requirements related to the general 

standards in § 1060.101? 

Equipment manufacturers must 

ensure that their equipment is certified 

with respect to the general standards 

specified in § 1060.101(f) as follows: 

(a) If § 1060.5 requires you to certify 

your equipment to any of the emission 

standards specified in §§ 1060.102 

through 1060.105, describe in your 

application for certification how you 

will meet the general standards 

specified in § 1060.101(f). 

(b) If § 1060.5 does not require you to 

certify your equipment to any of the 

emission standards specified in 

§§ 1060.102 through 1060.105, your 

equipment is deemed to be certified 

with respect to the general standards 

specified in § 1060.101(f) if you design 

and produce your equipment to meet 

those standards. 

(1) You must keep records as 

described in § 1060.210. The other 

provisions of this part for certificate 

holders apply only as specified in 

§ 1060.5. 

(2) Your equipment is deemed to be 

certified only to the extent that it meets 

the general standards in § 1060.101(f). 

Thus, it is a violation of 40 CFR 

1068.101(a)(1) to introduce into U.S. 

commerce such equipment that does not 

meet applicable requirements under 

§ 1060.101(f). 

(c) Instead of relying on paragraph (b) 

of this section, you may submit an 

application for certification and obtain a 

certificate from us. The provisions of 

this part apply in the same manner for 

certificates issued under this paragraph 

(c) as for any other certificate issued 

under this part. 

§ 1060.205 What must I include in my 

application? 

This section specifies the information 

that must be in your application, unless 

we ask you to include less information 

under § 1060.201(c). We may require 

you to provide additional information to 

evaluate your application. 

(a) Describe the emission family’s 

specifications and other basic 

parameters of the emission controls. 

Describe how you meet the running loss 

emission control requirements in 

§ 1060.104, if applicable. Describe how 

you meet any applicable equipmentbased requirements of § 1060.101(e) and 

(f). State whether you are requesting 

certification for gasoline or some other 

fuel type. List each distinguishable 

configuration in the emission family. 

(b) Describe the products you selected 

for testing and the reasons for selecting 

them. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59307 

(c) Describe the test equipment and 

procedures that you used, including any 

special or alternate test procedures you 

used (see § 1060.501). 

(d) List the specifications of the test 

fuel to show that it falls within the 

required ranges specified in subpart F of 

this part. 

(e) State the equipment applications 

to which your certification is limited. 

For example, if your fuel system meets 

the emission requirements of this part 

applicable only to handheld Small SI 

equipment, state that the requested 

certificate would apply only for 

handheld Small SI equipment. 

(f) Identify the emission family’s 

useful life. 

(g) Include the maintenance 

instructions you will give to the 

ultimate purchaser of each new nonroad 

engine (see § 1060.125). 

(h) Include the emission-related 

installation instructions you will 

provide if someone else will install your 

component in a piece of nonroad 

equipment (see § 1060.130). 

(i) Describe your emission control 

information label (see §§ 1060.135 and 

1060.137). 

(j) Identify the emission standards or 

FELs to which you are certifying the 

emission family. 

(k) Present emission data to show 

your products meet the applicable 

emission standards. Note that 

§§ 1060.235 and 1060.240 allow you to 

submit an application in certain cases 

without new emission data. 

(l) State that your product was tested 

as described in the application 

(including the test procedures, test 

parameters, and test fuels) to show you 

meet the requirements of this part. If 

you did not do the testing, identify the 

source of the data. 

(m) Report all test results, including 

those from invalid tests, whether or not 

they were conducted according to the 

test procedures of subpart F of this part. 

We may ask you to send other 

information to confirm that your tests 

were valid under the requirements of 

this part. 

(n) Unconditionally certify that all the 

products in the emission family comply 

with the requirements of this part, other 

referenced parts of the CFR, and the 

Clean Air Act. 

(o) Include good-faith estimates of 

U.S.-directed production volumes. 

Include a justification for the estimated 

production volumes if they are 

substantially different than actual 

production volumes in earlier years for 

similar models. 

(p) Include other applicable 

information, such as information 

required by other subparts of this part. 

(q) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

§ 1060.210 What records should 

equipment manufacturers keep if they do 

not apply for certification? 

If you are an equipment manufacturer 

that does not need to obtain a certificate 

of conformity for your equipment as 

described in § 1060.5, you must keep 

the records specified in this section to 

document compliance with applicable 

requirements. We may review these 

records at any time. If we ask, you must 

send us these records within 30 days. 

You must keep these records for eight 

years from the end of the model year. 

(a) Identify your equipment models 

and the annual U.S.-directed production 

volumes for each model. 

(b) Identify the emission family names 

of the certificates that will cover your 

equipment, the part numbers of those 

certified components, and the names of 

the companies that hold the certificates. 

You must be able to identify this 

information for each piece of equipment 

you produce. 

(c) Describe how you comply with 

any emission-related installation 

instructions, labeling requirements, and 

the general standards in § 1060.101(e) 

and (f). 

§ 1060.225 How do I amend my application 

for certification? 

Before we issue a certificate of 

conformity, you may amend your 

application to include new or modified 

configurations, subject to the provisions 

of this section. After we have issued 

your certificate of conformity, you may 

send us an amended application 

requesting that we include new or 

modified configurations within the 

scope of the certificate, subject to the 

provisions of this section. You must 

amend your application if any changes 

occur with respect to any information 

included in your application. 

(a) You must amend your application 

before you take any of the following 

actions: 

(1) Add a configuration to an emission 

family. In this case, the configuration 

added must be consistent with other 

configurations in the emission family 

with respect to the criteria listed in 

§ 1060.230. 

(2) Change a configuration already 

included in an emission family in a way 

that may affect emissions, or change any 

of the components you described in 

your application for certification. This 

includes production and design changes 

that may affect emissions any time 

during the equipment’s lifetime. 

(3) Modify an FEL for an emission 

family as described in paragraph (f) of 

this section. Note however that 

component manufacturers may not 

modify an FEL for their products unless 

they submit a separate application for a 

new emission family. 

(b) To amend your application for 

certification, send the Designated 

Compliance Officer the following 

information: 

(1) Describe in detail the addition or 

change in the configuration you intend 

to make. 

(2) Include engineering evaluations or 

data showing that the amended 

emission family complies with all 

applicable requirements. You may do 

this by showing that the original 

emission data are still appropriate for 

showing that the amended family 

complies with all applicable 

requirements. 

(3) If the original emission data for the 

emission family are not appropriate to 

show compliance for the new or 

modified configuration, include new 

test data showing that the new or 

modified configuration meets the 

requirements of this part. 

(c) We may ask for more test data or 

engineering evaluations. Within 30 days 

after we make our request, you must 

provide the information or describe 

your plan for providing it in a timely 

manner. 

(d) For emission families already 

covered by a certificate of conformity, 

we will determine whether the existing 

certificate of conformity covers your 

new or modified configuration. You 

may ask for a hearing if we deny your 

request (see § 1060.820). 

(e) For emission families already 

covered by a certificate of conformity, 

you may start producing the new or 

modified configuration anytime after 

you send us your amended application 

and before we make a decision under 

paragraph (d) of this section. However, 

if we determine that the affected 

configurations do not meet applicable 

requirements, we will notify you to 

cease production of the configurations 

and may require you to recall the 

equipment at no expense to the owner. 

Choosing to produce equipment under 

this paragraph (e) is deemed to be 

consent to recall all equipment that we 

determine do not meet applicable 

emission standards or other 

requirements and to remedy the 

nonconformity at no expense to the 

owner. If you do not provide 

information we request under paragraph 

(c) of this section within 30 days after 

mstockstill on PROD1PC66 with RULES2

59308 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

we request it, you must stop producing 

the new or modified equipment. 

(f) If you hold a certificate of 

conformity for equipment and you have 

certified the fuel tank that you install in 

the equipment, you may ask us to 

approve a change to your FEL after the 

start of production. The changed FEL 

may not apply to equipment you have 

already introduced into U.S. commerce, 

except as described in this paragraph (f). 

If we approve a changed FEL after the 

start of production, you must identify 

the date or serial number for applying 

the new FEL. If you identify this by 

month and year, we will consider that 

a lowered FEL applies on the last day 

of the month and a raised FEL applies 

on the first day of the month. You may 

ask us to approve a change to your FEL 

in the following cases: 

(1) You may ask to raise your FEL for 

your emission family at any time. In 

your request, you must show that you 

will still be able to meet the emission 

standards as specified in the exhaust 

standard-setting part. If you amend your 

application by submitting new test data 

to include a newly added or modified 

fuel tank configuration, as described in 

paragraph (b)(3) of this section, use the 

appropriate FELs with corresponding 

production volumes to calculate your 

production-weighted average FEL for 

the model year. In all other 

circumstances, you must use the higher 

FEL for the entire family to calculate 

your production-weighted average FEL 

under subpart H of this part. 

(2) You may ask to lower the FEL for 

your emission family only if you have 

test data from production units showing 

that emissions are below the proposed 

lower FEL. The lower FEL applies only 

for units you produce after we approve 

the new FEL. Use the appropriate FELs 

with corresponding production volumes 

to calculate your production-weighted 

average FEL for the model year. 

(g) Component manufacturers may not 

change an emission family’s FEL under 

any circumstances. Changing the FEL 

would require submission of a new 

application for certification. 

§ 1060.230 How do I select emission 

families? 

(a) For purposes of certification, 

divide your product line into families of 

equipment (or components) that are 

expected to have similar emission 

characteristics throughout their useful 

life. 

(b) Group fuel lines into the same 

emission family if they are the same in 

all the following aspects: 

(1) Type of material including barrier 

layer. 

(2) Production method. 

(3) Types of connectors and fittings 

(material, approximate wall thickness, 

etc.) for fuel line assemblies certified 

together. 

(c) Group fuel tanks (or fuel systems 

including fuel tanks) into the same 

emission family if they are the same in 

all the following aspects: 

(1) Type of material, including any 

pigments, plasticizers, UV inhibitors, or 

other additives that are expected to 

affect control of emissions. 

(2) Production method. 

(3) Relevant characteristics of fuel cap 

design for fuel systems subject to 

diurnal emission requirements. 

(4) Gasket material. 

(5) Emission control strategy. 

(6) Family emission limit, if 

applicable. 

(d) Group other fuel-system 

components and equipment into the 

same emission family if they are the 

same in all the following aspects: 

(1) Emission control strategy and 

design. 

(2) Type of material (such as type of 

charcoal used in a carbon canister). This 

criteria does not apply for materials that 

are unrelated to emission control 

performance. 

(3) The fuel systems meet the running 

loss emission standard based on the 

same type of compliance demonstration 

specified in § 1060.104(b), if applicable. 

(e) You may subdivide a group of 

equipment or components that are 

identical under paragraphs (b) through 

(d) of this section into different 

emission families if you show the 

expected emission characteristics are 

different during the useful life. 

(f) In unusual circumstances, you may 

group equipment or components that 

are not identical with respect to the 

things listed in paragraph (b) through 

(d) of this section into the same 

emission family if you show that their 

emission characteristics during the 

useful life will be similar. The 

provisions of this paragraph (f) do not 

exempt any engines or equipment from 

meeting all the applicable standards and 

requirements in subpart B of this part. 

(g) Emission families may include 

components used in multiple 

equipment categories. Such families are 

covered by a single certificate. For 

example, a single emission family may 

contain fuel tanks used in both Small SI 

equipment and Marine SI vessels. 

§ 1060.235 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. 

(a) Test your products using the 

procedures and equipment specified in 

subpart F of this part. 

(b) Select an emission-data unit from 

each emission family for testing. If you 

are certifying with a family emission 

limit, you must test at least three 

emission-data units. In general, you 

must test a preproduction product that 

will represent actual production. 

However, for fuel tank permeation, you 

may test a tank with standardized 

geometry provided that it is made of the 

same material(s) and appropriate wall 

thickness. In general, the test 

procedures specify that components or 

systems be tested rather than complete 

equipment. For example, to certify your 

family of Small SI equipment, you 

would need to test a sample of fuel line 

for permeation emissions and a fuel 

tank for permeation emissions. Note that 

paragraph (e) of this section and 

§ 1060.240 allow you in certain 

circumstances to certify without testing 

an emission-data unit from the emission 

family. Select test components that are 

most likely to exceed (or have emissions 

nearer to) the applicable emission 

standards as follows: 

(1) For fuel tanks, consider the 

following factors associated with higher 

emission levels: 

(i) Smallest average wall thickness (or 

barrier thickness, as appropriate). 

(ii) Greatest extent of pinch welds for 

tanks using barrier technologies. 

(iii) Greatest relative area of gasket 

material, especially if gaskets are made 

of high-permeation materials. 

(2) For fuel lines, consider the 

following factors associated with higher 

emission levels: 

(i) Smallest average wall thickness (or 

barrier thickness, as appropriate). 

(ii) Smallest inner diameter. 

(c) You may not do maintenance on 

emission-data units. 

(d) We may measure emissions from 

any of your products from the emission 

family, as follows: 

(1) You must supply your products to 

us if we choose to perform confirmatory 

testing. 

(2) If we measure emissions on one of 

your products, the results of that testing 

become the official emission results for 

the emission family. Unless we later 

invalidate these data, we may decide 

not to consider your data in determining 

if your emission family meets applicable 

requirements. 

(e) You may ask to use carryover 

emission data from a previous 

production period instead of doing new 

tests, but only if all the following are 

true: 

(1) The emission family from the 

previous production period differs from 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59309 

the current emission family only with 

respect to production period or other 

characteristics unrelated to emissions. 

You may also ask to add a configuration 

subject to § 1060.225. 

(2) The emission-data unit from the 

previous production period remains the 

appropriate emission-data unit under 

paragraph (b) of this section. For 

example, you may not carryover 

emission data for your family of nylon 

fuel tanks if you have added a thinnerwalled fuel tank than was tested 

previously. 

(3) The data show that the emissiondata unit would meet all the 

requirements that apply to the emission 

family covered by the application for 

certification. 

(f) We may require you to test another 

unit of the same or different 

configuration in addition to the unit(s) 

tested under paragraph (b) of this 

section. 

(g) If you use an alternate test 

procedure under § 1060.505, and later 

testing shows that such testing does not 

produce results that are equivalent to 

the procedures specified in this part, we 

may reject data you generated using the 

alternate procedure. 

§ 1060.240 How do I demonstrate that my 

emission family complies with evaporative 

emission standards? 

(a) For purposes of certification, your 

emission family is considered in 

compliance with an evaporative 

emission standard in subpart B of this 

part if you do either of the following: 

(1) You have test results showing a 

certified emission level from the fuel 

tank or fuel line (as applicable) in the 

family are at or below the applicable 

standard. 

(2) You comply with design 

specifications as specified in paragraphs 

(d) through (f) of this section. 

(b) Your emission family is deemed 

not to comply if any fuel tank or fuel 

line representing that family has an 

official emission result above the 

standard. 

(c) Round each official emission result 

to the same number of decimal places as 

the emission standard. 

(d) You may demonstrate for 

certification that your emission family 

complies with the fuel tank permeation 

standards specified in § 1060.103 with 

any of the following control 

technologies: 

(1) A coextruded high-density 

polyethylene fuel tank with a 

continuous ethylene vinyl alcohol 

barrier layer (with not more than 40 

molar percent ethylene) making up at 

least 2 percent of the fuel tank’s overall 

wall thickness with any of the following 

gasket and fuel-cap characteristics: 

(i) No nonmetal gaskets or fuel caps. 

(ii) All nonmetal gaskets and fuel caps 

made from low-permeability materials. 

(iii) Nonmetal gaskets and fuel caps 

that are not made from low-permeability 

materials up to the following limits: 

(A) Gaskets with a total exposed 

surface area less than 0.25 percent of the 

total inside surface area of the fuel tank. 

For example, a fuel tank with an inside 

surface area of 0.40 square meters may 

use high-permeation gasket material 

representing a surface area of up to 

1,000 mm2 (0.25% × 1⁄100 × 0.40 m2 × 

1,000,000 mm2/m2). Determine surface 

area based on the amount of material 

exposed to liquid fuel. 

(B) Fuel caps directly mounted to the 

fuel tank with the surface area of the 

fuel cap less than 3.0 percent of the total 

inside surface area of the fuel tank. Use 

the smallest inside cross-sectional area 

of the opening on which the cap is 

mounted as the fuel cap’s surface area. 

(2) A metal fuel tank with the gasket 

and fuel-cap characteristics meeting the 

specifications in paragraphs (d)(1)(i) 

through (iii) of this section. 

(e) You may demonstrate for 

certification that your emission family 

complies with the diurnal emission 

standards specified in § 1060.105 with 

any of the following control 

technologies: 

(1) A Marine SI fuel tank sealed up to 

a positive pressure of 7.0 kPa (1.0 psig); 

however, the fuel tank may contain air 

inlets that open when there is a vacuum 

pressure inside the tank. 

(2) A Marine SI fuel tank equipped 

with a passively purged carbon canister 

that meets the requirements of this 

paragraph (e)(2). The carbon must 

adsorb no more than 0.5 grams of water 

per gram of carbon at 90% relative 

humidity and a temperature of 25±5 °C. 

The carbon granules must have a 

minimum mean diameter of 3.1 mm 

based on the procedures in ASTM 

D2862 (incorporated by reference in 

§ 1060.810). The carbon must also pass 

a dust attrition test based on ASTM 

D3802 (incorporated by reference in 

§ 1060.810), except that hardness is 

defined as the ratio of mean particle 

diameter before and after the test and 

the procedure must involve twenty 1⁄2- 

inch steel balls and ten 3⁄4-inch steel 

balls. Use good engineering judgment in 

the structural design of the carbon 

canister. The canister must have a 

volume compensator or some other 

device to prevent the carbon pellets 

from moving within the canister as a 

result of vibration or changing 

temperature. The canister must have a 

minimum working capacity as follows: 

(i) You may use the measurement 

procedures specified by the California 

Air Resources Board in Attachment 1 to 

TP–902 to show that canister working 

capacity is least 3.6 grams of vapor 

storage capacity per gallon of nominal 

fuel tank capacity (or 1.4 grams of vapor 

storage capacity per gallon of nominal 

fuel tank capacity for fuel tanks used in 

nontrailerable boats). TP–902 is part of 

Final Regulation Order, Article 1, 

Chapter 15, Division 3, Title 13, 

California Code of Regulations, July 26, 

2004 as adopted by the California Air 

Resources Board (incorporated by 

reference in § 1060.810). 

(ii) You may produce canisters with a 

minimum carbon volume of 0.040 liters 

per gallon of nominal fuel tank capacity 

(or 0.016 liters per gallon for fuel tanks 

used in nontrailerable boats). The 

carbon canister must have a minimum 

effective length-to-diameter ratio of 3.5 

and the vapor flow must be directed 

with the intent of using the whole 

carbon bed. The carbon must have a 

minimum carbon working capacity of 90 

grams per liter. 

(f) We may establish additional design 

certification options where we find that 

new test data demonstrate that the use 

of a different technology design will 

ensure compliance with the applicable 

emission standards. 

(g) You may not establish a family 

emission limit below the emission 

standard for components certified based 

on design specifications under this 

section even if actual emission rates are 

much lower. 

§ 1060.250 What records must I keep? 

(a) Organize and maintain the 

following records: 

(1) A copy of all applications and any 

summary information you send us. 

(2) Any of the information we specify 

in § 1060.205 that you were not required 

to include in your application. 

(3) A detailed history of each 

emission-data unit. For each emission 

data unit, include all of the following: 

(i) The emission-data unit’s 

construction, including its origin and 

buildup, steps you took to ensure that 

it represents production equipment, any 

components you built specially for it, 

and all the components you include in 

your application for certification. 

(ii) All your emission tests, including 

documentation on routine and standard 

tests, and the date and purpose of each 

test. 

(iii) All tests to diagnose emission 

control performance, giving the date and 

time of each and the reasons for the test. 

(iv) Any other significant events. 

(4) Annual production figures for each 

emission family divided by assembly 

plant. 

(5) Keep a list of equipment 

identification numbers for all the 

mstockstill on PROD1PC66 with RULES2

59310 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

equipment you produce under each 

certificate of conformity. 

(b) Keep required data from routine 

emission tests (such as temperature 

measurements) 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. 

You must keep these records readily 

available. We may review them at any 

time. 

§ 1060.255 What decisions may EPA make 

regarding my certificate of conformity? 

(a) If we determine your application is 

complete and shows that the emission 

family meets all the requirements of this 

part and the Clean Air Act, we will 

issue a certificate of conformity for your 

emission family for that production 

period. We may make the approval 

subject to additional conditions. 

(b) We may deny your application for 

certification if we determine that your 

emission family fails to comply with 

emission standards or other 

requirements of this part or the Clean 

Air Act. We will base our decision on 

all available information. If we deny 

your application, we will explain why 

in writing. 

(c) In addition, we may deny your 

application or suspend or revoke your 

certificate if you do any of the 

following: 

(1) Refuse to comply with any testing 

or reporting requirements. 

(2) Submit false or incomplete 

information (paragraph (e) of this 

section applies if this is fraudulent). 

(3) Render inaccurate any test data. 

(4) Deny us from completing 

authorized activities despite our 

presenting a warrant or court order (see 

40 CFR 1068.20). This includes a failure 

to provide reasonable assistance. 

(5) Produce equipment or components 

for importation into the United States at 

a location where local law prohibits us 

from carrying out authorized activities. 

(6) Fail to supply requested 

information or amend your application 

to include all equipment or components 

being produced. 

(7) Take any action that otherwise 

circumvents the intent of the Clean Air 

Act or this part. 

(d) We may void your certificate if 

you do not keep the records we require 

or do not give us information when we 

ask for it. 

(e) We may void your certificate if we 

find that you intentionally submitted 

false or incomplete information. 

(f) If we deny your application or 

suspend, revoke, or void your 

certificate, you may ask for a hearing 

(see § 1060.820). 

Subpart D—Production Verification 

Testing 

§ 1060.301 Manufacturer testing. 

(a) Using good engineering judgment, 

you must evaluate production samples 

to verify that equipment or components 

you produce are as specified in the 

certificate of conformity. This may 

involve testing using certification 

procedures or other measurements. 

(b) You must give us records to 

document your evaluation if we ask for 

them. 

§ 1060.310 Supplying products to EPA for 

testing. 

Upon our request, you must supply a 

reasonable number of production 

samples to us for verification testing. 

Subpart E—In-use Testing 

§ 1060.401 General Provisions. 

We may perform in-use testing of any 

equipment or fuel-system components 

subject to the standards of this part. 

Subpart F—Test Procedures 

§ 1060.501 General testing provisions. 

(a) This subpart is addressed to you as 

a certifying manufacturer but it applies 

equally to anyone who does testing for 

you. 

(b) Unless we specify otherwise, the 

terms ‘‘procedures’’ and ‘‘test 

procedures’’ in this part include all 

aspects of testing, including the 

equipment specifications, calibrations, 

calculations, and other protocols and 

procedural specifications needed to 

measure emissions. 

(c) The specification for gasoline to be 

used for testing is given in 40 CFR 

1065.710. Use the grade of gasoline 

specified for general testing. For testing 

specified in this part that requires a 

blend of gasoline and ethanol, blend 

this grade of gasoline with fuel-grade 

ethanol meeting the specifications of 

ASTM D4806 (incorporated by reference 

in § 1060.810). You do not need to 

measure the ethanol concentration of 

such blended fuels and may instead 

calculate the blended composition by 

assuming that the ethanol is pure and 

mixes perfectly with the base fuel. For 

example, if you mix 10.0 liters of fuelgrade ethanol with 90.0 liters of 

gasoline, you may assume the resulting 

mixture is 10.0 percent ethanol. You 

may use more or less pure ethanol if you 

can demonstrate that it will not affect 

your ability to demonstrate compliance 

with the applicable emission standards. 

Note that unless we specify otherwise, 

any references to gasoline-ethanol 

mixtures containing a specified ethanol 

concentration means mixtures meeting 

the provisions of this paragraph (c). 

(d) Accuracy and precision of all 

temperature measurements must be ±1.0 

°C or better. If you use multiple sensors 

to measure differences in temperature, 

calibrate the sensors so they will be 

within 0.5 °C of each other when they 

are in thermal equilibrium at a point 

within the range of test temperatures 

(use the starting temperature in Table 1 

to § 1060.525 unless this is not feasible). 

(e) Accuracy and precision of mass 

balances must be sufficient to ensure 

accuracy and precision of two percent 

or better for emission measurements for 

products at the maximum level allowed 

by the standard. The readability of the 

display may not be coarser than half of 

the required accuracy and precision. 

Examples are shown in the following 

table: 

Example #1 Example #2 Example #3 

Applicable standard ............................................................ 1.5 g/m2/day ........................ 1.5 g/m2/day ........................ 15 g/m2/day. 

Internal surface area .......................................................... 1.15 m2 ................................ 0.47 m2 ................................ 0.070 m2. 

Length of test ..................................................................... 14 days ................................ 14 days ................................ 28 days. 

Maximum allowable mass change ..................................... 24.15 g ................................ 9.87 g .................................. 1.96 g. 

Required accuracy and precision ....................................... ±0.483 g or better ............... ±0.197 g or better ............... ±0.0392 g or better. 

Required readability ........................................................... 0.1 g or better ..................... 0.1 g or better ..................... 0.01 g or better. 

§ 1060.505 Other procedures. 

(a) Your testing. The procedures in 

this part apply for all testing you do to 

show compliance with emission 

standards, with certain exceptions listed 

in this section. 

(b) Our testing. These procedures 

generally apply for testing that we do to 

determine if your equipment complies 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59311 

with applicable emission standards. We 

may perform other testing as allowed by 

the Clean Air Act. 

(c) Exceptions. We may allow or 

require you to use procedures other than 

those specified in this part in the 

following cases: 

(1) You may request to use special 

procedures if your equipment cannot be 

tested using the specified procedures. 

We will approve your request if we 

determine that it would produce 

emission measurements that represent 

in-use operation and we determine that 

it can be used to show compliance with 

the requirements of the standard-setting 

part. 

(2) You may ask to use emission data 

collected using other procedures, such 

as those of the California Air Resources 

Board or the International Organization 

for Standardization. We will approve 

this only if you show us that using these 

other procedures does not affect your 

ability to show compliance with the 

applicable emission standards. This 

generally requires emission levels to be 

far enough below the applicable 

emission standards so any test 

differences do not affect your ability to 

state unconditionally that your 

equipment will meet all applicable 

emission standards when tested using 

the specified test procedures. 

(3) You may request to use alternate 

procedures that are equivalent to 

allowed procedures or are more accurate 

or more precise than allowed 

procedures. See 40 CFR 1065.12 for a 

description of the information that is 

generally required to show that an 

alternate test procedure is equivalent. 

(4) The test procedures are specified 

for gasoline-fueled equipment. If your 

equipment will use another volatile 

liquid fuel instead of gasoline, use a test 

fuel that is representative of the fuel that 

will be used with the equipment in use. 

You may ask us to approve other 

changes to the test procedures to reflect 

the effects of using a fuel other than 

gasoline. 

(d) Approval. If we require you to 

request approval to use other 

procedures under paragraph (c) of this 

section, you may not use them until we 

approve your request. 

§ 1060.510 How do I test EPA LowEmission Fuel Lines for permeation 

emissions? 

For EPA Low-Emission Fuel Lines, 

measure emissions according to SAE 

J2260, which is incorporated by 

reference in § 1054.810. 

§ 1060.515 How do I test EPA Nonroad 

Fuel Lines and EPA Cold-Weather Fuel 

Lines for permeation emissions? 

Measure emission as follows for EPA 

Nonroad Fuel Lines and EPA ColdWeather Fuel Lines: 

(a) Prior to permeation testing, use 

good engineering judgment to 

precondition the fuel line by filling it 

with the fuel specified in this paragraph 

(a), sealing the openings, and soaking it 

for at least four weeks at 43 ±5 °C or 

eight weeks at 23 ± 5 °C. 

(1) For EPA Nonroad Fuel Lines, use 

Fuel CE10, which is Fuel C as specified 

in ASTM D471 (incorporated by 

reference in § 1054.810) blended with 

ethanol such that the blended fuel has 

10.0 ± 1.0 percent ethanol by volume. 

(2) For EPA Cold-Weather Fuel Lines, 

use gasoline blended with ethanol such 

that the blended fuel has 10.0 ± 1.0 

percent ethanol by volume. 

(b) Drain the fuel line and refill it 

immediately with the fuel specified in 

paragraph (a) of this section. Be careful 

not to spill any fuel. 

(c) Measure fuel line permeation 

emissions using the equipment and 

procedures for weight-loss testing 

specified in SAE J30 or SAE J1527 

(incorporated by reference in 

§ 1054.810). Start the measurement 

procedure within 8 hours after draining 

and refilling the fuel line. Perform the 

emission test over a sampling period of 

14 days. 

(d) Use good engineering judgment to 

test fuel line segments with short length 

or narrow inner diameter. For example, 

size the fuel reservoir appropriately for 

the tested fuel line and take steps to 

eliminate air bubbles from narrowdiameter fuel lines. 

§ 1060.520 How do I test fuel tanks for 

permeation emissions? 

Measure permeation emissions by 

weighing a sealed fuel tank before and 

after a temperature-controlled soak. 

(a) Preconditioning durability testing. 

Take the following steps before an 

emission test, in any order, if your 

emission control technology involves 

surface treatment or other postprocessing treatments such as an epoxy 

coating: 

(1) Pressure cycling. Perform a 

pressure test by sealing the tank and 

cycling it between +13.8 and ¥1.7 kPa 

(+2.0 and ¥0.5 psig) for 10,000 cycles 

at a rate of 60 seconds per cycle. The 

purpose of this test is to represent 

environmental wall stresses caused by 

pressure changes and other factors (such 

as vibration or thermal expansion). If 

your tank cannot be tested using the 

pressure cycles specified by this 

paragraph (a)(1), you may ask to use 

special test procedures under 

§ 1060.505. 

(2) UV exposure. Perform a sunlightexposure test by exposing the tank to an 

ultraviolet light of at least 24 W/m2

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

for at least 450 hours. 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) Slosh testing. Perform a slosh test 

by filling the tank to 40–50 percent of 

its capacity with the fuel specified in 

paragraph (e) of this section 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. 

(b) Preconditioning fuel soak. Take 

the following steps before an emission 

test: 

(1) Fill the tank with the fuel 

specified in paragraph (e) of this 

section, seal it, and allow it to soak at 

28 ±5°C for at least 20 weeks. 

Alternatively, the tank may be soaked 

for at least 10 weeks at 43±5°C. You may 

count the time of the preconditioning 

steps in paragraph (a) of this section as 

part of the preconditioning fuel soak as 

long as the ambient temperature 

remains within the specified 

temperature range and the fuel tank is 

at least 40 percent full; you may add or 

replace fuel as needed to conduct the 

specified durability procedures. 

(2) Empty the fuel tank and 

immediately refill it with the specified 

test fuel to its nominal capacity. Be 

careful not to spill any fuel. 

(3) Perform durability cycles on fuel 

caps intended for use with handheld 

equipment by putting the fuel cap on 

and taking it off 300 times. Tighten the 

fuel cap each time in a way that 

represents the typical in-use experience. 

(4) Allow the tank and its contents to 

equilibrate to the temperatures specified 

in paragraph (d)(7) of this section. Seal 

the fuel tank as described in paragraph 

(b)(5) of this section once the fuel 

temperatures are stabilized at the test 

temperature. You must seal the tank no 

more than eight hours after refueling. 

Until the fuel tank is sealed, take steps 

to minimize the vapor losses from the 

fuel tank, such as keeping the fuel cap 

loose on the fuel inlet or routing vapors 

through a vent hose. 

(5) Seal the fuel tank as follows: 

(i) If fuel tanks are designed for use 

with a filler neck such that the fuel cap 

is not directly mounted on the fuel tank, 

you may seal the fuel inlet with a 

nonpermeable covering. 

mstockstill on PROD1PC66 with RULES2

59312 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(ii) If fuel tanks are designed with fuel 

caps directly mounted on the fuel tank, 

take one of the following approaches: 

(A) Use a production fuel cap 

expected to have permeation emissions 

at least as high as the highest-emitting 

fuel cap that you expect to be used with 

fuel tanks from the emission family. It 

would generally be appropriate to 

consider an HDPE fuel cap with a nitrile 

rubber seal to be worst-case. 

(B) You may seal the fuel inlet with 

a nonpermeable covering if you 

separately measure the permeation from 

a worst-case fuel cap as described in 

§ 1060.521. 

(C) If you use or specify a fuel gasket 

made of low-permeability material, you 

may seal the fuel inlet with a 

nonpermeable covering and calculate an 

emission rate for the complete fuel tank 

using a default value of 30 g/m2/day for 

the fuel cap (or 50 g/m2/day for testing 

at 40°C). Use the smallest inside crosssectional area of the opening on which 

the cap is mounted as the fuel cap’s 

surface area. 

(iii) Openings that are not normally 

sealed on the fuel tank (such as hoseconnection fittings and vents in fuel 

caps) may be sealed using 

nonpermeable fittings such as metal or 

fluoropolymer plugs. 

(iv) Openings for petcocks that are 

designed for draining fuel may be sealed 

using nonpermeable fittings such as 

metal or fluoropolymer plugs. 

(v) Openings for grommets may be 

sealed using nonpermeable fittings such 

as metal or fluoropolymer plugs. 

(vi) Rather than sealing a fuel tank 

with nonpermeable fittings, you may 

produce a fuel tank for testing without 

machining or stamping those holes. 

(c) Reference tank. A reference tank is 

required to correct for buoyancy effects 

that may occur during testing. Prepare 

the reference tank as follows: 

(1) Obtain a second tank that is 

identical to the test tank. You may not 

use a tank that has previously contained 

fuel or any other contents that might 

affect its mass stability. 

(2) Fill the reference tank with enough 

glass beads (or other inert material) so 

the mass of the reference tank is 

approximately the same as the test tank 

when filled with fuel. Considering the 

performance characteristics of your 

balance, use good engineering judgment 

to determine how similar the mass of 

the reference tank needs to be to the 

mass of the test tank. 

(3) Ensure that the inert material is 

dry. 

(4) Seal the tank. 

(d) Permeation test run. To run the 

test, take the following steps after 

preconditioning: 

(1) 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. 

(2) Weigh the sealed test tank and 

record the weight. Place the reference 

tank on the balance and tare it so it 

reads zero. Place the sealed test tank on 

the balance and record the difference 

between the test tank and the reference 

tank. This value is Mo. Take this 

measurement directly after sealing the 

test tank as specified in paragraphs 

(b)(4) and (5) of this section. 

(3) Carefully place the tank within a 

temperature-controlled room or 

enclosure. Do not spill or add any fuel. 

(4) Close the room or enclosure as 

needed to control temperatures and 

record the time. However, you may need 

to take steps to prevent an accumulation 

of hydrocarbon vapors in the room or 

enclosure that might affect the degree to 

which fuel permeates through the fuel 

tank. This might simply involve passive 

ventilation to allow fresh air exchanges. 

(5) Ensure that the measured 

temperature in the room or enclosure 

stays within the temperatures specified 

in paragraph (d)(6) of this section. 

(6) Leave the tank in the room or 

enclosure for the duration of the test 

run. 

(7) Hold the temperature of the room 

or enclosure at 28 ± 2 °C; measure and 

record the temperature at least daily. 

You may alternatively hold the 

temperature of the room or enclosure at 

40 ± 2 °C to demonstrate compliance 

with the alternative standards specified 

in § 1060.103(b). 

(8) Measure weight loss daily by 

retaring the balance using the reference 

tank and weighing the sealed test tank. 

Calculate the cumulative weight loss in 

g/m2/day for each measurement. 

Calculate the coefficient of 

determination, r2, based on a linear plot 

of cumulative weight loss vs. test days 

as described in 40 CFR 1065.602(k). 

Continue testing for ten full days or, if 

r2 is below 0.95, continue testing until 

r2 is at or above 0.95. If r2 is not at or 

above 0.95 within 20 days of testing, 

discontinue the test and precondition 

the fuel tank further until it has 

stabilized emission levels, then repeat 

the testing. The daily measurements 

must be at approximately the same time 

each day. You may omit up to two daily 

measurements in any seven-day period. 

(9) Record the difference in mass 

between the reference tank and the test 

tank for each measurement. This value 

is Mi, where i is a counter representing 

the number of days elapsed. Subtract Mi

from Mo and divide the difference by 

the internal surface area of the fuel tank. 

Divide this g/m2 value by the number of 

test days (using at least two decimal 

places) to calculate the emission rate in 

g/m2/day. Example: If a tank with an 

internal surface area of 0.720 m2

weighed 1.31 grams less than the 

reference tank at the beginning of the 

test and weighed 9.86 grams less than 

the reference tank after soaking for 10.03 

days, the emission rate would be— 

((¥1.31 g) ¥ (¥9.82 g)) / 0.720 m2 / 

10.03 days = 1.36 g/m2/day. 

(10) Round your result to the same 

number of decimal places as the 

emission standard. 

(e) Fuel specifications. Use gasoline 

blended with ethanol such that the 

blended fuel has 10.0 ± 1.0 percent 

ethanol by volume as specified in 

§ 1060.501. As an alternative, you may 

use Fuel CE10, as described in 

§ 1060.515(a)(1). 

(f) Flow chart. The following figure 

presents a flow chart for the permeation 

testing described in this section: 

BILLING CODE 6560–50–P 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59313 

BILLING CODE 6560–50–C 

§ 1060.521 How do I test fuel caps for 

permeation emissions? 

If you measure a fuel tank’s 

permeation emissions with a 

nonpermeable covering in place of the 

fuel cap under § 1060.520(b)(5)(ii)(B), 

you must separately measure 

permeation emissions from a fuel cap. 

You may show that your fuel tank and 

fuel cap meet emission standards by 

certifying them separately or by 

combining the separate measurements 

into a single emission rate based on the 

relative surface areas of the fuel tank 


mstockstill on PROD1PC66 with RULES2ER08OC08.078</GPH>
59314 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

and fuel cap. However, you may not 

combine these emission measurements 

if you test the fuel cap at a nominal 

temperature of 28 °C and you test the 

fuel tank at 40 °C. Measure the fuel cap’s 

permeation emissions as follows: 

(a) Select a fuel cap expected to have 

permeation emissions at least as high as 

the highest-emitting fuel cap that you 

expect to be used with fuel tanks from 

the emission family. Include a gasket 

that represents production models. If 

the fuel cap includes vent paths, seal 

these vents as follows: 

(1) If the vent path is through grooves 

in the gasket, you may use another 

gasket with no vent grooves if it is 

otherwise the same as a production 

gasket. 

(2) If the vent path is through the cap, 

seal any vents for testing. 

(b) Attach the fuel cap to a fuel tank 

with a capacity of at least one liter made 

of metal or some other impermeable 

material. 

(c) Use the procedures specified in 

§ 1060.520 to measure permeation 

emissions. Calculate emission rates 

using the smallest inside cross sectional 

area of the opening on which the cap is 

mounted as the fuel cap’s surface area. 

§ 1060.525 How do I test fuel systems for 

diurnal emissions? 

Use the procedures of this section to 

determine whether your fuel tanks meet 

diurnal emission standards as specified 

in § 1060.105. 

(a) Except as specified in paragraph 

(c) of this section, use the following 

procedure to measure diurnal 

emissions: 

(1) Diurnal measurements are based 

on a representative temperature cycle. 

For marine fuel tanks, the temperature 

cycle specifies fuel temperatures rather 

than ambient temperatures. The 

applicable temperature cycle is 

indicated in the following table: 

TABLE 1 TO § 1060.525—DIURNAL TEMPERATURE PROFILES FOR FUEL TANKS

Time (hours) 

Ambient Temperature Profile for 

Land-based Fuel 

Tanks (°C) 

General Fuel 

Temperature 

Profile for Installed 

Marine Fuel Tanks 

(°C) 

Fuel Temperature 

Profile for Marine 

Fuel Tanks 

Installed in 

Nontrailerable 

Boats (°C) 

0 ................................................................................................................................. 22.2 25.6 27.6 

1 ................................................................................................................................. 22.5 25.7 27.6 

2 ................................................................................................................................. 24.2 26.5 27.9 

3 ................................................................................................................................. 26.8 27.9 28.5 

4 ................................................................................................................................. 29.6 29.2 29.0 

5 ................................................................................................................................. 31.9 30.4 29.5 

6 ................................................................................................................................. 33.9 31.4 29.9 

7 ................................................................................................................................. 35.1 32.0 30.1 

8 ................................................................................................................................. 35.4 32.2 30.2 

9 ................................................................................................................................. 35.6 32.2 30.2 

10 ............................................................................................................................... 35.3 32.1 30.2 

11 ............................................................................................................................... 34.5 31.7 30.0 

12 ............................................................................................................................... 33.2 31.0 29.7 

13 ............................................................................................................................... 31.4 30.2 29.4 

14 ............................................................................................................................... 29.7 29.3 29.1 

15 ............................................................................................................................... 28.2 28.6 28.8 

16 ............................................................................................................................... 27.2 28.0 28.5 

17 ............................................................................................................................... 26.1 27.5 28.3 

18 ............................................................................................................................... 25.1 27.0 28.1 

19 ............................................................................................................................... 24.3 26.6 28.0 

20 ............................................................................................................................... 23.7 26.3 27.9 

21 ............................................................................................................................... 23.3 26.1 27.8 

22 ............................................................................................................................... 22.9 25.9 27.7 

23 ............................................................................................................................... 22.6 25.7 27.6 

24 ............................................................................................................................... 22.2 25.6 27.6 

(2) Fill the fuel tank to 40 percent of 

nominal capacity with the gasoline 

specified in 40 CFR 1065.710 for general 

testing. 

(3) Install a vapor line from any vent 

ports that would not be sealed in the 

final in-use configuration. Use a length 

of vapor line representing the largest 

inside diameter and shortest length that 

would be expected with the range of inuse installations for the emission family. 

(4) Stabilize the fuel tank at the 

starting temperature of the applicable 

temperature profile from paragraph 

(a)(1) of this section. For sealed fuel 

systems, replace the fuel cap once the 

fuel reaches equilibrium at the 

appropriate starting temperature. 

(5) If the fuel tank is equipped with 

a carbon canister, load the canister with 

butane or gasoline vapors to its canister 

working capacity as specified in 

§ 1060.240(e)(2)(i) and attach it to the 

fuel tank in a way that represents a 

typical in-use configuration. 

(6) Place the fuel tank with the carbon 

canister and vent line in a SHED 

meeting the specifications of 40 CFR 

86.107–96(a)(1). Follow the applicable 

temperature trace from paragraph (a)(1) 

of this section for one 24-hour period. 

You need not measure emissions during 

this stabilization step. 

(7) As soon as possible after the 

stabilization in paragraph (a)(6) of this 

section, purge the SHED and follow the 

applicable temperature trace from 

paragraph (a)(1) of this section for three 

consecutive 24-hour periods. Start 

measuring emissions when you start the 

temperature profile. The end of the first, 

second, and third emission sampling 

periods must occur 1440 ± 6, 2880 ± 6, 

and 4320 ± 6 minutes, respectively, after 

starting the measurement procedure. 

Use the highest of the three emission 

levels to determine whether your fuel 

tank meets the diurnal emission 

standard. 

(8) For emission control technologies 

that rely on a sealed fuel system, you 

may omit the stabilization step in 

paragraph (a)(6) of this section and the 

last two 24-hour periods of emission 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59315 

measurements in paragraph (a)(7) of this 

section. For purposes of this paragraph 

(a), sealed fuel systems include those 

that rely on pressure-relief valves, 

limiting flow orifices, bladder fuel 

tanks, and volume-compensating air 

bags. 

(b) You may subtract your fuel tank’s 

permeation emissions from the 

measured diurnal emissions if the fuel 

tank is preconditioned with diurnal test 

fuel as described in § 1060.520(b) or if 

you use good engineering judgment to 

otherwise establish that the fuel tank 

has stabilized permeation emissions. 

Measure permeation emissions for 

subtraction as specified in § 1060.520(c) 

and (d) before measuring diurnal 

emissions, except that the permeation 

measurement must be done with diurnal 

test fuel at 28 ± 2 °C. Use appropriate 

units and corrections to subtract the 

permeation emissions from the fuel tank 

during the diurnal emission test. You 

may not subtract a greater mass of 

emissions under this paragraph (b) than 

the fuel tank would emit based on 

meeting the applicable emission 

standard for permeation. 

Subpart G—Special Compliance 

Provisions 

§ 1060.601 How do the prohibitions of 40 

CFR 1068.101 apply with respect to the 

requirements of this part? 

(a) As described in § 1060.1, fuel 

tanks and fuel lines that are used with 

or intended to be used with new 

nonroad engines or equipment are 

subject to evaporative emission 

standards under this part 1060. This 

includes portable marine fuel tanks and 

fuel lines and other fuel-system 

components associated with portable 

marine fuel tanks. Note that § 1060.1 

specifies an implementation schedule 

based on the date of manufacture of 

nonroad equipment, so new fuel tanks 

and fuel lines are not subject to 

standards under this part 1060 if they 

will be installed for use in equipment 

built before the specified dates for 

implementing the appropriate 

standards, subject to the limitations in 

paragraph (b) of this section. Except as 

specified in paragraph (f) of this section, 

fuel-system components that are subject 

to permeation or diurnal emission 

standards under this part 1060 must be 

covered by a valid certificate of 

conformity before being introduced into 

U.S. commerce to avoid violating the 

prohibition of 40 CFR 1068.101(a). To 

the extent we allow it under the exhaust 

standard-setting part, fuel-system 

components may be certified with a 

family emission limit higher than the 

specified emission standard. The 

provisions of this paragraph (a) do not 

apply to fuel caps. 

(b) New replacement fuel tanks and 

fuel lines must meet the requirements of 

this part 1060 if they are intended to be 

used with nonroad engines or 

equipment regulated under this part 

1060, as follows: 

(1) Applicability of standards between 

January 1, 2012 and December 31, 2019. 

Manufacturers, distributors, retailers, 

and importers must clearly state on the 

packaging for all replacement 

components that could reasonably be 

used with nonroad engines how such 

components may be used consistent 

with the prohibition in paragraph (a) of 

this section. It is presumed that such 

components are intended for use with 

nonroad engines regulated under this 

part 1060 unless the components, or the 

packaging for such components, clearly 

identify appropriate restrictions. This 

requirement does not apply for 

components that are clearly not 

intended for use with fuels. 

(2) Applicability of standards after 

January 1, 2020. Starting January 1, 

2020 it is presumed that replacement 

components will be used with nonroad 

engines regulated under this part 1060 

if they can reasonably be used with such 

engines. Manufacturers, distributors, 

retailers, and importers are therefore 

obligated to take reasonable steps to 

ensure that any uncertified components 

are not used to replace certified 

components. This would require 

labeling the components and may also 

require restricting the sales and 

requiring the ultimate purchaser to 

agree to not use the components 

inappropriately. This requirement does 

not apply for components that are 

clearly not intended for use with fuels. 

(3) Applicability of the tampering 

prohibition. If a fuel tank or fuel line 

needing replacement was certified to 

meet the emission standards in this part 

with a family emission limit below the 

otherwise applicable standard, the new 

replacement fuel tank or fuel line must 

be certified to current emission 

standards, but need not be certified with 

the same or lower family emission limit 

to avoid violating the tampering 

prohibition in 40 CFR 1068.101(b)(1). 

(c) [Reserved] 

(d) Manufacturers that generate or use 

evaporative emission credits related to 

Marine SI engines in 40 CFR part 1045 

or Small SI engines in 40 CFR part 1054 

are subject to the emission standards for 

which they are generating or using 

evaporative emission credits. These 

engines or equipment must therefore be 

covered by a valid certificate of 

conformity showing compliance with 

emission-credit provisions before being 

introduced into U.S. commerce to avoid 

violating the prohibition of 40 CFR 

1068.101(a). 

(e) If there is no valid certificate of 

conformity for any given evaporative 

emission standard for new equipment, 

the manufacturers of the engine, 

equipment and fuel-system components 

are each liable for violations of the 

prohibited acts with respect to the fuel 

systems and fuel-system components 

they have introduced into U.S. 

commerce, including fuel systems and 

fuel-system components installed in 

engines or equipment at the time the 

engines or equipment are introduced 

into U.S. commerce. 

(f) If you manufacture fuel lines or 

fuel tanks that are subject to the 

requirements of this part as described in 

paragraph (a) of this section, 40 CFR 

1068.101(a) does not prohibit you from 

shipping your products directly to an 

equipment manufacturer or another 

manufacturer from which you have 

received a written commitment to be 

responsible for certifying the 

components as required under this part 

1060. This includes SHED-based 

certification of Small SI equipment as 

described in § 1060.105. If you ship fuel 

lines or fuel tanks under this paragraph 

(f), you must include documentation 

that accompanies the shipped products 

identifying the name and address of the 

company receiving shipment and stating 

that the fuel lines or fuel tanks are 

exempt under the provisions of 40 CFR 

1060.601(f). 

(g) If new evaporative emission 

standards apply in a given model year, 

your equipment in that model year must 

have fuel-system components that are 

certified to the new standards, except 

that you may continue to use up your 

normal inventory of earlier fuel-system 

components that were built before the 

date of the new or changed standards. 

For example, if your normal inventory 

practice is to keep on hand a one-month 

supply of fuel tanks based on your 

upcoming production schedules, and a 

new tier of standards starts to apply for 

the 2012 model year, you may order fuel 

tanks based on your normal inventory 

requirements late in the fuel tank 

manufacturer’s 2011 model year and 

install those fuel tanks in your 

equipment, regardless of the date of 

installation. Also, if your model year 

starts before the end of the calendar year 

preceding new standards, you may use 

fuel-system components from the 

previous model year (or uncertified 

components if no standards were in 

place) for those units you produce 

before January 1 of the year that new 

standards apply. If emission standards 

do not change in a given model year, 

mstockstill on PROD1PC66 with RULES2

59316 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

you may continue to install fuel-system 

components from the previous model 

year without restriction. You may not 

circumvent the provisions of 40 CFR 

1068.101(a)(1) by stockpiling fuelsystem components that were built 

before new or changed standards take 

effect. 

§ 1060.605 Exemptions from evaporative 

emission standards. 

(a) Except as specified in the exhaust 

standard-setting part and paragraph (b) 

of this section, equipment using an 

engine that is exempt from exhaust 

emission standards under the provisions 

in 40 CFR part 1068, subpart C or D, is 

also exempt from the requirements of 

this part 1060. For example, engines or 

equipment exempted from exhaust 

emission standards for purposes of 

national security do not need to meet 

evaporative emission standards. Also, 

any engine that is exempt from emission 

standards because it will be used solely 

for competition does not need to meet 

evaporative emission standards. 

Equipment that is exempt from all 

exhaust emission standards under the 

standard-setting part are also exempt 

from the requirements of this part 1060; 

however, this does not apply for engines 

that must meet a less stringent exhaust 

emission standard as a condition of the 

exemption. 

(b) Engines produced under the 

replacement-engine exemption in 40 

CFR 1068.240 must use fuel-system 

components that meet the evaporative 

emission standards based on the model 

year of the engine being replaced subject 

to the provisions of 40 CFR 1068.265. If 

no evaporative emission standards 

applied at that time, no requirements 

related to evaporative emissions apply 

to the new engine. Installing a 

replacement engine does not change the 

applicability of requirements for the 

equipment into which the replacement 

engine is installed. 

(c) Engines or equipment that are 

temporarily exempt from EPA exhaust 

emission standards are also exempt 

from the requirements of this part 1060 

for the same period as the exhaust 

exemption. 

(d) For equipment powered by more 

than one engine, all the engines 

installed in the equipment must be 

exempt from all applicable EPA exhaust 

emission standards for the equipment to 

also be exempt under paragraph (a) or 

(b) of this section. 

(e) In unusual circumstances, we may 

exempt components or equipment from 

the requirements of this part 1060 even 

if the equipment is powered by one or 

more engines that are subject to EPA 

exhaust emission standards. See 40 CFR 

part 1068. Such exemptions will be 

limited to: 

(1) Testing. See 40 CFR 1068.210. 

(2) National security. See 40 CFR 

1068.225. 

(3) Economic hardship. See 40 CFR 

1068.245 and 1068.250. 

(f) Evaporative emission standards 

generally apply based on the model year 

of the equipment, which is determined 

by the equipment’s date of final 

assembly. However, in the first year of 

new emission standards, equipment 

manufacturers may apply evaporative 

emission standards based on the model 

year of the engine as shown on the 

engine’s emission control information 

label. For example, for fuel tank 

permeation standards starting in 2012, 

equipment manufacturers may order a 

batch of 2011 model year engines for 

installation in 2012 model year 

equipment, subject to the antistockpiling provisions of 40 CFR 

1068.105(a). The equipment with the 

2011 model year engines would not 

need to meet fuel tank permeation 

standards as long as the equipment is 

fully assembled by December 31, 2012. 

§ 1060.640 What special provisions apply 

to branded equipment? 

The following provisions apply if you 

identify the name and trademark of 

another company instead of your own 

on your emission control information 

label for equipment, as provided by 

§§ 1060.135 and 1060.137: 

(a) You must have a contractual 

agreement with the other company that 

obligates that company to take the 

following steps: 

(1) Meet the emission warranty 

requirements that apply under 

§ 1060.120. This may involve a separate 

agreement involving reimbursement of 

warranty-related expenses. 

(2) Report all warranty-related 

information to the certificate holder. 

(b) In your application for 

certification, identify the company 

whose trademark you will use and 

describe the arrangements you have 

made to meet your requirements under 

this section. 

(c) You remain responsible for 

meeting all the requirements of this 

chapter, including warranty and defectreporting provisions. 

Subpart H—Averaging, Banking, and 

Trading Provisions 

§ 1060.701 Applicability. 

(a) You are allowed to comply with 

the emission standards in this part with 

evaporative emission credits only if the 

exhaust standard-setting part explicitly 

allows it for evaporative emissions. 

(b) The following exhaust standardsetting parts allow some use of 

evaporative emission credits: 

(1) 40 CFR part 1045 for marine 

vessels. 

(2) 40 CFR part 1051 for recreational 

vehicles. 

(3) 40 CFR part 1054 for Small SI 

equipment. 

(c) As specified in 40 CFR part 1048, 

there is no allowance to generate or use 

emission credits with Large SI 

equipment. 

§ 1060.705 How do I certify components to 

an emission level other than the standard 

under this part or use such components in 

my equipment? 

As specified in this section, a fuelsystem component may be certified to a 

family emission limit (FEL) instead of 

the otherwise applicable emission 

standard. Note that the exhaust 

standard-setting part may apply 

maximum values for an FEL (i.e., FEL 

caps). 

(a) Requirements for certifying 

component manufacturers. See subpart 

C of this part for instructions regarding 

the general requirements for certifying 

components. 

(1) When you submit your application 

for certification, indicate the FEL to 

which your components will be 

certified. This FEL will serve as the 

applicable standard for your 

component, and the equipment that 

uses the component. For example, when 

the regulations of this part use the 

phrase ‘‘demonstrate compliance with 

the applicable emission standard’’ it 

will mean ‘‘demonstrate compliance 

with the FEL’’ for your component. 

(2) You may not change the FEL for 

an emission family. To specify a 

different FEL for your components, you 

must send a new application for 

certification for a new emission family. 

(3) Unless your FEL is below all 

emission standards that could 

potentially apply, you must ensure that 

all equipment manufacturers that will 

use your component are aware of the 

limitations regarding the conditions 

under which they may use your 

component. 

(4) It is your responsibility to read the 

instructions relative to emission-credit 

provisions in the standard-setting parts 

identified in § 1060.1. 

(b) Requirements for equipment 

manufacturers. See subpart C of this 

part for instructions regarding your 

ability to rely on the component 

manufacturer’s certificate. 

(1) The FEL of the component will 

serve as the applicable standard for your 

equipment. 

(2) You may not specify more than 

one FEL for an emission family at one 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59317 

time; however, you may change the FEL 

during the model year as described in 

§ 1060.225(f). 

(3) If the FEL is above the emission 

standard you must ensure that the 

exhaust standard-setting part allows you 

to use evaporative emission credits to 

comply with emission standards and 

that you will have an adequate source 

of evaporative emission credits. You 

must certify your equipment as 

specified in § 1060.201 and the rest of 

subpart C of this part. 

Subpart I—Definitions and Other 

Reference Information 

§ 1060.801 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 

Clean Air Act gives to them. The 

definitions follow: 

Accuracy and precision means the 

sum of accuracy and repeatability, as 

defined in 40 CFR 1065.1001. For 

example, if a measurement device is 

determined to have an accuracy of ±1% 

and a repeatability of ±2%, then its 

accuracy and precision would be ±3%. 

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust and that, if 

adjusted, may affect emissions. You may 

ask us to exclude a parameter if you 

show us that it will not be adjusted in 

use in a way that affects emissions. 

Applicable emission standard or 

applicable standard means an emission 

standard to which a fuel-system 

component is subject. Additionally, if a 

fuel-system component has been or is 

being certified to another standard or 

FEL, applicable emission standard 

means the FEL or other standard to 

which the fuel-system component has 

been or is being certified. This 

definition does not apply to subpart H 

of this part. 

Canister working capacity means the 

measured amount of hydrocarbon vapor 

that can be stored in a canister as 

specified in § 1060.240(e)(2)(i). 

Carbon working capacity means the 

measured amount of hydrocarbon vapor 

that can be stored in a given volume of 

carbon when tested according to ASTM 

D5228 (incorporated by reference in 

§ 1060.810). See § 1060.240(e)(2)(ii). 

Certification means relating to the 

process of obtaining a certificate of 

conformity for an emission family that 

complies with the emission standards 

and requirements in this part. 

Certified emission level means the 

highest official emission result in an 

emission family. 

Clean Air Act means the Clean Air 

Act, as amended, 42 U.S.C. 7401–7671q. 

Cold-weather equipment is limited to 

the following types of handheld 

equipment: Chainsaws, cut-off saws, 

clearing saws, brush cutters with 

engines at or above 40cc, commercial 

earth and wood drills, and ice augers. 

This includes earth augers if they are 

also marketed as ice augers. 

Configuration means a unique 

combination of hardware (material, 

geometry, and size) and calibration 

within an emission family. Units within 

a single configuration differ only with 

respect to normal production variability. 

Date of manufacture, means one of 

the following with respect to 

equipment: 

(1) For outboard engines with undercowl fuel tanks and for vessels equipped 

with outboard engines and installed fuel 

tanks, date of manufacture means the 

date on which the fuel tank is installed. 

(2) For all other equipment, date of 

manufacture has the meaning given in 

40 CFR 1068.30. 

Days means calendar days unless 

otherwise specified. For example, when 

we specify working days we mean 

calendar days, excluding weekends and 

U.S. national holidays. 

Designated Compliance Officer means 

the Manager, Heavy-Duty and Nonroad 

Engine Group (6405-J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

Detachable fuel line means a fuel line 

or fuel line assembly intended to be 

used with a portable nonroad fuel tank 

and which is connected by special 

fittings to the fuel tank and/or engine for 

easy disassembly. Fuel lines that require 

a wrench or other tools to disconnect 

are not considered detachable fuel lines. 

Diurnal emissions means evaporative 

emissions that occur as a result of 

venting fuel tank vapors during daily 

temperature changes while the engine is 

not operating. 

Effective length-to-diameter ratio 

means the mean vapor path length of a 

carbon canister divided by the effective 

diameter of that vapor path. The 

effective diameter is the diameter of a 

circle with the same cross-sectional area 

as the average cross-sectional area of the 

carbon canister’s vapor path. 

Emission control system means any 

device, system, or element of design that 

controls or reduces the regulated 

evaporative emissions from a piece of 

nonroad equipment. 

Emission-data unit means a fuel line, 

fuel tank, fuel system, or fuel-system 

component that is tested for 

certification. This includes components 

tested by EPA. 

Emission family has the meaning 

given in § 1060.230. 

Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emission deterioration. 

Equipment means vehicles, marine 

vessels, and other types of nonroad 

equipment that are subject to this part’s 

requirements. 

Evaporative means relating to fuel 

emissions that result from permeation of 

fuel through the fuel-system materials or 

from ventilation of the fuel system. 

Exhaust standard-setting part means 

the part in the Code of Federal 

Regulations that contains exhaust 

emission standards for a particular piece 

of equipment (or the engine in that 

piece of equipment). For example, the 

exhaust standard-setting part for offhighway motorcycles is 40 CFR part 

1051. Exhaust standard-setting parts 

may include evaporative emission 

requirements or describe how the 

requirements of this part 1060 apply. 

Exposed gasket surface area means 

the surface area of the gasket inside the 

fuel tank that is exposed to fuel or fuel 

vapor. For the purposes of calculating 

exposed surface area of a gasket, the 

thickness of the gasket and the outside 

dimension of the opening being sealed 

are used. Gasket overhang into the fuel 

tank should be ignored for the purpose 

of this calculation. 

Family emission limit (FEL) means an 

emission level declared by the 

manufacturer to serve in place of an 

otherwise applicable emission standard 

under an ABT program specified by the 

exhaust standard-setting part. The 

family emission limit must be expressed 

to the same number of decimal places as 

the emission standard it replaces. The 

family emission limit serves as the 

emission standard for the emission 

family with respect to all required 

testing. 

Fuel CE10 has the meaning given in 

§ 1060.515(a). 

Fuel line means hoses or tubing 

designed to contain liquid fuel. The 

exhaust standard-setting part may 

further specify which types of hoses and 

tubing are subject to the standards of 

this part. 

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. In the case where the fuel 

tank cap or other components 

(excluding fuel lines) are directly 

mounted on the fuel tank, they are 

considered to be a part of the fuel tank. 

mstockstill on PROD1PC66 with RULES2

59318 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

Fuel type means a general category of 

fuels such as gasoline or natural gas. 

There can be multiple grades within a 

single fuel type, such as premium 

gasoline, regular gasoline, or gasoline 

with 10 percent ethanol. 

Gasoline means one of the following: 

(1) For in-use fuels, gasoline means 

fuel that is commonly and commercially 

know as gasoline, including ethanol 

blends. 

(2) For testing, gasoline has the 

meaning given in subpart F of this part. 

Good engineering judgment means 

judgments made consistent with 

generally accepted scientific and 

engineering principles and all available 

relevant information. See 40 CFR 1068.5 

for the administrative process we use to 

evaluate good engineering judgment. 

High-permeability material means any 

nonmetal material that does not qualify 

as low-permeability material. 

Installed marine fuel tank means a 

fuel tank designed for delivering fuel to 

a Marine SI engine, excluding portable 

marine fuel tanks. 

Large SI means relating to engines 

that are subject to evaporative emission 

standards in 40 CFR part 1048. 

Low-permeability material means, for 

gaskets, a material with permeation 

emission rates at or below 10 (g-mm)/ 

m2/day when measured according to 

SAE J2659 (incorporated by reference in 

§ 1060.810), where the test temperature 

is 23 °C, the test fuel is Fuel CE10, and 

testing immediately follows a four-week 

preconditioning soak with the test fuel. 

Manufacture means the physical and 

engineering process of designing, 

constructing, and assembling an engine, 

piece of nonroad equipment, or fuelsystem components subject to the 

requirements of this part. 

Manufacturer has the meaning given 

in section 216(1) of the Clean Air Act 

(42 U.S.C. 7550(1)). In general, this term 

includes: 

(1) Any person who manufactures an 

engine or piece of nonroad equipment 

for sale in the United States or 

otherwise introduces a new nonroad 

engine or a piece of new nonroad 

equipment into U.S. commerce. 

(2) Any person who manufactures a 

fuel-system component for an engine 

subject to the requirements of this part 

as described in § 1060.1(a). 

(3) Importers who import such 

products into the United States. 

Marine SI means relating to vessels 

powered by engines that are subject to 

exhaust emission standards in 40 CFR 

part 1045. 

Marine vessel has the meaning given 

in 40 CFR § 1045.801, which generally 

includes all nonroad equipment used as 

a means of transportation on water. 

Model year means one of the 

following things: 

(1) For equipment defined as ‘‘new 

nonroad equipment’’ under paragraph 

(1) of the definition of ‘‘new nonroad 

engine,’’ 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 other equipment defined as 

‘‘new nonroad equipment’’ under 

paragraph (2) of the definition of ‘‘new 

nonroad engine,’’ model year has the 

meaning given in the exhaust standardsetting part. 

(3) For other equipment defined as 

‘‘new nonroad equipment’’ under 

paragraph (3) or paragraph (4) of the 

definition of ‘‘new nonroad engine,’’ 

model year means the model year of the 

engine as defined in the exhaust 

standard-setting part. 

New nonroad equipment means 

equipment meeting one or more of the 

following criteria: 

(1) Nonroad equipment for which the 

ultimate purchaser has never received 

the equitable or legal title. The 

equipment is no longer new when the 

ultimate purchaser receives this title or 

the product is placed into service, 

whichever comes first. 

(2) Nonroad equipment that is defined 

as new under the exhaust standardsetting part. (Note: equipment that is not 

defined as new under the exhaust 

standard-setting part may be defined as 

new under this definition of ‘‘new 

nonroad equipment.’’) 

(3) Nonroad equipment with an 

engine that becomes new (as defined in 

the exhaust standard-setting part) while 

installed in the equipment. The 

equipment is no longer new when it is 

subsequently placed into service. This 

paragraph (3) does not apply if the 

engine becomes new before being 

installed in the equipment. 

(4) Nonroad equipment not covered 

by a certificate of conformity issued 

under this part at the time of 

importation and manufactured after the 

requirements of this part start to apply 

(see § 1060.1). The equipment is no 

longer new when it is subsequently 

placed into service. Importation of this 

kind of new nonroad equipment is 

generally prohibited by 40 CFR part 

1068. 

Nominal capacity means a fuel tank’s 

volume as specified by the fuel tank 

manufacturer, using at least two 

significant figures, based on the 

maximum volume of fuel the tank can 

hold with standard refueling 

techniques. 

Nonroad engine has the meaning we 

give in 40 CFR 1068.30. In general this 

means all internal-combustion engines 

except motor vehicle engines, stationary 

engines, engines used solely for 

competition, or engines used in aircraft. 

This part does not apply to all nonroad 

engines (see § 1060.1). 

Nonroad equipment means a piece of 

equipment that is powered by or 

intended to be powered by one or more 

nonroad engines. Note that §§ 1060.5 

and 1060.601 describes how we treat 

outboard engines, portable marine fuel 

tanks, and associated fuel-system 

components as nonroad equipment 

under this part 1060. 

Nontrailerable boat means a vessel 

whose length is 26.0 feet or more, or 

whose width is more than 8.5 feet. 

Official emission result means the 

measured emission rate for an emissiondata unit. 

Placed into service means put into 

initial use for its intended purpose. 

Portable marine fuel tank means a 

portable fuel tank that is used or 

intended to be used to supply fuel to a 

marine engine during operation. 

Portable nonroad fuel tank means a 

fuel tank that meets each of the 

following criteria: 

(1) It has design features indicative of 

use in portable applications, such as a 

carrying handle and fuel line fitting that 

can be readily attached to and detached 

from a nonroad engine. 

(2) It has a nominal fuel capacity of 

12 gallons or less. 

(3) It is designed to supply fuel to an 

engine while the engine is operating. 

(4) It is not used or intended to be 

used to supply fuel to a marine engine. 

Production period means the period 

in which a component or piece of 

equipment will be produced under a 

certificate of conformity. A given 

production period for an emission 

family may not include components 

certified using different test data. A 

production period may not exceed five 

years for certified components. Note 

that the definition of model year 

includes specifications related to 

production periods for which a 

certificate is valid for equipment. 

Recreational vehicle means vehicles 

that are subject to evaporative emission 

standards in 40 CFR part 1051. This 

generally includes engines that will be 

installed in recreational vehicles if the 

engines are certified separately under 40 

CFR 1051.20. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59319 

Relating to as used in this section 

means relating to something in a 

specific, direct manner. This expression 

is used in this section only to define 

terms as adjectives and not to broaden 

the meaning of the terms. 

Revoke has the meaning given in 40 

CFR 1068.30. If we revoke a certificate 

or an exemption, you must apply for a 

new certificate or exemption before 

continuing to introduce the affected 

equipment into U.S. commerce. 

Round means to round numbers 

according to standard procedures as 

specified in 40 CFR 1065.1001. 

Running loss emissions means 

unburned fuel vapor that escapes from 

the fuel system to the ambient 

atmosphere while the engine is 

operating, excluding permeation 

emissions and diurnal emissions. 

Running loss emissions generally result 

from fuel-temperature increases caused 

by heat released from in-tank fuel 

pumps, fuel recirculation, or proximity 

to heat sources such as the engine or 

exhaust components. 

Sealed means lacking openings to the 

atmosphere that would allow a 

measurable amount of liquid or vapor to 

leak out under normal operating 

pressures or other pressures specified in 

this part. For example, you may 

generally establish a maximum value for 

operating pressures based on the highest 

pressure you would observe from an 

installed fuel tank during continuous 

equipment operation on a sunny day 

with ambient temperatures of 35 °C. 

Sealed fuel systems may have openings 

for emission controls or for fuel lines 

needed to route fuel to the engine. 

Small SI means relating to engines 

that are subject to emission standards in 

40 CFR part 90 or 1054. 

Structurally integrated nylon fuel tank 

means a fuel tank having all the 

following characteristics: 

(1) The fuel tank is made of a 

polyamide material that does not 

contain more than 50 percent by weight 

of a reinforcing glass fiber or mineral 

filler and does not contain more than 10 

percent by weight of impact modified 

polyamides that use rubberized agents 

such as EPDM rubber. 

(2) The fuel tank must be used in a 

cut-off saw or chainsaw or be integrated 

into a major structural member where, 

as a single component, the fuel tank 

material is a primary structural/stress 

member for other major components 

such as the engine, transmission, or 

cutting attachment. 

Subchapter U means 40 CFR parts 

1000 through 1299. 

Suspend has the meaning given in 40 

CFR 1068.30. If we suspend a certificate, 

you may not introduce into U.S. 

commerce equipment from that 

emission family unless we reinstate the 

certificate or approve a new one. If we 

suspend an exemption, you may not 

introduce into U.S. commerce 

equipment that was previously covered 

by the exemption unless we reinstate 

the exemption. 

Tare means to use a container or other 

reference mass to zero a balance before 

weighing a sample. Generally, this 

means placing the container or reference 

mass on the balance, allowing it to 

stabilize, then zeroing the balance 

without removing the container or 

reference mass. This allows you to use 

the balance to determine the difference 

in mass between the sample and the 

container or reference mass. 

Test sample means the collection of 

fuel lines, fuel tanks, or fuel systems 

selected from the population of an 

emission family for emission testing. 

This may include certification testing or 

any kind of confirmatory testing. 

Test unit means a piece of fuel line, 

a fuel tank, or a fuel system in a test 

sample. 

Ultimate purchaser means, with 

respect to any new nonroad equipment, 

the first person who in good faith 

purchases such new nonroad equipment 

for purposes other than resale. 

Ultraviolet light means 

electromagnetic radiation with a 

wavelength between 300 and 400 

nanometers. 

United States has the meaning given 

in 40 CFR 1068.30. 

U.S.-directed production volume 

means the amount of equipment, subject 

to the requirements of this part, 

produced by a manufacturer for which 

the manufacturer has a reasonable 

assurance that sale was or will be made 

to ultimate purchasers in the United 

States. 

Useful life means the period during 

which new nonroad equipment is 

required to comply with all applicable 

emission standards. See § 1060.101. 

Void has the meaning given in 40 CFR 

1068.30. In general this means to 

invalidate a certificate or an exemption 

both retroactively and prospectively. 

Volatile liquid fuel means any fuel 

other than diesel or biodiesel that is a 

liquid at atmospheric pressure and has 

a Reid Vapor Pressure higher than 2.0 

pounds per square inch. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives. 

Wintertime equipment means 

equipment using a wintertime engine, as 

defined in 40 CFR 1054.801. Note this 

definition applies only for Small SI 

equipment. 

§ 1060.805 What symbols, acronyms, and 

abbreviations does this part use? 

The following symbols, acronyms, 

and abbreviations apply to this part: 

° degree. 

ASTM American Society for Testing 

and Materials. 

C Celsius. 

CFR Code of Federal Regulations. 

EPA Environmental Protection 

Agency. 

FEL family emission limit. 

g gram. 

gal gallon. 

hr hour. 

in inch. 

kPa kilopascal. 

kW kilowatt. 

L liter. 

m meter. 

min minute. 

mm millimeter. 

psig pounds per square inch of gauge 

pressure. 

SAE Society of Automotive Engineers. 

SHED Sealed Housing for Evaporative 

Determination. 

U.S. United States. 

U.S.C. United States Code. 

W watt. 

§ 1060.810 What materials does this part 

reference? 

Documents listed in this section have 

been incorporated by reference into this 

part. The Director of the Federal 

Register approved the incorporation by 

reference as prescribed in 5 U.S.C. 

552(a) and 1 CFR part 51. Anyone may 

inspect copies at the U.S. EPA, Air and 

Radiation Docket and Information 

Center, 1301 Constitution Ave., NW., 

Room B102, EPA West Building, 

Washington, DC 20460 or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 

(a) ASTM material. Table 1 to this 

section 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., P.O. Box 

C700, West Conshohocken, PA 19428 or 

http://www.astm.com. Table 1 follows: 

mstockstill on PROD1PC66 with RULES2

59320 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

TABLE 1 TO § 1060.810—ASTM MATERIALS

Document number and name Part 1060 

reference 

ASTM D471–06, Standard Test Method for Rubber Property—Effect of Liquids (‘‘ASTM D471’’) .................................................... 1060.515 

ASTM D2862–97 (Reapproved 2004), Standard Test Method for Particle Size Distribution of Granular Activated Carbon (‘‘ASTM 

D2862’’) ............................................................................................................................................................................................ 1060.240 

ASTM D3802–79 (Reapproved 2005), Standard Test Method for Ball-Pan Hardness of Activated Carbon (‘‘ASTM D3802’’) ........ 1060.240 

ASTM D4806–07, Standard Specification for Denatured Fuel Ethanol for Blending with Gasolines for Use as Automotive SparkIgnition Engine Fuel (‘‘ASTM D4806’’) ............................................................................................................................................. 1060.501 

ASTM D5228–92 (Reapproved 2005), Standard Test Method for Determination of Butane Working Capacity of Activated Carbon (‘‘ASTM D5228’’) ....................................................................................................................................................................... 1060.801 

(b) SAE material. Table 2 to this 

section lists material from the Society of 

Automotive Engineers that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096 or http://www.sae.org. Table 2 

follows: 

TABLE 2 TO § 1060.810—SAE MATERIALS

Document number and name Part 1060 

reference 

SAE J30, Fuel and Oil Hoses, June 1998 .......................................................................................................................................... 1060.515 

SAE J1527, Marine Fuel Hoses, January 1993 (Issued 1985–12, Revised 1993–02) ...................................................................... 1060.515 

SAE J2260, Nonmetallic Fuel System Tubing with One or More Layers, November 2004 ............................................................... 1060.510 

SAE J2659, Test Method to Measure Fluid Permeation of Polymeric Materials by Speciation, December 2003 ............................ 1060.801 

(c) California Air Resources Board 

material. Table 3 to this section lists 

material from the California Air 

Resources Board that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may obtain copies 

of these materials from California Air 

Resources Board, Haagen-Smit 

Laboratory, 9528 Telstar Avenue, El 

Monte, CA 91731–2990 or http:// 

www.arb.ca.gov. Table 3 follows: 

TABLE 3 TO § 1060.810—CALIFORNIA AIR RESOURCES BOARD MATERIALS

Document number and name Part 1060 

reference 

Final Regulation Order, Article 1, Chapter 15, Division 3, Title 13, California Code of Regulations, July 26, 2004 ......................... 1060.105, 

1060.240 

§ 1060.815 What provisions apply to 

confidential information? 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. 

(b) We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. This applies 

both to any information you send us and 

to any information we collect from 

inspections, audits, or other site visits. 

(c) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(d) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in 40 CFR 

2.204. 

§ 1060.820 How do I request a hearing? 

(a) You may request a hearing under 

certain circumstances as described 

elsewhere in this part. To do this, you 

must file a written request, including a 

description of your objection and any 

supporting data, within 30 days after we 

make a decision. 

(b) For a hearing you request under 

the provisions of this part, we will 

approve your request if we find that 

your request raises a substantial factual 

issue. 

(c) If we agree to hold a hearing, we 

will use the procedures specified in 40 

CFR part 1068, subpart G. 

§ 1060.825 What reporting and 

recordkeeping requirements apply under 

this part? 

Under the Paperwork Reduction Act 

(44 U.S.C. 3501 et seq), the Office of 

Management and Budget approves the 

reporting and recordkeeping specified 

in the applicable regulations. The 

following items illustrate the kind of 

reporting and recordkeeping we require 

for products regulated under this part: 

(a) We specify the following 

requirements related to equipment 

certification in this part 1060: 

(1) In 40 CFR 1060.20 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR part 1060, subpart C, we 

identify a wide range of information 

required to certify engines. 

(3) In 40 CFR 1060.301 we require 

manufacturers to make engines or 

equipment available for our testing if we 

make such a request. 

(4) In 40 CFR 1060.505 we specify 

information needs for establishing 

various changes to published test 

procedures. 

(b) We specify the following 

requirements related to the general 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59321 

compliance provisions in 40 CFR part 

1068: 

(1) In 40 CFR 1068.5 we establish a 

process for evaluating good engineering 

judgment related to testing and 

certification. 

(2) In 40 CFR 1068.25 we describe 

general provisions related to sending 

and keeping information. 

(3) In 40 CFR 1068.27 we require 

manufacturers to make equipment 

available for our testing or inspection if 

we make such a request. 

(4) In 40 CFR 1068.105 we require 

equipment manufacturers to keep 

certain records related to duplicate 

labels from engine manufacturers. 

(5) [Reserved] 

(6) In 40 CFR part 1068, subpart C, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various exemptions. 

(7) In 40 CFR part 1068, subpart D, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to importing equipment. 

(8) In 40 CFR 1068.450 and 1068.455 

we specify certain records related to 

testing production-line products in a 

selective enforcement audit. 

(9) In 40 CFR 1068.501 we specify 

certain records related to investigating 

and reporting emission-related defects. 

(10) In 40 CFR 1068.525 and 1068.530 

we specify certain records related to 

recalling nonconforming equipment. 

PART 1065—ENGINE-TESTING 

PROCEDURES 

■ 209. The authority citation for part 

1065 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 210. Section 1065.1 is amended by 

revising paragraphs (a)(5) and (a)(8) to 

read as follows: 

§ 1065.1 Applicability. 

(a) * * * 

(5) Marine spark-ignition engines we 

regulate under 40 CFR part 1045. For 

earlier model years, manufacturers may 

use the test procedures in this part or 

those specified in 40 CFR part 91 

according to § 1065.10. 

* * * * * 

(8) Small nonroad spark-ignition 

engines we regulate under 40 CFR part 

1054 and stationary engines that are 

certified to the standards in 40 CFR part 

1054 as specified in 40 CFR part 60, 

subpart JJJJ. For earlier model years, 

manufacturers may use the test 

procedures in this part or those 

specified in 40 CFR part 90 according to 

§ 1065.10. 

* * * * * 

Subpart B—[Amended] 

■ 211. Section 1065.125 is amended by 

revising paragraphs (b) and (c) to read 

as follows: 

§ 1065.125 Engine intake air. 

* * * * * 

(b) Measure temperature, humidity, 

and atmospheric pressure near the 

entrance of the furthest upstream engine 

or in-use intake system component. This 

would generally be near the engine’s air 

filter, or near the inlet to the in-use air 

intake system for engines that have no 

air filter. For engines with multiple 

intakes, make measurements near the 

entrance of each intake. 

(1) Pressure. You may use a single 

shared atmospheric pressure meter as 

long as your laboratory equipment for 

handling intake air maintains ambient 

pressure at all intakes within ±1 kPa of 

the shared atmospheric pressure. For 

engines with multiple intakes with 

separate atmospheric pressure 

measurements at each intake, use an 

average value for verifying compliance 

to § 1065.520(b)(2). 

(2) Humidity. You may use a single 

shared humidity measurement for 

intake air as long as your equipment for 

handling intake air maintains dewpoint 

at all intakes to within ±0.5 °C of the 

shared humidity measurement. For 

engines with multiple intakes with 

separate humidity measurements at 

each intake, use a flow-weighted 

average humidity for NOX corrections. If 

individual flows of each intake are not 

measured, use good engineering 

judgment to estimate a flow-weighted 

average humidity. 

(3) Temperature. Good engineering 

judgment may require that you shield 

the temperature sensors or move them 

upstream of an elbow in the laboratory 

intake system to prevent measurement 

errors due to radiant heating from hot 

engine surfaces or in-use intake system 

components. You must limit the 

distance between the temperature 

sensor and the entrance to the furthest 

upstream engine or in-use intake system 

component to no more than 12 times the 

outer hydraulic diameter of the entrance 

to the furthest upstream engine or in-use 

intake system component. However, you 

may exceed this limit if you use good 

engineering judgment to show that the 

temperature at the furthest upstream 

engine or in-use intake system 

component meets the specification in 

paragraph (c) of this section. For engines 

with multiple intakes, use a flowweighted average value to verify 

compliance with the specification in 

paragraph (c) of this section. If 

individual flows of each intake are not 

measured, you may use good 

engineering judgment to estimate a 

flow-weighted average temperature. You 

may also verify that each individual 

intake complies with the specification 

in paragraph (c) of this section. 

(c) Unless stated otherwise in the 

standard-setting part, maintain the 

temperature of intake air to (25 ± 5) °C. 

* * * * * 

■ 212. Section 1065.170 is amended by 

revising paragraphs (a)(2), (c)(1), and 

Figure 1 to read as follows: 

§ 1065.170 Batch sampling for gaseous 

and PM constituents. 

* * * * * 

(a) * * * 

(2) You must follow the requirements 

in § 1065.140(e)(2) related to PM 

dilution ratios. For each filter, if you 

expect the net PM mass on the filter to 

exceed 400 μg, assuming a 38 mm 

diameter filter stain area, you may take 

the following actions in sequence: 

(i) For discrete-mode testing only, you 

may reduce sample time as needed to 

target a filter loading of 400 μg, but not 

below the minimum sample time 

specified in the standard-setting part. 

(ii) Reduce filter face velocity as 

needed to target a filter loading of 400 

μg, down to 50 cm/s or less. 

(iii) Increase overall dilution ratio 

above the values specified in 

§ 1065.140(e)(2) to target a filter loading 

of 400 μg. 

* * * * * 

(c) * * * 

(1) If you use filter-based sampling 

media to extract and store PM for 

measurement, your procedure must 

meet the following specifications: 

(i) If you expect that a filter’s total 

surface concentration of PM will exceed 

400 μg, assuming a 38 mm diameter 

filter stain area, for a given test interval, 

you may use filter media with a 

minimum initial collection efficiency of 

98%; otherwise you must use a filter 

media with a minimum initial 

collection efficiency of 99.7%. 

Collection efficiency must be measured 

as described in ASTM D2986–95a 

(incorporated by reference in 

§ 1065.1010), though you may rely on 

the sample-media manufacturer’s 

measurements reflected in their product 

ratings to show that you meet this 

requirement. 

(ii) The filter must be circular, with an 

overall diameter of 46.50 ±0.6 mm and 

an exposed diameter of at least 38 mm. 

See the cassette specifications in 

paragraph (c)(1)(vii) of this section. 

mstockstill on PROD1PC66 with RULES2

59322 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(iii) We highly recommend that you 

use a pure PTFE filter material that does 

not have any flow-through support 

bonded to the back and has an overall 

thickness of 40 ±20 μm. An inert 

polymer ring may be bonded to the 

periphery of the filter material for 

support and for sealing between the 

filter cassette parts. We consider 

Polymethylpentene (PMP) and PTFE 

inert materials for a support ring, but 

other inert materials may be used. See 

the cassette specifications in paragraph 

(c)(1)(vii) of this section. We allow the 

use of PTFE-coated glass fiber filter 

material, as long as this filter media 

selection does not affect your ability to 

demonstrate compliance with the 

applicable standards, which we base on 

a pure PTFE filter material. Note that we 

will use pure PTFE filter material for 

compliance testing, and we may require 

you to use pure PTFE filter material for 

any compliance testing we require, such 

as for selective enforcement audits. 

(iv) You may request to use other 

filter materials or sizes under the 

provisions of § 1065.10. 

(v) To minimize turbulent deposition 

and to deposit PM evenly on a filter, use 

a filter holder with a 12.5° (from center) 

divergent cone angle to transition from 

the transfer-line inside diameter to the 

exposed diameter of the filter face. Use 

300 series stainless steel for this 

transition. 

(vi) Maintain a filter face velocity near 

100 cm/s with less than 5% of the 

recorded flow values exceeding 100 

cm/s, unless you expect either the net 

PM mass on the filter to exceed 400 μg, 

assuming a 38 mm diameter filter stain 

area. Measure face velocity as the 

volumetric flow rate of the sample at the 

pressure upstream of the filter and 

temperature of the filter face as 

measured in § 1065.140(e), divided by 

the filter’s exposed area. You may use 

the exhaust stack or CVS tunnel 

pressure for the upstream pressure if the 

pressure drop through the PM sampler 

up to the filter is less than 2 kPa. 

(vii) Use a clean cassette designed to 

the specifications of Figure 1 of 

§ 1065.170. In auto changer 

configurations, you may use cassettes of 

similar design. Cassettes must be made 

of one of the following materials: 

DelrinTM, 300 series stainless steel, 

polycarbonate, acrylonitrile-butadienestyrene (ABS) resin, or conductive 

polypropylene. We recommend that you 

keep filter cassettes clean by 

periodically washing or wiping them 

with a compatible solvent applied using 

a lint-free cloth. Depending upon your 

cassette material, ethanol (C2H5OH) 

might be an acceptable solvent. Your 

cleaning frequency will depend on your 

engine’s PM and HC emissions. 

(viii) If you keep the cassette in the 

filter holder after sampling, prevent 

flow through the filter until either the 

holder or cassette is removed from the 

PM sampler. If you remove the cassettes 

from filter holders after sampling, 

transfer the cassette to an individual 

container that is covered or sealed to 

prevent communication of semi-volatile 

matter from one filter to another. If you 

remove the filter holder, cap the inlet 

and outlet. Keep them covered or sealed 

until they return to the stabilization or 

weighing environments. 

(ix) The filters should not be handled 

outside of the PM stabilization and 

weighing environments and should be 

loaded into cassettes, filter holders, or 

auto changer apparatus before removal 

from these environments. 

* * * * * 

BILLING CODE 6560–50–P 


mstockstill on PROD1PC66 with RULES2ER08OC08.079</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59323 

■ 213. Section 1065.190 is amended by 

revising paragraph (d)(2) to read as 

follows: 

§ 1065.190 PM-stabilization and weighing 

environments for gravimetric analysis. 

* * * * * 

(d) * * * 

(2) Dewpoint. Maintain a dewpoint of 

9.5 °C in both environments. This 

dewpoint will control the amount of 

water associated with sulfuric acid 

(H2SO4) PM, such that 1.2216 grams of 

water will be associated with each gram 

of H2SO4. 

* * * * * 

Subpart C—[Amended] 

■ 214. Section 1065.205 is amended by 

revising Table 1 to read as follows: 

§ 1065.205 Performance specifications for 

measurement instruments. 

* * * * * 

BILLING CODE 6560–50–C 

■ 215. Section 1065.272 is amended by 

revising paragraph (a) to read as follows: 

§ 1065.272 Nondispersive ultraviolet 

analyzer. 

(a) Application. You may use a 

nondispersive ultraviolet (NDUV) 

analyzer to measure NOX concentration 

in raw or diluted exhaust for batch or 

continuous sampling. We generally 

accept an NDUV for NOX measurement, 

even though it measures only NO and 

NO2, since conventional engines and 

aftertreatment systems do not emit 

significant amounts of other NOX

species. Measure other NOX species if 

required by the standard-setting part. 

Note that good engineering judgment 

may preclude you from using an NDUV 

analyzer if sampled exhaust from test 

engines contains oil (or other 

contaminants) in sufficiently high 

concentrations to interfere with proper 

operation. 

* * * * * 

Subpart D—[Amended] 

■ 216. Section 1065.303 is revised to 

read as follows: 

§ 1065.303 Summary of required 

calibration and verifications 

The following table summarizes the 

required and recommended calibrations 

and verifications described in this 

subpart and indicates when these have 

to be performed: 


mstockstill on PROD1PC66 with RULES2ER08OC08.080</MATH>
59324 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

TABLE 1 OF § 1065.303—SUMMARY OF REQUIRED CALIBRATION AND VERIFICATIONS

Type of calibration or verification Minimum frequency a

§ 1065.305: Accuracy, repeatability and noise ......................................... Accuracy: Not required, but recommended for initial installation. 

Repeatability: Not required, but recommended for initial installation. 

Noise: Not required, but recommended for initial installation. 

Speed: Upon initial installation, within 370 days before testing and after 

major maintenance. 

Torque: Upon initial installation, within 370 days before testing and 

after major maintenance. 

Electrical power: Upon initial installation, within 370 days before testing 

and after major maintenance. 

Clean gas and diluted exhaust flows: Upon initial installation, within 

370 days before testing and after major maintenance, unless flow is 

verified by propane check or by carbon or oxygen balance. 

§ 1065.307: Linearity ................................................................................ Raw exhaust flow: Upon initial installation, within 185 days before testing and after major maintenance, unless flow is verified by propane 

check or by carbon or oxygen balance. 

Gas analyzers: Upon initial installation, within 35 days before testing 

and after major maintenance. 

PM balance: Upon initial installation, within 370 days before testing and 

after major maintenance. 

Stand-alone pressure and temperature: Upon initial installation, within 

370 days before testing and after major maintenance. 

§ 1065.308: Continuous gas analyzer system response and updatingrecording verification—for gas analyzers not continuously compensated for other gas species.Upon initial installation or after system modification that would affect response. 

§ 1065.309: Continuous gas analyzer system-response and updatingrecording verification—for gas analyzers continuously compensated 

for other gas species.

Upon initial installation or after system modification that would affect response. 

§ 1065.310: Torque ................................................................................... Upon initial installation and after major maintenance. 

§ 1065.315: Pressure, temperature, dewpoint ......................................... Upon initial installation and after major maintenance. 

§ 1065.320: Fuel flow ............................................................................... Upon initial installation and after major maintenance. 

§ 1065.325: Intake flow ............................................................................. Upon initial installation and after major maintenance. 

§ 1065.330: Exhaust flow ......................................................................... Upon initial installation and after major maintenance. 

§ 1065.340: Diluted exhaust flow (CVS) .................................................. Upon initial installation and after major maintenance. 

§ 1065.341: CVS and batch sampler verification b ................................... Upon initial installation, within 35 days before testing, and after major 

maintenance. 

§ 1065.345: Vacuum leak ......................................................................... Before each laboratory test according to subpart F of this part and before each field test according to subpart J of this part. 

§ 1065.350: CO2 NDIR H2O interference ................................................. Upon initial installation and after major maintenance. 

§ 1065.355: CO NDIR CO2 and H2O interference ................................... Upon initial installation and after major maintenance. 

Calibrate all FID analyzers: upon initial installation and after major 

maintenance. 

§ 1065.360: FID calibration THC FID optimization, and THC FID 

verification..

Optimize and determine CH4 response for THC FID analyzers: upon 

initial installation and after major maintenance. 

Verify CH4 response for THC FID analyzers: upon initial installation, 

within 185 days before testing, and after major maintenance. 

§ 1065.362: Raw exhaust FID O2 interference ........................................ For all FID analyzers: upon initial installation, and after major maintenance. 

For THC FID analyzers: upon initial installation, after major maintenance, and after FID optimization according to § 1065.360. 

§ 1065.365: Nonmethane cutter penetration ............................................ Upon initial installation, within 185 days before testing, and after major 

maintenance. 

§ 1065.370: CLD CO2 and H2O quench ................................................... Upon initial installation and after major maintenance. 

§ 1065.372: NDUV HC and H2O interference .......................................... Upon initial installation and after major maintenance. 

§ 1065.376: Chiller NO2 penetration ......................................................... Upon initial installation and after major maintenance. 

§ 1065.378: NO2-to-NO converter conversion .......................................... Upon initial installation, within 35 days before testing, and after major 

maintenance. 

§ 1065.390: PM balance and weighing .................................................... Independent verification: upon initial installation, within 370 days before 

testing, and after major maintenance. 

Zero, span, and reference sample verifications: within 12 hours of 

weighing, and after major maintenance. 

§ 1065.395: Inertial PM balance and weighing ........................................ Independent verification: upon initial installation, within 370 days before 

testing, and after major maintenance. 

Other verifications: upon initial installation and after major maintenance. 

aPerform calibrations and verifications more frequently, according to measurement system manufacturer instructions and good engineering 

judgment. bThe CVS verification described in § 1065.341 is not required for systems that agree within ± 2% based on a chemical balance of carbon or 

oxygen of the intake air, fuel, and diluted exhaust. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59325 

■ 217. Section 1065.307 is amended by 

revising paragraphs (e)(2) and (e)(3) to 

read as follows: 

§ 1065.307 Linearity verification. 

* * * * * 

(e) * * * 

(2) The expression ‘‘xmin’’ refers to the 

reference value used during the linearity 

verification that is closest to zero. This 

is the value used to calculate the first 

tolerance in Table 1 of this section using 

the intercept, a0. Note that this value 

may be zero, positive, or negative 

depending on the reference values. For 

example, if the reference values chosen 

to validate a pressure transducer vary 

from ¥10 to ¥1 kPa, xmin is ¥1 kPa. If 

the reference values used to validate a 

temperature device vary from 290 to 390 

K, xmin is 290 K. 

(3) The expression ‘‘max’’ generally 

refers to the absolute value of the 

reference value used during the linearity 

verification that is furthest from zero. 

This is the value used to scale the first 

and third tolerances in Table 1 of this 

section using a0 and SEE. For example, 

if the reference values chosen to 

validate a pressure transducer vary from 

¥10 to ¥1 kPa, then pmax is +10 kPa. 

If the reference values used to validate 

a temperature device vary from 290 to 

390 K, then Tmax is 390 K. For gas 

dividers, xmax is the undivided, 

undiluted, span gas concentration. The 

following are special cases where ‘‘max’’ 

refers to a different value: 

(i) For linearity verification with a PM 

balance, mmax refers to the typical mass 

of a PM filter. 

(ii) For linearity verification of torque, 

Tmax refers to the manufacturer’s 

specified engine torque peak value of 

the lowest torque engine to be tested. 

* * * * * 

■ 218. Section 1065.308 is revised to 

read as follows: 

§ 1065.308 Continuous gas analyzer 

system-response and updating-recording 

verification—for gas analyzers not 

continuously compensated for other gas 

species. 

(a) Scope and frequency. This section 

describes a verification procedure for 

system response and updating-recording 

frequency for continuous gas analyzers 

that output a gas species mole fraction 

(i.e., concentration) using a single gas 

detector, i.e., gas analyzers not 

continuously compensated for other gas 

species measured with multiple gas 

detectors. See § 1065.309 for verification 

procedures that apply to continuous gas 

analyzers that are continuously 

compensated for other gas species 

measured with multiple gas detectors. 

Perform this verification to determine 

the system response of the continuous 

gas analyzer and its sampling system. 

This verification is required for 

continuous gas analyzers used for 

transient or ramped-modal testing. You 

need not perform this verification for 

batch gas analyzer systems or for 

continuous gas analyzer systems that are 

used only for discrete-mode testing. 

Perform this verification after initial 

installation (i.e., test cell 

commissioning) and after any 

modifications to the system that would 

change system response. For example, 

perform this verification if you add a 

significant volume to the transfer lines 

by increasing their length or adding a 

filter; or if you reduce the frequency at 

which the gas analyzer updates its 

output or the frequency at which you 

sample and record gas-analyzer 

concentrations. 

(b) Measurement principles. This test 

verifies that the updating and recording 

frequencies match the overall system 

response to a rapid change in the value 

of concentrations at the sample probe. 

Gas analyzers and their sampling 

systems must be optimized such that 

their overall response to a rapid change 

in concentration is updated and 

recorded at an appropriate frequency to 

prevent loss of information. This test 

also verifies that the measurement 

system meets a minimum response time. 

You may use the results of this test to 

determine transformation time, t50, for 

the purposes of time alignment of 

continuous data in accordance with 

§ 1065.650(c)(2)(i). You may also use an 

alternate procedure to determine t50 in 

accordance with good engineering 

judgment. Note that any such procedure 

for determining t50 must account for 

both transport delay and analyzer 

response time. 

(c) System requirements. Demonstrate 

that each continuous analyzer has 

adequate update and recording 

frequencies and has a minimum rise 

time and a minimum fall time during a 

rapid change in gas concentration. You 

must meet one of the following criteria: 

(1) The product of the mean rise time, 

t10–90, and the frequency at which the 

system records an updated 

concentration must be at least 5, and the 

product of the mean fall time, t90–10, and 

the frequency at which the system 

records an updated concentration must 

be at least 5. If the recording frequency 

is different than the analyzer’s output 

update frequency, you must use the 

lower of these two frequencies for this 

verification, which is referred to as the 

updating-recording frequency. This 

verification applies to the nominal 

updating and recording frequencies. 

This criterion makes no assumption 

regarding the frequency content of 

changes in emission concentrations 

during emission testing; therefore, it is 

valid for any testing. Also, the mean rise 

time must be at or below 10 seconds and 

the mean fall time must be at or below 

10 seconds. 

(2) The frequency at which the system 

records an updated concentration must 

be at least 5 Hz. This criterion assumes 

that the frequency content of significant 

changes in emission concentrations 

during emission testing do not exceed 1 

Hz. Also, the mean rise time must be at 

or below 10 seconds and the mean fall 

time must be at or below 10 seconds. 

(3) You may use other criteria if we 

approve the criteria in advance. 

(4) You may meet the overall PEMS 

verification in § 1065.920 instead of the 

verification in this section for field 

testing with PEMS. 

(d) Procedure. Use the following 

procedure to verify the response of each 

continuous gas analyzer: 

(1) Instrument setup. Follow the 

analyzer manufacturer’s start-up and 

operating instructions. Adjust the 

measurement system as needed to 

optimize performance. Run this 

verification with the analyzer operating 

in the same manner you will use for 

emission testing. If the analyzer shares 

its sampling system with other 

analyzers, and if gas flow to the other 

analyzers will affect the system 

response time, then start up and operate 

the other analyzers while running this 

verification test. You may run this 

verification test on multiple analyzers 

sharing the same sampling system at the 

same time. If you use any analog or realtime digital filters during emission 

testing, you must operate those filters in 

the same manner during this 

verification. 

(2) Equipment setup. We recommend 

using minimal lengths of gas transfer 

lines between all connections and fastacting three-way valves (2 inlets, 1 

outlet) to control the flow of zero and 

blended span gases to the sample 

system’s probe inlet or a tee near the 

outlet of the probe. Normally the gas 

flow rate is higher than the probe 

sample flow rate and the excess is 

overflowed out the inlet of the probe. If 

the gas flow rate is lower than the probe 

flow rate, the gas concentrations must 

be adjusted to account for the dilution 

from ambient air drawn into the probe. 

Select span gases for the species being 

measured. You may use binary or multigas span gases. You may use a gas 

blending or mixing device to blend span 

gases. A gas blending or mixing device 

is recommended when blending span 

gases diluted in N2 with span gases 

diluted in air. You may use a multi-gas 

mstockstill on PROD1PC66 with RULES2

59326 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

span gas, such as NO-CO-CO2-C3H8-CH4, 

to verify multiple analyzers at the same 

time. If you use standard binary span 

gases, you must run separate response 

tests for each analyzer. In designing 

your experimental setup, avoid pressure 

pulsations due to stopping the flow 

through the gas-blending device. 

(3) Data collection. (i) Start the flow 

of zero gas. 

(ii) Allow for stabilization, accounting 

for transport delays and the slowest 

analyzer’s full response. 

(iii) Start recording data. For this 

verification you must record data at a 

frequency greater than or equal to that 

of the updating-recording frequency 

used during emission testing. You may 

not use interpolation or filtering to alter 

the recorded values. 

(iv) Switch the flow to allow the 

blended span gases to flow to the 

analyzer. If you intend to use the data 

from this test to determine t50 for time 

alignment, record this time as t0. 

(v) Allow for transport delays and the 

slowest analyzer’s full response. 

(vi) Switch the flow to allow zero gas 

to flow to the analyzer. If you intend to 

use the data from this test to determine 

t50 for time alignment, record this time 

as t100. 

(vii) Allow for transport delays and 

the slowest analyzer’s full response. 

(viii) Repeat the steps in paragraphs 

(d)(3)(iv) through (vii) of this section to 

record seven full cycles, ending with 

zero gas flowing to the analyzers. 

(ix) Stop recording. 

(e) Performance evaluation. (1) If you 

choose to demonstrate compliance with 

paragraph (c)(1) of this section, use the 

data from paragraph (d)(3) of this 

section to calculate the mean rise time, 

t10–90, and mean fall time, t90–10, for each 

of the analyzers being verified. You may 

use interpolation between recorded 

values to determine rise and fall times. 

If the recording frequency used during 

emission testing is different from the 

analyzer’s output update frequency, you 

must use the lower of these two 

frequencies for this verification. 

Multiply these times (in seconds) by 

their respective updating-recording 

frequencies in Hertz (1/second). The 

resulting product must be at least 5 for 

both rise time and fall time. If either 

value is less than 5, increase the 

updating-recording frequency, or adjust 

the flows or design of the sampling 

system to increase the rise time and fall 

time as needed. You may also configure 

analog or digital filters before recording 

to increase rise and fall times. In no case 

may the mean rise time or mean fall 

time be greater than 10 seconds. 

(2) If a measurement system fails the 

criterion in paragraph (e)(1) of this 

section, ensure that signals from the 

system are updated and recorded at a 

frequency of at least 5 Hz. In no case 

may the mean rise time or mean fall 

time be greater than 10 seconds. 

(3) If a measurement system fails the 

criteria in paragraphs (e)(1) and (2) of 

this section, you may use the 

measurement system only if the 

deficiency does not adversely affect 

your ability to show compliance with 

the applicable standards. 

(f) Transformation time, t50, 

determination. If you choose to 

determine t50 for purposes of time 

alignment using data generated in 

paragraph (d)(3) of this section, 

calculate the mean t0–50 and the mean 

t100–50 from the recorded data. Average 

these two values to determine the final 

t50 for the purposes of time alignment in 

accordance with § 1065.650(c)(2)(i). 

■ 219. Section 1065.309 is revised to 

read as follows: 

§ 1065.309 Continuous gas analyzer 

system-response and updating-recording 

verification—for gas analyzers continuously 

compensated for other gas species. 

(a) Scope and frequency. This section 

describes a verification procedure for 

system response and updating-recording 

frequency for continuous gas analyzers 

that output a single gas species mole 

fraction (i.e., concentration) based on a 

continuous combination of multiple gas 

species measured with multiple 

detectors (i.e., gas analyzers 

continuously compensated for other gas 

species). See § 1065.308 for verification 

procedures that apply to continuous gas 

analyzers that are not continuously 

compensated for other gas species or 

that use only one detector for gaseous 

species. Perform this verification to 

determine the system response of the 

continuous gas analyzer and its 

sampling system. This verification is 

required for continuous gas analyzers 

used for transient or ramped-modal 

testing. You need not perform this 

verification for batch gas analyzers or 

for continuous gas analyzers that are 

used only for discrete-mode testing. For 

this check we consider water vapor a 

gaseous constituent. This verification 

does not apply to any processing of 

individual analyzer signals that are time 

aligned to their t50 times and were 

verified according to § 1065.308. For 

example, this verification does not 

apply to correction for water removed 

from the sample done in post-processing 

according to § 1065.659 and it does not 

apply to NMHC determination from 

THC and CH4 according to § 1065.660. 

Perform this verification after initial 

installation (i.e., test cell 

commissioning) and after any 

modifications to the system that would 

change the system response. 

(b) Measurement principles. This 

procedure verifies that the updating and 

recording frequencies match the overall 

system response to a rapid change in the 

value of concentrations at the sample 

probe. It indirectly verifies the timealignment and uniform response of all 

the continuous gas detectors used to 

generate a continuously combined/ 

compensated concentration 

measurement signal. Gas analyzer 

systems must be optimized such that 

their overall response to rapid change in 

concentration is updated and recorded 

at an appropriate frequency to prevent 

loss of information. This test also 

verifies that the measurement system 

meets a minimum response time. For 

this procedure, ensure that all 

compensation algorithms and humidity 

corrections are turned on. You may use 

the results of this test to determine 

transformation time, t50, for the 

purposes of time alignment of 

continuous data in accordance with 

§ 1065.650(c)(2)(i). You may also use an 

alternate procedure to determine t50

consistent with good engineering 

judgment. Note that any such procedure 

for determining t50 must account for 

both transport delay and analyzer 

response time. 

(c) System requirements. Demonstrate 

that each continuously combined/ 

compensated concentration 

measurement has adequate updating 

and recording frequencies and has a 

minimum rise time and a minimum fall 

time during a system response to a rapid 

change in multiple gas concentrations, 

including H2O concentration if H2O 

compensation is applied. You must 

meet one of the following criteria: 

(1) The product of the mean rise time, 

t10–90, and the frequency at which the 

system records an updated 

concentration must be at least 5, and the 

product of the mean fall time, t90–10, and 

the frequency at which the system 

records an updated concentration must 

be at least 5. If the recording frequency 

is different than the update frequency of 

the continuously combined/ 

compensated signal, you must use the 

lower of these two frequencies for this 

verification. This criterion makes no 

assumption regarding the frequency 

content of changes in emission 

concentrations during emission testing; 

therefore, it is valid for any testing. 

Also, the mean rise time must be at or 

below 10 seconds and the mean fall 

time must be at or below 10 seconds. 

(2) The frequency at which the system 

records an updated concentration must 

be at least 5 Hz. This criterion assumes 

that the frequency content of significant 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59327 

changes in emission concentrations 

during emission testing do not exceed 1 

Hz. Also, the mean rise time must be at 

or below 10 seconds and the mean fall 

time must be at or below 10 seconds. 

(3) You may use other criteria if we 

approve them in advance. 

(4) You may meet the overall PEMS 

verification in § 1065.920 instead of the 

verification in this section for field 

testing with PEMS. 

(d) Procedure. Use the following 

procedure to verify the response of each 

continuously compensated analyzer 

(verify the combined signal, not each 

individual continuously combined 

concentration signal): 

(1) Instrument setup. Follow the 

analyzer manufacturer’s start-up and 

operating instructions. Adjust the 

measurement system as needed to 

optimize performance. Run this 

verification with the analyzer operating 

in the same manner you will use for 

emission testing. If the analyzer shares 

its sampling system with other 

analyzers, and if gas flow to the other 

analyzers will affect the system 

response time, then start up and operate 

the other analyzers while running this 

verification test. You may run this 

verification test on multiple analyzers 

sharing the same sampling system at the 

same time. If you use any analog or realtime digital filters during emission 

testing, you must operate those filters in 

the same manner during this 

verification. 

(2) Equipment setup. We recommend 

using minimal lengths of gas transfer 

lines between all connections and fastacting three-way valves (2 inlets, 1 

outlet) to control the flow of zero and 

blended span gases to the sample 

system’s probe inlet or a tee near the 

outlet of the probe. Normally the gas 

flow rate is higher than the probe 

sample flow rate and the excess is 

overflowed out the inlet of the probe. If 

the gas flow rate is lower than the probe 

flow rate, the gas concentrations must 

be adjusted to account for the dilution 

from ambient air drawn into the probe. 

Select span gases for the species being 

continuously combined, other than H2O. 

Select concentrations of compensating 

species that will yield concentrations of 

these species at the analyzer inlet that 

covers the range of concentrations 

expected during testing. You may use 

binary or multi-gas span gases. You may 

use a gas blending or mixing device to 

blend span gases. A gas blending or 

mixing device is recommended when 

blending span gases diluted in N2 with 

span gases diluted in air. You may use 

a multi-gas span gas, such as NO–CO– 

CO2–C3H8–CH4, to verify multiple 

analyzers at the same time. In designing 

your experimental setup, avoid pressure 

pulsations due to stopping the flow 

through the gas blending device. If H2O 

correction is applicable, then span gases 

must be humidified before entering the 

analyzer; however, you may not 

humidify NO2 span gas by passing it 

through a sealed humidification vessel 

that contains water. You must humidify 

NO2 span gas with another moist gas 

stream. We recommend humidifying 

your NO–CO–CO2–C3H8–CH4, balance 

N2 blended gas by flowing the gas 

mixture through a sealed vessel that 

humidifies the gas by bubbling it 

through distilled water and then mixing 

the gas with dry NO2 gas, balance 

purified synthetic air. If your system 

does not use a sample dryer to remove 

water from the sample gas, you must 

humidify your span gas to the highest 

sample H2O content that you estimate 

during emission sampling. If your 

system uses a sample dryer during 

testing, it must pass the sample dryer 

verification check in § 1065.342, and 

you must humidify your span gas to an 

H2O content greater than or equal to the 

level determined in § 1065.145(d)(2). If 

you are humidifying span gases without 

NO2, use good engineering judgment to 

ensure that the wall temperatures in the 

transfer lines, fittings, and valves from 

the humidifying system to the probe are 

above the dewpoint required for the 

target H2O content. If you are 

humidifying span gases with NO2, use 

good engineering judgment to ensure 

that there is no condensation in the 

transfer lines, fittings, or valves from the 

point where humidified gas is mixed 

with NO2 span gas to the probe. We 

recommend that you design your setup 

so that the wall temperatures in the 

transfer lines, fittings, and valves from 

the humidifying system to the probe are 

at least 5 °C above the local sample gas 

dewpoint. Operate the measurement 

and sample handling system as you do 

for emission testing. Make no 

modifications to the sample handling 

system to reduce the risk of 

condensation. Flow humidified gas 

through the sampling system before this 

check to allow stabilization of the 

measurement system’s sampling 

handling system to occur, as it would 

for an emission test. 

(3) Data collection. (i) Start the flow 

of zero gas. 

(ii) Allow for stabilization, accounting 

for transport delays and the slowest 

analyzer’s full response. 

(iii) Start recording data. For this 

verification you must record data at a 

frequency greater than or equal to that 

of the updating-recording frequency 

used during emission testing. You may 

not use interpolation or filtering to alter 

the recorded values. 

(iv) Switch the flow to allow the 

blended span gases to flow to the 

analyzer. If you intend to use the data 

from this test to determine t50 for time 

alignment, record this time as t0. 

(v) Allow for transport delays and the 

slowest analyzer’s full response. 

(vi) Switch the flow to allow zero gas 

to flow to the analyzer. If you intend to 

use the data from this test to determine 

t50 for time alignment, record this time 

as t100. 

(vii) Allow for transport delays and 

the slowest analyzer’s full response. 

(viii) Repeat the steps in paragraphs 

(d)(3)(iv) through (vii) of this section to 

record seven full cycles, ending with 

zero gas flowing to the analyzers. 

(ix) Stop recording. 

(e) Performance evaluations. (1) If you 

choose to demonstrate compliance with 

paragraph (c)(1) of this section, use the 

data from paragraph (d)(3) of this 

section to calculate the mean rise time, 

t10–90, and mean fall time, t90–10, for the 

continuously combined signal from 

each analyzer being verified. You may 

use interpolation between recorded 

values to determine rise and fall times. 

If the recording frequency used during 

emission testing is different from the 

analyzer’s output update frequency, you 

must use the lower of these two 

frequencies for this verification. 

Multiply these times (in seconds) by 

their respective updating-recording 

frequencies in Hz (1/second). The 

resulting product must be at least 5 for 

both rise time and fall time. If either 

value is less than 5, increase the 

updating-recording frequency or adjust 

the flows or design of the sampling 

system to increase the rise time and fall 

time as needed. You may also configure 

analog or digital filters before recording 

to increase rise and fall times. In no case 

may the mean rise time or mean fall 

time be greater than 10 seconds. 

(2) If a measurement system fails the 

criterion in paragraph (e)(1) of this 

section, ensure that signals from the 

system are updated and recorded at a 

frequency of at least 5 Hz. In no case 

may the mean rise time or mean fall 

time be greater than 10 seconds. 

(3) If a measurement system fails the 

criteria in paragraphs (e)(1) and (2) of 

this section, you may use the 

measurement system only if the 

deficiency does not adversely affect 

your ability to show compliance with 

the applicable standards. 

(f) Transformation time, t50, 

determination. If you choose to 

determine t50 for purposes of time 

alignment using data generated in 

paragraph (d)(3) of this section, 

mstockstill on PROD1PC66 with RULES2

59328 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

calculate the mean t0–50 and the mean 

t100–50 from the recorded data. Average 

these two values to determine the final 

t50 for the purposes of time alignment in 

accordance with § 1065.650(c)(2)(i). 

■ 220. Section 1065.341 is amended by 

revising paragraph (d)(4) to read as 

follows: 

§ 1065.341 CVS and batch sampler 

verification (propane check). 

* * * * * 

(d) * * * 

(4) Overflow zero air at the HC probe 

inlet or into a tee near the outlet of the 

probe. 

* * * * * 

■ 221. Section 1065.342 is amended by 

revising paragraphs (d) and (e) to read 

as follows: 

§ 1065.342 Sample dryer verification. 

* * * * * 

(d) Sample dryer verification 

procedure. Use the following method to 

determine sample dryer performance. 

Run this verification with the dryer and 

associated sampling system operating in 

the same manner you will use for 

emission testing (including operation of 

sample pumps). You may run this 

verification test on multiple sample 

dryers sharing the same sampling 

system at the same time. You may run 

this verification on the sample dryer 

alone, but you must use the maximum 

gas flow rate expected during testing. 

You may use good engineering 

judgment to develop a different 

protocol. 

(1) Use PTFE or stainless steel tubing 

to make necessary connections. 

(2) Humidify room air, N2, or purified 

air by bubbling it through distilled 

water in a sealed vessel that humidifies 

the gas to the highest sample water 

content that you estimate during 

emission sampling. 

(3) Introduce the humidified gas 

upstream of the sample dryer. You may 

disconnect the transfer line from the 

probe and introduce the humidified gas 

at the inlet of the transfer line of the 

sample system used during testing. You 

may use the sample pumps in the 

sample system to draw gas through the 

vessel. 

(4) Maintain the sample lines, fittings, 

and valves from the location where the 

humidified gas water content is 

measured to the inlet of the sampling 

system at a temperature at least 5 °C 

above the local humidified gas 

dewpoint. For dryers used in NOX

sample systems, verify the sample 

system components used in this 

verification prevent aqueous 

condensation as required in 

§ 1065.145(c)(1)(i). We recommend that 

the sample system components be 

maintained at least 5 °C above the local 

humidified gas dewpoint to prevent 

aqueous condensation. 

(5) Measure the humidified gas 

dewpoint, Tdew, and absolute pressure, 

ptotal, as close as possible to the inlet of 

the sample dryer or inlet of the sample 

system to verify the water content is at 

least as high as the highest value that 

you estimated during emission 

sampling. You may verify the water 

content based on any humidity 

parameter (e.g. mole fraction water, 

local dewpoint, or absolute humidity). 

(6) Measure the humidified gas 

dewpoint, Tdew, and absolute pressure, 

ptotal, as close as possible to the outlet 

of the sample dryer. Note that the 

dewpoint changes with absolute 

pressure. If the dewpoint at the sample 

dryer outlet is measured at a different 

pressure, then this reading must be 

corrected to the dewpoint at the sample 

dryer absolute pressure, ptotal. 

(7) The sample dryer meets the 

verification if the dewpoint at the 

sample dryer pressure as measured in 

paragraph (d)(6) of this section is less 

than the dewpoint corresponding to the 

sample dryer specifications as 

determined in § 1065.145(d)(2) plus 2 °C 

or if the mole fraction of water as 

measured in (d)(6) is less than the 

corresponding sample dryer 

specifications plus 0.002 mol/mol. 

(e) Alternate sample dryer verification 

procedure. The following method may 

be used in place of the sample dryer 

verification procedure in (d) of this 

section. If you use a humidity sensor for 

continuous monitoring of dewpoint at 

the sample dryer outlet you may skip 

the performance check in § 1065.342(d), 

but you must make sure that the dryer 

outlet humidity is at or below the 

minimum value used for quench, 

interference, and compensation checks. 

■ 222. Section 1065.345 is amended by 

revising paragraph (d)(3) to read as 

follows: 

§ 1065.345 Vacuum-side leak verification. 

* * * * * 

(d) * * * 

(3) Route overflow span gas to the 

inlet of the sample probe or at a tee 

fitting in the transfer line near the exit 

of the probe. You may use a valve 

upstream of the overflow fitting to 

prevent overflow of span gas out of the 

inlet of the probe, but you must then 

provide an overflow vent in the 

overflow supply line. 

* * * * * 

■ 223. Section 1065.350 is amended by 

revising paragraphs (d)(4) and (d)(5) to 

read as follows: 

§ 1065.350 H2O interference verification for 

CO2 NDIR analyzers. 

* * * * * 

(d) * * * 

(4) Measure the water mole fraction, 

xH2O, of the humidified test gas, as close 

as possible to the inlet of the analyzer. 

For example, measure dewpoint, Tdew, 

and absolute pressure, ptotal, to calculate 

xH2O. 

(5) Use good engineering judgment to 

prevent condensation in the transfer 

lines, fittings, or valves from the point 

where xH2O is measured to the analyzer. 

We recommend that you design your 

system so the wall temperatures in the 

transfer lines, fittings, and valves from 

the point where xH2O is measured to the 

analyzer are at least 5 °C above the local 

sample gas dewpoint. 

* * * * * 

■ 224. Section 1065.355 is amended by 

revising paragraphs (d)(4) and (d)(5) to 

read as follows: 

§ 1065.355 H2O and CO2 interference 

verification for CO NDIR analyzers. 

* * * * * 

(d) * * * 

(4) Measure the water mole fraction, 

xH2O, of the humidified CO2 test gas as 

close as possible to the inlet of the 

analyzer. For example, measure 

dewpoint, Tdew, and absolute pressure, 

ptotal, to calculate xH2O. 

(5) Use good engineering judgment to 

prevent condensation in the transfer 

lines, fittings, or valves from the point 

where xH2O is measured to the analyzer. 

We recommend that you design your 

system so the wall temperatures in the 

transfer lines, fittings, and valves from 

the point where xH2O is measured to the 

analyzer are at least 5 °C above the local 

sample gas dewpoint. 

* * * * * 

■ 225. Section 1065.370 is revised to 

read as follows: 

§ 1065.370 CLD CO2 and H2O quench 

verification. 

(a) Scope and frequency. If you use a 

CLD analyzer to measure NOX, verify 

the amount of H2O and CO2 quench 

after installing the CLD analyzer and 

after major maintenance. 

(b) Measurement principles. H2O and 

CO2 can negatively interfere with a 

CLD’s NOX response by collisional 

quenching, which inhibits the 

chemiluminescent reaction that a CLD 

utilizes to detect NOX. This procedure 

and the calculations in § 1065.675 

determine quench and scale the quench 

results to the maximum mole fraction of 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59329 

H2O and the maximum CO2

concentration expected during emission 

testing. If the CLD analyzer uses quench 

compensation algorithms that utilize 

H2O and/or CO2 measurement 

instruments, evaluate quench with these 

instruments active and evaluate quench 

with the compensation algorithms 

applied. 

(c) System requirements. A CLD 

analyzer must have a combined H2O 

and CO2 quench of ± 3% or less, though 

we strongly recommend a quench of 

± 1% or less. Combined quench is the 

sum of the CO2 quench determined as 

described in paragraph (d) of this 

section, plus the H2O quench 

determined in paragraph (e) of this 

section. 

(d) CO2 quench verification 

procedure. Use the following method to 

determine CO2 quench by using a gas 

divider that blends binary span gases 

with zero gas as the diluent and meets 

the specifications in § 1065.248, or use 

good engineering judgment to develop a 

different protocol: 

(1) Use PTFE or stainless steel tubing 

to make necessary connections. 

(2) Configure the gas divider such that 

nearly equal amounts of the span and 

diluent gases are blended with each 

other. 

(3) If the CLD analyzer has an 

operating mode in which it detects NOonly, as opposed to total NOX, operate 

the CLD analyzer in the NO-only 

operating mode. 

(4) Use a CO2 span gas that meets the 

specifications of § 1065.750 and a 

concentration that is approximately 

twice the maximum CO2 concentration 

expected during emission testing. 

(5) Use an NO span gas that meets the 

specifications of § 1065.750 and a 

concentration that is approximately 

twice the maximum NO concentration 

expected during emission testing. 

(6) Zero and span the CLD analyzer. 

Span the CLD analyzer with the NO 

span gas from paragraph (d)(5) of this 

section through the gas divider. Connect 

the NO span gas to the span port of the 

gas divider; connect a zero gas to the 

diluent port of the gas divider; use the 

same nominal blend ratio selected in 

paragraph (d)(2) of this section; and use 

the gas divider’s output concentration of 

NO to span the CLD analyzer. Apply gas 

property corrections as necessary to 

ensure accurate gas division. 

(7) Connect the CO2 span gas to the 

span port of the gas divider. 

(8) Connect the NO span gas to the 

diluent port of the gas divider. 

(9) While flowing NO and CO2

through the gas divider, stabilize the 

output of the gas divider. Determine the 

CO2 concentration from the gas divider 

output, applying gas property correction 

as necessary to ensure accurate gas 

division. Record this concentration, 

xCO2act, and use it in the quench 

verification calculations in § 1065.675. 

Alternatively, you may use a simple gas 

blending device and use an NDIR to 

determine this CO2 concentration. If you 

use an NDIR, it must meet the 

requirements of this part for laboratory 

testing and you must span it with the 

CO2 span gas from paragraph (d)(4) of 

this section. 

(10) Measure the NO concentration 

downstream of the gas divider with the 

CLD analyzer. Allow time for the 

analyzer response to stabilize. 

Stabilization time may include time to 

purge the transfer line and to account 

for analyzer response. While the 

analyzer measures the sample’s 

concentration, record the analyzer’s 

output for 30 seconds. Calculate the 

arithmetic mean concentration from 

these data, xNOmeas. Record xNOmeas, and 

use it in the quench verification 

calculations in § 1065.675. 

(11) Calculate the actual NO 

concentration at the gas divider’s outlet, 

xNOact, based on the span gas 

concentrations and xCO2act according to 

Equation 1065.675–2. Use the calculated 

value in the quench verification 

calculations in Equation 1065.675–1. 

(12) Use the values recorded 

according to this paragraph (d) and 

paragraph (e) of this section to calculate 

quench as described in § 1065.675. 

(e) H2O quench verification 

procedure. Use the following method to 

determine H2O quench, or use good 

engineering judgment to develop a 

different protocol: 

(1) Use PTFE or stainless steel tubing 

to make necessary connections. 

(2) If the CLD analyzer has an 

operating mode in which it detects NOonly, as opposed to total NOX, operate 

the CLD analyzer in the NO-only 

operating mode. 

(3) Use an NO span gas that meets the 

specifications of § 1065.750 and a 

concentration that is near the maximum 

concentration expected during emission 

testing. 

(4) Zero and span the CLD analyzer. 

Span the CLD analyzer with the NO 

span gas from paragraph (e)(3) of this 

section, record the span gas 

concentration as xNOdry, and use it in the 

quench verification calculations in 

§ 1065.675. 

(5) Humidify the NO span gas by 

bubbling it through distilled water in a 

sealed vessel. If the humidified NO span 

gas sample does not pass through a 

sample dryer for this verification test, 

control the vessel temperature to 

generate an H2O level approximately 

equal to the maximum mole fraction of 

H2O expected during emission testing. If 

the humidified NO span gas sample 

does not pass through a sample dryer, 

the quench verification calculations in 

§ 1065.675 scale the measured H2O 

quench to the highest mole fraction of 

H2O expected during emission testing. If 

the humidified NO span gas sample 

passes through a dryer for this 

verification test, control the vessel 

temperature to generate an H2O level at 

least as high as the level determined in 

§ 1065.145(d)(2). For this case, the 

quench verification calculations in 

§ 1065.675 do not scale the measured 

H2O quench. 

(6) Introduce the humidified NO test 

gas into the sample system. You may 

introduce it upstream or downstream of 

any sample dryer that is used during 

emission testing. Note that the sample 

dryer must meet the sample dryer 

verification check in § 1065.342. 

(7) Measure the mole fraction of H2O 

in the humidified NO span gas 

downstream of the sample dryer, 

xH2Omeas. We recommend that you 

measure xH2Omeas as close as possible to 

the CLD analyzer inlet. You may 

calculate xH2Omeas from measurements of 

dew point, Tdew, and absolute pressure, 

ptotal. 

(8) Use good engineering judgment to 

prevent condensation in the transfer 

lines, fittings, or valves from the point 

where xH2Omeas is measured to the 

analyzer. We recommend that you 

design your system so the wall 

temperatures in the transfer lines, 

fittings, and valves from the point where 

xH2Omeas is measured to the analyzer are 

at least 5 °C above the local sample gas 

dew point. 

(9) Measure the humidified NO span 

gas concentration with the CLD 

analyzer. Allow time for the analyzer 

response to stabilize. Stabilization time 

may include time to purge the transfer 

line and to account for analyzer 

response. While the analyzer measures 

the sample’s concentration, record the 

analyzer’s output for 30 seconds. 

Calculate the arithmetic mean of these 

data, xNOwet. Record xNOwet and use it in 

the quench verification calculations in 

§ 1065.675. 

(f) Corrective action. If the sum of the 

H2O quench plus the CO2 quench is less 

than ¥2% or greater than +2%, take 

corrective action by repairing or 

replacing the analyzer. Before running 

emission tests, verify that the corrective 

action successfully restored the analyzer 

to proper functioning. 

(g) Exceptions. The following 

exceptions apply: 

(1) You may omit this verification if 

you can show by engineering analysis 

mstockstill on PROD1PC66 with RULES2

59330 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

that for your NOX sampling system and 

your emission calculations procedures, 

the combined CO2 and H2O interference 

for your NOX CLD analyzer always 

affects your brake-specific NOX

emission results within no more than 

±1.0% of the applicable NOX standard. 

(2) You may use a NOX CLD analyzer 

that you determine does not meet this 

verification, as long as you try to correct 

the problem and the measurement 

deficiency does not adversely affect 

your ability to show that engines 

comply with all applicable emission 

standards. 

■ 226. Section 1065.378 is amended by 

revising paragraph (d)(4) to read as 

follows: 

§ 1065.378 NO2-to-NO converter 

conversion verification. 

* * * * * 

(d) * * * 

(4) Performance evaluation. Calculate 

the efficiency of the NOX converter by 

substituting the concentrations obtained 

into the following equation: 

efficiency

x x

x x

 = 1 2

2

+ −













− +

+

NOxmeas NOx O mix

NO O mix NOmeas



 ⋅100%

* * * * * 

Subpart F—[Amended] 

■ 227. Section 1065.510 is amended by 

revising paragraphs (b)(3) and (b)(6) to 

read as follows: 

§ 1065.510 Engine mapping. 

* * * * * 

(b) * * * 

(3) Operate the engine at its warm idle 

speed as follows: 

(i) For engines with a low-speed 

governor, set the operator demand to 

minimum, use the dynamometer or 

other loading device to target a torque 

of zero on the engine’s primary output 

shaft, and allow the engine to govern the 

speed. Measure this warm idle speed; 

we recommend recording at least 30 

values of speed and using the mean of 

those values. 

(ii) For engines without a low-speed 

governor, operate the engine at warm 

idle speed and zero torque on the 

engine’s primary output shaft. You may 

use the dynamometer to target a torque 

of zero on the engine’s primary output 

shaft, and manipulate the operator 

demand to control the speed to target 

the manufacturer-declared value for the 

lowest engine speed possible with 

minimum load (also known as 

manufacturer-declared warm idle 

speed). You may alternatively use the 

dynamometer to target the 

manufacturer-declared warm idle speed 

and manipulate the operator demand to 

control the torque on the engine’s 

primary output shaft to zero. 

(iii) For variable-speed engines with 

or without a low-speed governor, if a 

nonzero idle torque is representative of 

in-use operation, you may use the 

dynamometer or operator demand to 

target the manufacturer-declared idle 

torque instead of targeting zero torque as 

specified in paragraphs (b)(3)(i) and (ii) 

of this section. Control speed as 

specified in paragraph (b)(3)(i) or (ii) of 

this section, as applicable. If you use 

this option for engines with a low-speed 

governor to measure the warm idle 

speed with the manufacturer-declared 

torque at this step, you may use this as 

the warm-idle speed for cycle 

generation as specified in paragraph 

(b)(6) of this section. However, if you 

identify multiple warm idle torques 

under paragraph (f)(4)(i) of this section, 

measure the warm idle speed at only 

one torque level for this paragraph 

(b)(3). 

* * * * * 

(6) For engines with a low-speed 

governor, if a nonzero idle torque is 

representative of in-use operation, 

operate the engine at warm idle with the 

manufacturer-declared idle torque. Set 

the operator demand to minimum, use 

the dynamometer to target the declared 

idle torque, and allow the engine to 

govern the speed. Measure this speed 

and use it as the warm idle speed for 

cycle generation in § 1065.512. We 

recommend recording at least 30 values 

of speed and using the mean of those 

values. If you identify multiple warm 

idle torques under paragraph (f)(4)(i) of 

this section, measure the warm idle 

speed at each torque. You may map the 

idle governor at multiple load levels and 

use this map to determine the measured 

warm idle speed at the declared idle 

torque(s). 

* * * * * 

■ 228. Section 1065.514 is amended by 

revising paragraph (f)(3) to read as 

follows: 

§ 1065.514 Cycle-validation criteria for 

operation over specified duty cycles. 

* * * * * 

(f) * * * 

(3) For discrete-mode steady-state 

testing, apply cycle-validation criteria 

by treating the sampling periods from 

the series of test modes as a continuous 

sampling period, analogous to rampedmodal testing and apply statistical 

criteria as described in paragraph (f)(1) 

or (2) of this section. 

* * * * * 

■ 229. Section 1065.520 is amended by 

revising paragraphs (g)(4) and (g)(5)(ii) 

to read as follows: 

§ 1065.520 Pre-test verification procedures 

and pre-test data collection. 

* * * * * 

(g) * * * 

(4) Overflow zero gas at the HC probe 

inlet or into a tee near the probe outlet. 

(5) * * * 

(ii) For batch sampling, fill the sample 

medium (e.g., bag) and record its mean 

THC concentration. 

* * * * * 

Subpart G—[Amended] 

■ 230. Section 1065.610 is amended by 

revising paragraphs (a) and (b) to read 

as follows: 

§ 1065.610 Duty cycle generation. 

* * * * * 

(a) Maximum test speed, fntest. This 

section generally applies to duty cycles 

for variable-speed engines. For constantspeed engines subject to duty cycles that 

specify normalized speed commands, 

use the no-load governed speed as the 

measured fntest. This is the highest 

engine speed where an engine outputs 

zero torque. For variable-speed engines, 

determine the measured fntest from the 

power-versus-speed map, generated 

according to § 1065.510, as follows: 

(1) Based on the map, determine 

maximum power, Pmax, and the speed at 

which maximum power occurred, fnPmax. 

If maximum power occurs at multiple 

speeds, take fnPmax as the lowest of these 

speeds. Divide every recorded power by 

Pmax and divide every recorded speed by 

fnPmax. The result is a normalized powerversus-speed map. Your measured fntest

is the speed at which the sum of the 

squares of normalized speed and power 

is maximum. Note that if multiple 

maximum values are found, fntest should 

be taken as the lowest speed of all 

points with the same maximum sum of 

squares. 

Determine fntest as follows: 


mstockstill on PROD1PC66 with RULES2ER08OC08.097</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59331 

ff f P ntest ni nnormi

2

normi

2 = at the maximum of + Eq. 1065.61 ( ) 0-1

Where: 

fntest = maximum test speed. 

i = an indexing variable that represents one 

recorded value of an engine map. 

fnnormi = an engine speed normalized by 

dividing it by fnPmax. 

Pnormi = an engine power normalized by 

dividing it by Pmax. 

Example: 

(fnnorm1 = 1.002, Pnorm1 = 0.978, fn1 = 2359.71) 

(fnnorm2 = 1.004, Pnorm2 = 0.977, fn2 = 2364.42) 

(fnnorm3 = 1.006, Pnorm3 = 0.974, fn3 = 2369.13) 

(fnnorm12 + Pnorm12) = (1.0022 + 0.9782) = 1.960 

(fnnorm22 + Pnorm22) = (1.0042 + 0.9772) = 1.963 

(fnnorm32 + Pnorm32) = (1.0062 + 0.9742) = 1.961 

maximum = 1.963 at i = 2 

fntest = 2364.42 rev/min 

(2) For variable-speed engines, 

transform normalized speeds to 

reference speeds according to paragraph 

(c) of this section by using the measured 

maximum test speed determined 

according to paragraph (a)(1) of this 

section—or use your declared maximum 

test speed, as allowed in § 1065.510. 

(3) For constant-speed engines, 

transform normalized speeds to 

reference speeds according to paragraph 

(c) of this section by using the measured 

no-load governed speed—or use your 

declared maximum test speed, as 

allowed in § 1065.510. 

(b) Maximum test torque, Ttest. For 

constant-speed engines, determine the 

measured Ttest from the power-versusspeed map, generated according to 

§ 1065.510, as follows: 

(1) Based on the map, determine 

maximum power, Pmax, and the speed at 

which maximum power occurs, fnPmax. If 

maximun power occurs at multiple 

speeds, take fnPmax as the lowest of these 

speeds. Divide every recorded power by 

Pmax and divide every recorded speed by 

fnPmax. The result is a normalized powerversus-speed map. Your measured Ttest

is the torque at which the sum of the 

squares of normalized speed and power 

is maximum. Note that that if multiple 

maximum values are found, Ttest should 

be taken as the highest torque of all 

points with the same maximum sum of 

squares. Determine Ttest as follows: 

TT f P test i nnormi

2

normi

2 = at the maximum of + Eq. 1065.610- ( ) 2

Where: 

Ttest = maximum test torque. 

Example: 

(fnnorm1 = 1.002, Pnorm1 = 0.978, T1 = 722.62 

N·m) 

(fnnorm2 = 1.004, Pnorm2 = 0.977, T2 = 720.44 

N·m) 

(fnnorm3 = 1.006, Pnorm3 = 0.974, T3 = 716.80 

N·m) 

(fnnorm12 + Pnorm12) = (1.0022 + 0.9782) = 1.960 

(fnnorm12 + Pnorm12) = (1.0042 + 0.9772) = 1.963 

(fnnorm12 + Pnorm12) = (1.0062 + 0.9742) = 1.961 

maximum = 1.963 at i = 2 

Ttest = 720.44 N·m 

(2) Transform normalized torques to 

reference torques according to 

paragraph (d) of this section by using 

the measured maximum test torque 

determined according to paragraph 

(b)(1) of this section—or use your 

declared maximum test torque, as 

allowed in § 1065.510. 

* * * * * 

■ 231. Section 1065.640 is amended by 

revising paragraph (a) to read as follows: 

§ 1065.640 Flow meter calibration 

calculations. 

* * * * * 

(a) Reference meter conversions. The 

calibration equations in this section use 

molar flow rate, n ̇ ref, as a reference 

quantity. If your reference meter outputs 

a flow rate in a different quantity, such 

as standard volume rate, V ̇ stdref, actual 

volume rate, V ̇ actref, or mass rate, m ̇ ref, 

convert your reference meter output to 

a molar flow rate using the following 

equations, noting that while values for 

volume rate, mass rate, pressure, 

temperature, and molar mass may 

change during an emission test, you 

should ensure that they are as constant 

as practical for each individual set point 

during a flow meter calibration: 

    n

V P

T R

V P

T R

m

M ref

stdref std

std

actref act

act

ref

mix

= ⋅

⋅ = ⋅⋅ =

Eq. 1065.640–1 

Where: 

n ̇ ref = reference molar flow rate. 

V ̇ stdref = reference volume flow rate, corrected 

to a standard pressure and a standard 

temperature. 

V ̇ actref = reference volume flow rate at the 

actual pressure and temperature of the 

flow rate. 

m ̇ ref = reference mass flow. 

Pstd = standard pressure. 

Pact = actual pressure of the flow rate. 

Tstd = standard temperature. 

Tact = actual temperature of the flow rate. 

R = molar gas constant. 

Mmix = molar mass of the flow rate. 

Example 1: 

V ̇ stdref = 1000.00 ft3/min = 0.471948 m3/s 

P = 29.9213 in Hg @ 32 °F = 101325 Pa 

T = 68.0 °F = 293.15 K 

R = 8.314472 J/(mol·K) 

nref = ⋅

⋅

0 471948 101325

293 15 8 314472

.

. .

n ̇ ref = 19.619 mol/s 

Example 2: 

m ̇ ref = 17.2683 kg/min = 287.805 g/s 

M ̇ mix = 28.7805 g/mol 

nref = 287 805

28 7805

.

.

n ̇ ref = 10.0000 mol/s 

* * * * * 

■ 232. Section 1065.645 is amended by 

revising paragraphs (a) and (b) to read 

as follows: 

§ 1065.645 Amount of water in an ideal 

gas. 

* * * * * 

(a) Vapor pressure of water. Calculate 

the vapor pressure of water for a given 

saturation temperature condition, Tsat, 

as follows, or use good engineering 

judgment to use a different relationship 

of the vapor pressure of water to a given 

saturation temperature condition: 

(1) For humidity measurements made 

at ambient temperatures from (0 to 100) 

°C, or for humidity measurements made 

over super-cooled water at ambient 

temperatures from (¥50 to 0) °C, use the 

following equation: 


mstockstill on PROD1PC66 with RULES2ER08OC08.098</GPH> ER08OC08.099</GPH> ER08OC08.100</MATH> ER08OC08.101</MATH> ER08OC08.102</MATH>
59332 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

log . . . log 10 2 10 10 79574 1 273 16 5 02800

2 p T

T H O

sat

sat ( ) = ⋅− 



 



 − ⋅ 73 16

1 50475 10 1 10 4 8 2969 273 16 1

. . .  .



 



 + ⋅ ⋅−





− −⋅ − 



 



 Tsat













+ ⋅⋅ −









 − ⋅ −

















0 42873 10 10 1 3 4 76955 1 273 16. . .

Tsat







− 0 2138602 . Eq. 1065.645-1

Where: 

pH20 = vapor pressure of water at saturation 

temperature condition, kPa. 

Tsat = saturation temperature of water at 

measured conditions, K. 

Example: 

Tsat = 9.5 °C 

Tdsat = 9.5 + 273.15 = 282.65 K 

log . .

. . log 10 2 10 10 79574 1 273 16282 65

5 02800 282p( ) H O = ⋅− 



 



 − ⋅ .

. . . .

65 .

273 16

1 50475 10 1 10 4 8 2969 282 65

273 16 1 



 



 + ⋅ ⋅− − −⋅ − 



 





− − 



 





















+ ⋅⋅ − 0 42873 10 10 1 3 4 76955 1 273 16

282 65 . . .

. 















+ 0 2138602 .

log10(pH20) = 0.074297 

pH20 = 100.074297 = 1.186581 kPa 

(2) For humidity measurements over 

ice at ambient temperatures from (¥100 

to 0) °C, use the following equation: 

log . . . log . 10 10 9 096853 273 16 1 3 566506 273p T sat

sat

( ) = ⋅− 



 



 − ⋅ 16 0 876812

273 16

1 0 2138602

T

T

sat

sat 



 



 + ⋅− 



 



 . − . . Eq. 1065.645-2

Example: 

Tice = ¥15.4 °C 

Tice = ¥15.4 + 273.15 = 257.75 K 

log . .

. . log 10 10 9 096853 273 16257 75

1 3 566506 2p( ) sat =− ⋅ − 



 



 − ⋅ 73 16

257 75

0 876812 1 257 75

273 16

0 2138602

.

.

. .

. .





 



 +

⋅ −





 



 −

log10(pH2O) =¥0.798207 

pH2O = 100.79821 = 0.159145 kPa 

(b) Dewpoint. If you measure 

humidity as a dewpoint, determine the 

amount of water in an ideal gas, xH2O, 

as follows: 

x

p

p H O

H O

abs

2

2 = Eq. 1065.645-3

Where: 

xH2O = amount of water in an ideal gas. 

pH2O = water vapor pressure at the measured 

dewpoint, Tsat = Tdew. 

pabs = wet static absolute pressure at the 

location of your dewpoint measurement. 

Example: 

pabs = 99.980 kPa 

Tsat = Tdew = 9.5 °C 

Using Eq. 1065.645–1, 

pH2O = 1.18489 kPa 

xH2O = 1.18489/99.980 

xH2O = 0.011851 mol/mol 

* * * * * 

■ 233. Section 1065.650 is amended by 

revising paragraphs (b)(3), (c)(2)(i), 

(d)(8), (e)(4), (f)(2), and (g) and adding 

paragraph (h) to read as follows: 

§ 1065.650 Emission calculations. 

* * * * * 

(b) * * * 

(3) For field testing, you may calculate 

the ratio of total mass to total work, 

where these individual values are 

determined as described in paragraph (f) 

of this section. You may also use this 

approach for laboratory testing, 

consistent with good engineering 

judgment. This is a special case in 

which you use a signal linearly 


mstockstill on PROD1PC66 with RULES2ER08OC08.000</MATH> ER08OC08.001</MATH> ER08OC08.002</MATH> ER08OC08.003</MATH> ER08OC08.004</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59333 

proportional to raw exhaust molar flow 

rate to determine a value proportional to 

total emissions. You then use the same 

linearly proportional signal to 

determine total work using a chemical 

balance of fuel, intake air, and exhaust 

as described in § 1065.655, plus 

information about your engine’s brakespecific fuel consumption. Under this 

method, flow meters need not meet 

accuracy specifications, but they must 

meet the applicable linearity and 

repeatability specifications in subpart D 

or subpart J of this part. The result is a 

brake-specific emission value calculated 

as follows: 

e =

m

W



Eq. 1065.650-3

Example: 

m ̃ = 805.5 g 

W ̃ = 52.102 kW·hr 

eCO = 805.5/52.102 

eCO = 2.520 g/(kW·hr) 

(c) * * * 

(2) * * * 

(i) Varying flow rate. If you 

continuously sample from a changing 

exhaust flow rate, time align and then 

multiply concentration measurements 

by the flow rate from which you 

extracted it. Use good engineering 

judgment to time align flow and 

concentration data to match 

transformation time, t50, to within ±1 s. 

We consider the following to be 

examples of changing flows that require 

a continuous multiplication of 

concentration times molar flow rate: 

Raw exhaust, exhaust diluted with a 

constant flow rate of dilution air, and 

CVS dilution with a CVS flowmeter that 

does not have an upstream heat 

exchanger or electronic flow control. 

This multiplication results in the flow 

rate of the emission itself. Integrate the 

emission flow rate over a test interval to 

determine the total emission. If the total 

emission is a molar quantity, convert 

this quantity to a mass by multiplying 

it by its molar mass, M. The result is the 

mass of the emission, m. Calculate m for 

continuous sampling with variable flow 

using the following equations: 

m M xn t i i

i

N

= ⋅ ⋅⋅

=

∑  ∆ Eq. 1065.650-4 1

Where: 

∆t f = 1/ Eq. 1065.650-5 record

Example: 

MNMHC = 13.875389 g/mol 

N = 1200 

xNMHC1 = 84.5 μmol/mol = 84.5 · 10¥6 mol/ 

mol 

xNMHC2 = 86.0 μmol/mol = 86.0 · 10¥6 mol/ 

mol 

n ̇ exh1 = 2.876 mol/s 

n ̇ exh2 = 2.224 mol/s 

frecord = 1 Hz 

Using Eq. 1065.650–5, 

Dt = 1/1 =1 s 

mNMHC = 13.875389 · (84.5 · 10¥6 · 2.876 + 

86.0 · 10¥6 · 2.224 + ... + xNMHC1200 · n ̇ exh) 

· 1 

mNMHC = 25.53 g 

* * * * * 

(d) * * * 

(8) You may use a trapezoidal 

integration method instead of the 

rectangular integration described in this 

paragraph (d). To do this, you must 

integrate the fraction of work between 

points where the torque is positive. You 

may assume that speed and torque are 

linear between data points. You may not 

set negative values to zero before 

running the integration. 

(e) * * * 

(4) The following example shows how 

to calculate mass of emissions using 

mean mass rate and mean power: 

M ̄ CO = 28.0101 g/mol 

x ̄ CO = 12.00 mmol/mol = 0.01200 mol/mol 

n

Ô = 1.530 mol/s 

f

 ̄

n = 3584.5 rev/min = 375.37 rad/s 

T ̄ = 121.50 N · m 

m

Ô = 28.0101 · 0.01200 · 1.530 

m

Ô = 0.514 g/s = 1850.4 g/hr 

P ̄ = 121.5 · 375.37 

P ̄ = 45607 W 

P ̄ = 45.607 kW 

eCO = 1850.4/45.61 

eCO = 40.57 g/(kW · hr) 

(f) * * * 

(2) Total work. To calculate a value 

proportional to total work over a test 

interval, integrate a value that is 

proportional to power. Use information 

about the brake-specific fuel 

consumption of your engine, efuel, to 

convert a signal proportional to fuel 

flow rate to a signal proportional to 

power. To determine a signal 

proportional to fuel flow rate, divide a 

signal that is proportional to the mass 

rate of carbon products by the fraction 

of carbon in your fuel, wc.. You may use 

a measured wc or you may use the 

default values for a given fuel as 

described in § 1065.655. Calculate the 

mass rate of carbon from the amount of 

carbon and water in the exhaust, which 

you determine with a chemical balance 

of fuel, intake air, and exhaust as 

described in § 1065.655. In the chemical 

balance, you must use concentrations 

from the flow that generated the signal 

proportional to molar flow rate, n

Õ, in 

paragraph (e)(1) of this section. 

Calculate a value proportional to total 

work as follows: 

W Pt i

i

N

= ⋅ =

∑ ∆ Eq. 1065.650-15 1

Where: 


mstockstill on PROD1PC66 with RULES2ER08OC08.005</MATH> ER08OC08.006</MATH> ER08OC08.007</MATH> ER08OC08.008</MATH>
59334 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 



P m

e i

i = fuel

fuel

Eq. 1065.650-16

* * * * * 

(g) Calculating cycle-weighted mean 

values. Unless the standard-setting part 

specifies otherwise, use the approach 

specified in this paragraph (g) to 

calculate cycle-weighted means of 

different test segments or modes. 

Weighting factors are generally intended 

to represent the ratio of time spent 

operating at each mode in a theoretical 

duty cycle. Use good engineering 

judgment to calculate the cycleweighted mean consistent with this 

intent. The following examples 

illustrate the two primary methods: 

(1) For discrete-mode testing, a cycleweighted mean may be calculated by 

dividing the sum of the weighted mass 

emission rates (weighting factor times 

mass emission rate in g/hr) by the sum 

of the weighted brake power (kW). You 

are not required to have identical 

sampling times for each mode with this 

approach. 

(2) For any testing where the sampling 

time for each mode is identical, a cycleweighted mean may be calculated by 

dividing the sum of the weighted mass 

emissions (weighting factor times total 

mass emission for the mode in g) by the 

sum of the weighted brake work 

(kW.hr). 

(h) Rounding. Round emission values 

only after all calculations are complete 

and the result is in g/(kW·hr) or units 

equivalent to the units of the standard, 

such as g/(hp·hr). See the definition of 

‘‘Round’’ in § 1065.1001. 

■ 234. Section 1065.655 is amended by 

revising paragraphs (c) and (d) and 

adding paragraph (e) to read as follows: 

§ 1065.655 Chemical balances of fuel, 

intake air, and exhaust. 

* * * * * 

(c) Chemical balance procedure. The 

calculations for a chemical balance 

involve a system of equations that 

require iteration. We recommend using 

a computer to solve this system of 

equations. You must guess the initial 

values of up to three quantities: The 

amount of water in the measured flow, 

xH2Oexh, fraction of dilution air in 

diluted exhaust, xdil/exh, and the amount 

of products on a C1 basis per dry mole 

of dry measured flow, xCcombdry. You 

may use time-weighted mean values of 

combustion air humidity and dilution 

air humidity in the chemical balance; as 

long as your combustion air and 

dilution air humidities remain within 

tolerances of ±0.0025 mol/mol of their 

respective mean values over the test 

interval. For each emission 

concentration, x, and amount of water, 

xH2Oexh, you must determine their 

completely dry concentrations, xdry and 

xH2Oexhdry. You must also use your fuel’s 

atomic hydrogen-to-carbon ratio, α, and 

oxygen-to-carbon ratio, β. You may 

measure α and β or you may use default 

values for a given fuel as described in 

§ 1065.655(d). Use the following steps to 

complete a chemical balance: 

(1) Convert your measured 

concentrations such as, xCO2meas, 

xNOmeas, and xH2Oint, to dry 

concentrations by dividing them by one 

minus the amount of water present 

during their respective measurements; 

for example: xH2OxCO2meas, xH2OxNOmeas, 

and xH2Oint. If the amount of water 

present during a ‘‘wet’’ measurement is 

the same as the unknown amount of 

water in the exhaust flow, xH2Oexh, 

iteratively solve for that value in the 

system of equations. If you measure 

only total NOX and not NO and NO2

separately, use good engineering 

judgment to estimate a split in your total 

NOX concentration between NO and 

NO2 for the chemical balances. For 

example, if you measure emissions from 

a stoichiometric spark-ignition engine, 

you may assume all NOX is NO. For a 

compression-ignition engine, you may 

assume that your molar concentration of 

NOX, xNOX, is 75% NO and 25% NO2. 

For NO2 storage aftertreatment systems, 

you may assume xNOX is 25% NO and 

75% NO2. Note that for calculating the 

mass of NOX emissions, you must use 

the molar mass of NO2 for the effective 

molar mass of all NOX species, 

regardless of the actual NO2 fraction of 

NOX. 

(2) Enter the equations in paragraph 

(c)(4) of this section into a computer 

program to iteratively solve for xH2Oexh, 

xCcombdry, and xdil/exh. Use good 

engineering judgment to guess initial 

values for xH2Oexh, xCcombdry, and xdil/exh. 

We recommend guessing an initial 

amount of water that is about twice the 

amount of water in your intake or 

dilution air. We recommend guessing an 

initial value of xCcombdry as the sum of 

your measured CO2, CO, and THC 

values. We also recommend guessing an 

initial xdil/exh between 0.75 and 0.95, 

such as 0.8. Iterate values in the system 

of equations until the most recently 

updated guesses are all within ±1% of 

their respective most recently calculated 

values. 

(3) Use the following symbols and 

subscripts in the equations for this 

paragraph (c): 

xdil/exh = Amount of dilution gas or excess air 

per mole of exhaust. 

xH2Oexh = Amount of water in exhaust per 

mole of exhaust. 

xCcombdry = Amount of carbon from fuel in the 

exhaust per mole of dry exhaust. 

xH2dry = Amount of H2 in exhaust per amount 

of dry exhaust. 

KH2Ogas = Water-gas reaction equilibrium 

coefficient. You may use 3.5 or calculate 

your own value using good engineering 

judgment. 

xH2Oexhdry = Amount of water in exhaust per 

dry mole of dry exhaust. 

xprod/intdry = Amount of dry stoichiometric 

products per dry mole of intake air. 

xdil/exhdry = Amount of dilution gas and/or 

excess air per mole of dry exhaust. 

xint/exhdry = Amount of intake air required to 

produce actual combustion products per 

mole of dry (raw or diluted) exhaust. 

xraw/exhdry = Amount of undiluted exhaust, 

without excess air, per mole of dry (raw 

or diluted) exhaust. 

xO2int = Amount of intake air O2 per mole of 

intake air. 

xCO2intdry = Amount of intake air CO2 per 

mole of dry intake air. You may use 

xCO2intdry = 375 μmol/mol, but we 

recommend measuring the actual 

concentration in the intake air. 

xH2Ointdry = Amount of intake air H2O per 

mole of dry intake air. 

xCO2int = Amount of intake air CO2 per mole 

of intake air. 

xCO2dil = Amount of dilution gas CO2 per 

mole of dilution gas. 

xCO2dildry = Amount of dilution gas CO2 per 

mole of dry dilution gas. If you use air 

as diluent, you may use xCO2dildry = 375 

μmol/mol, but we recommend measuring 

the actual concentration in the intake air. 

xH2Odildry = Amount of dilution gas H2O per 

mole of dry dilution gas. 

xH2Odil = Amount of dilution gas H2O per 

mole of dilution gas. 

x[emission]meas = Amount of measured emission 

in the sample at the respective gas 

analyzer. 

x[emission]dry = Amount of emission per dry 

mole of dry sample. 

xH2O[emission]meas = Amount of water in sample 

at emission-detection location. Measure 

or estimate these values according to 

§ 1065.145(d)(2). 

xH2Oint = Amount of water in the intake air, 

based on a humidity measurement of 

intake air. 

a = Atomic hydrogen-to-carbon ratio in fuel. 

b = Atomic oxygen-to-carbon ratio in fuel. 

(4) Use the following equations to 

iteratively solve for xdil/exh, xH2Oexh, and 


mstockstill on PROD1PC66 with RULES2ER08OC08.009</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59335 

x

x

x dil exh / = −1 raw/exhdry

H2Oexhdry 1+ Eq. 1065.655-1

x

x

x H Oexh

H Oexhdry

H Oexhdry

Eq 2

2

2 1

= +. 1065.655-2

x x xx xx x Ccombdry CO dry COdry THCdry CO dil dil exhdry CO = ++ − × − 2 22 / int int/ × x exhdry Eq. 1065.655-3

x

x x xx

K x H2dry

COdry H2Oexhdry H2Odil dil/exhdry

H2O CO

= ⋅ −⋅ ( )

⋅ -gas ( ) 2dry CO2dil dil/exhdry − ⋅ x x

Eq. 1065.655-4

x x x xx x H Oexhdry Ccombdry THCdry H Odil dil exhdry H O 2 22 2 = − ( ) +× +

α / int int/ × − x x exhdry H2dry Eq. 1065.655-5

x

x

x dil exhdry

dil exh

H Oexh

/

/ =

1− 2

Eq. 1065.655-6

x

x

xx x int/

int

exhdry

O

= Ccombdry THCdry COdr ⋅ − + 



 



( ) − − 1

2 2

2

2

α β ( ) y NOdry NO dry −− +



 



 x xx 2 2 H2dry Eq. 1065.655-7

x x x xx raw exhdry Ccombdry THCdry THCdry COdr / = + 



 



( ) − + +

1

2 2

2 α β ( ) y NO dry exhdry − +





 



 xx x 2 H2dry int/ + Eq. 1065.655-8

x

x

x O

CO

H O

2

2

2

0 209820

1 int

. = −

+

intdry

intdry

Eq. 1065.655-9

x

x

x CO

CO

H O

2

2

2 1 int = +

intdry

intdry

Eq. 1065.655-10

x

x

x H O

H O

H O

2

2

2 1 intdry = Eq. 1065.655-11 −

int

int

x

x

x CO dil

CO

H O

2

2

2 1 = +

dildry

dildry

Eq. 1065.655-12

x

x

x H Odildry

H Odil

H Odil

2

2

2 1 = − Eq. 1065.655-13


ER08OC08.010</MATH> ER08OC08.011</MATH> ER08OC08.012</MATH> ER08OC08.013</MATH> ER08OC08.014</MATH> ER08OC08.015</MATH> ER08OC08.016</MATH> ER08OC08.017</MATH> ER08OC08.018</MATH> ER08OC08.019</MATH> ER08OC08.020</MATH> ER08OC08.021</MATH> ER08OC08.022</MATH>mstockstill on PROD1PC66 with RULES2
59336 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

x

x

x COdry

COmeas

H OCOmeas

= 1− 2Eq. 1065.655-14

x

x

x CO dry

CO meas

H OCO meas

2

2

2 2 1 = − Eq. 1065.655-15

x

x

x NOdry

NOmeas

H ONOmeas

= 1− 2Eq. 1065.655-16

x

x

x NO dry

NO meas

H ONO meas

2

2

2 2 1 = − Eq. 1065.655-17

x

x

x THCdry

THCmeas

H OTHCmeas

= 1− 2Eq. 1065.655-18

(5) The following example is a 

solution for xdil/exh, xH2Oexh, and xCcombdry

using the equations in paragraph (c)(4) 

of this section: 

x mol/mol dil/exh = −

+

1 = 0 184

1 35 50

1000

0 822 .

. .

x mmol/mol H Oexh 2

35 50

1 35 50

1000

= 34 29

+

= .

. .

xCcombdry =+ + −×− 0 025 29 3

1000000

47 6

1000000

0 371

1000

0 852 0 . . .. . .369

1000

× = 0 172 0 0249 . . mol/mol

xH2dry = ⋅ −⋅ ( )

⋅ −⋅

29 3 0 036 0 012 0 852

3 5 25 2

1000

0 371

1000

0 85

.. . .

. . . . 2

8 5 



 





= . μmol/mol

xH O2

1 8

2

0 0247 47 6

1000000

0 012 0 852 0 017 exhdry = − 



 



 + ⋅ +⋅ . . . .. . 0 172 8 5

1000000 . 0 036 . − = . mol/mol

x mol/mol dil/exhdry = − = 0 822

1 0 036

0 852 .

. .

xint/exhdry = ⋅ − + 



 



 − 



1

2 0 206

1 8

2

0 050 2 0 0249 47 6

. 1000000

. . . .  



 − − −⋅ + 



 29 3 

1000000

50 4

1000000

2 12 1

1000000

8 5

1000000

. . ..



 



 





= 0 172 . mol/mol


ER08OC08.023</MATH> ER08OC08.024</MATH> ER08OC08.025</MATH> ER08OC08.026</MATH> ER08OC08.027</MATH> ER08OC08.028</MATH> ER08OC08.029</MATH> ER08OC08.030</MATH> ER08OC08.031</MATH> ER08OC08.032</MATH> ER08OC08.033</MATH> ER08OC08.034</MATH>mstockstill on PROD1PC66 with RULES2
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59337 

xraw/exhdry = + 



 



 − 



 



 + ⋅

1

2

1 8

2

0 050 0 0249 47 6

1000000

2 . 4 . . . 7 6

1000000

29 3

1000000

12 1

1000000

8 5

1000000

. . .. +−+ 



 



 



 



 +

=

0 172

0 184

.

. mol/mol

x mol/mol O2

0 209820 0 000375

1 17 22

1000

0 206 int

. .

. = . −

+

=

x mmol/mol CO2

0 000375 1000

1 17 22

1000

0 369 int

.

. = . ×

+

=

x mmol/mol H O2

16 93

1 16 93

1000

17 22 intdry =

−

= .

. .

x mmol/mol CO dil 2

0 375

1 12 01

1000

= 0 371

+

= .

. .

x mmol/mol H O2

11 87

1 11 87

1000

12 01 dildry =

−

= .

. .

x mmol/mol COdry =

−

= 29 0

1 8 601

1000

29 3 .

. .

x mmol/mol CO dry 2

24 98

1 8 601

1000

= 25 2

−

= .

. .

x mmol/mol NOdry =

−

= 50 0

1 8 601

1000

50 4 .

. .

x mmol/mol NO dry 2

12 0

1 8 601

1000

= 12 1

−

= .

. .

x mmol/mol THCdry =

−

= 46

1 33 98

1000

47 6 . .


ER08OC08.035</MATH> ER08OC08.036</MATH> ER08OC08.037</MATH> ER08OC08.038</MATH> ER08OC08.039</MATH> ER08OC08.040</MATH> ER08OC08.041</MATH> ER08OC08.042</MATH> ER08OC08.043</MATH> ER08OC08.044</MATH> ER08OC08.045</MATH>mstockstill on PROD1PC66 with RULES2
59338 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

a = 1.8 

b = 0.05 

(d) Carbon mass fraction. Determine 

carbon mass fraction of fuel, wc, using 

one of the following methods: 

(1) You may calculate wC using the 

following equation based on measured 

fuel properties: 

w

M

M M C

C

C H 1

= ⋅

⋅ +⋅ +⋅

1

α β Μ Ο

Eq. 1065.655-19

Where: 

wC, = carbon mass fraction of fuel 

a = atomic hydrogen-to-carbon ratio 

b = atomic oxygen-to-carbon ratio 

MC = molar mass of carbon 

MH = molar mass of hydrogen 

MO = molar mass of oxygen 

(2) You may use the default values in 

the following table to determine wC for 

a given fuel: 

TABLE 1 OF § 1065.655.—DEFAULT VALUES OF a b, AND wC, FOR VARIOUS FUELS

Fuel 

Atomic 

hydrogen and 

oxygen-to-carbon 

ratios 

CHaOb 

Carbon mass 

fraction, wC

g/g 

Gasoline ..................................................................................................................................................... CH1.85O0 0.866 

#2 Diesel .................................................................................................................................................... CH1.80O0 0.869 

#1 Diesel .................................................................................................................................................... CH1.93O0 0.861 

Liquified Petroleum Gas ............................................................................................................................ CH2.64O0 0.819 

Natural gas ................................................................................................................................................. CH3.78O0.016 0.747 

Ethanol ....................................................................................................................................................... CH3O0.5 0.521 

Methanol .................................................................................................................................................... CH4O1 0.375 

(e) Calculated raw exhaust molar flow 

rate from measured intake air molar 

flow rate or fuel mass flow rate. You 

may calculate the raw exhaust molar 

flow rate from which you sampled 

emissions, n ̇ exh, based on the measured 

intake air molar flow rate, n ̇ int, or the 

measured fuel mass flow rate, m ̇ fuel, and 

the values calculated using the chemical 

balance in paragraph (c) of this section. 

Note that the chemical balance must be 

based on raw exhaust gas 

concentrations. Solve for the chemical 

balance in paragraph (c) of this section 

at the same frequency that you update 

and record n ̇ int or m ̇ fuel. 

(1) Crankcase flow rate. If engines are 

not subject to crankcase controls under 

the standard-setting part, you may 

calculate raw exhaust flow based on n ̇ int

or m ̇ fuel using one of the following: 

(i) You may measure flow rate 

through the crankcase vent and subtract 

it from the calculated exhaust flow. 

(ii) You may estimate flow rate 

through the crankcase vent by 

engineering analysis as long as the 

uncertainty in your calculation does not 

adversely affect your ability to show 

that your engines comply with 

applicable emission standards. 

(iii) You may assume your crankcase 

vent flow rate is zero. 

(2) Intake air molar flow rate 

calculation. Based on n ̇ int, calculate n ̇ exh

as follows: 

  n

n

x x

x

exh

H Oexhdry

=

+ ( ) −

( ) +













int

1

1 2

int/exhdry raw/exhdry 



Eq. 1065.655-20

Where: 

n ̇ exh = raw exhaust molar flow rate from 

which you measured emissions. 

n ̇ int = intake air molar flow rate including 

humidity in intake air. 

Example: 

n ̇ int = 3.780 mol/s 

xint/exhdry = 0.69021 mol/mol 

xraw/exhdry = 1.10764 mol/mol 

xH20exhdry = 107.64 mmol/mol = 0.10764 mol/ 

mol 

nexh =

+ −

+





 





3 780

1 0 69021 1 10764

1 0 10764

.

(. . )

(. )

n ̇ exh = 6.066 mol/s (3) Fuel mass flow rate calculation. 

Based on mfuel, calculate n ̇ exh as follows: 


mstockstill on PROD1PC66 with RULES2ER08OC08.046</MATH> ER08OC08.047</MATH> ER08OC08.048</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59339 

  n

mw x

M x exh

fuel c H Oexhdry

c Ccombdry

= ⋅ ⋅+ ( )

⋅

1 2

Eq. 1065.655-21

Where: 

n ̇ exh = raw exhaust molar flow rate from 

which you measured emissions. 

m ̇ fuel = fuel flow rate including humidity in 

intake air. 

Example: 

m ̇ fuel = 7.559 g/s 

wC = 0.869 g/g 

MC = 12.0107 g/mol 

xCcombdry = 99.87 mmol/mol = 0.09987 mol/ 

mol 

xH20exhdry = 107.64 mmol/mol = 0.10764 mol/ 

mol 

nexh = ⋅ ⋅+

⋅

7 559 0 869 1 0 10764

12 0107 0 09987

. . (. )

. .

n ̇ exh = 6.066 mol/s 

■ 235. Section 1065.660 is amended by 

revising paragraphs (b)(2)(i) and (b)(3) to 

read as follows: 

§ 1065.660 THC and NMHC determination. 

* * * * * 

(b) * * * 

(2) * * * 

(i) Use the following equation for 

penetration fractions determined using 

an NMC configuration as outlined in 

§ 1065.365(d): 

x

x x RF

RFPF NMHC

THC THC cor THC NMC CH THC

C

= − ⋅

−

[] [ ] [] -FID -FID -FID 4

1 26 4 H NMC CH THC

Eq

-FID -FID

. 1065.660-2

[ ] [] ⋅ RF

Where: 

xNMHC = concentration of NMHC. 

xTHC[THC–FID]cor = concentration of THC, HC 

contamination and dry-to-wet corrected, 

as measured by the THC FID during 

sampling while bypassing the NMC. 

xTHC[NMC–FID] = concentration of THC, HC 

contamination (optional) and dry-to-wet 

corrected, as measured by the NMC FID 

during sampling through the NMC. 

RFCH4[THC–FID] = response factor of THC FID 

to CH4, according to § 1065.360(d). 

RFPFC2H6[NMC–FID] = nonmethane cutter 

combined ethane response factor and 

penetration fraction, according to 

§ 1065.365(d). 

Example: 

xTHC[THC–FID]cor = 150.3 μmol/mol 

xTHC[NMC–FID] = 20.5 μmol/mol 

RFPFC2H6[NMC–FID] = 0.019 

RFCH4[THC–FID] = 1.05 

xNMHC = − ⋅

− ⋅

150 3 20 5 1 05

1 0 019 1 05

. ..

. .

xNMHC = 131.4 μmol/mol 

* * * * * 

(3) For a gas chromatograph, calculate 

xNMHC using the THC analyzer’s 

response factor (RF) for CH4, from 

§ 1065.360, and the HC contamination 

and wet-to-dry corrected initial THC 

concentration xTHC[THC-FID]cor as 

determined in section (a) above as 

follows: 

x x RF x NMHC = −⋅ THC THC cor CH THC [] [] -FID -FID CH Eq. 1065.660-5 4 4

Where: 

xNMHC = concentration of NMHC. 

xTHC[THC-FID]cor = concentration of THC, HC 

contamination and dry-to-wet corrected, 

as measured by the THC FID. 

xCH4 = concentration of CH4, HC 

contamination (optional) and dry-to-wet 

corrected, as measured by the gas 

chromatograph FID. 

RFCH4[THC-FID] = response factor of THC-FID 

to CH4. 

Example: 

xTHC[THC-FID][cor = 145.6 μmol/mol 

RFCH4[THC-FID] = 0.970 

xCH4 = 18.9 μmol/mol 

xNMHC = 145.6¥0.970 · 18.9 

xNMHC = 127.3 μmol/mol 

■ 236. Section 1065.667 is revised to 

read as follows: 

§ 1065.667 Dilution air background 

emission correction. 

(a) To determine the mass of 

background emissions to subtract from a 

diluted exhaust sample, first determine 

the total flow of dilution air, ndil, over 

the test interval. This may be a 

measured quantity or a quantity 

calculated from the diluted exhaust flow 

and the flow-weighted mean fraction of 

dilution air in diluted exhaust, x ̄ dil/exh. 

Multiply the total flow of dilution air by 

the mean concentration of a background 

emission. This may be a time-weighted 

mean or a flow-weighted mean (e.g., a 

proportionally sampled background). 

The product of ndil and the mean 

concentration of a background emission 

is the total amount of a background 

emission. If this is a molar quantity, 

convert it to a mass by multiplying it by 

its molar mass, M. The result is the mass 

of the background emission, m. In the 

case of PM, where the mean PM 

concentration is already in units of mass 

per mole of sample, M ̄ PM, multiply it by 

the total amount of dilution air, and the 

result is the total background mass of 

PM, mPM. Subtract total background 

masses from total mass to correct for 

background emissions. 


mstockstill on PROD1PC66 with RULES2ER08OC08.049</MATH> ER08OC08.050</MATH> ER08OC08.051</MATH> ER08OC08.052</MATH> ER08OC08.053</MATH>
59340 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(b) You may determine the total flow 

of dilution air by a direct flow 

measurement. In this case, calculate the 

total mass of background as described in 

§ 1065.650(c), using the dilution air 

flow, ndil. Subtract the background mass 

from the total mass. Use the result in 

brake-specific emission calculations. 

(c) You may determine the total flow 

of dilution air from the total flow of 

diluted exhaust and a chemical balance 

of the fuel, intake air, and exhaust as 

described in § 1065.655. In this case, 

calculate the total mass of background 

as described in § 1065.650(c), using the 

total flow of diluted exhaust, ndexh, then 

multiply this result by the flowweighted mean fraction of dilution air 

in diluted exhaust, x ̄ dil/exh. Calculate 

x ̄ dil/exh using flow-weighted mean 

concentrations of emissions in the 

chemical balance, as described in 

§ 1065.655. You may assume that your 

engine operates stoichiometrically, even 

if it is a lean-burn engine, such as a 

compression-ignition engine. Note that 

for lean-burn engines this assumption 

could result in an error in emission 

calculations. This error could occur 

because the chemical balances in 

§ 1065.655 correct excess air passing 

through a lean-burn engine as if it was 

dilution air. If an emission 

concentration expected at the standard 

is about 100 times its dilution air 

background concentration, this error is 

negligible. However, if an emission 

concentration expected at the standard 

is similar to its background 

concentration, this error could be 

significant. If this error might affect your 

ability to show that your engines 

comply with applicable standards, we 

recommend that you remove 

background emissions from dilution air 

by HEPA filtration, chemical 

adsorption, or catalytic scrubbing. You 

might also consider using a partial-flow 

dilution technique such as a bag minidiluter, which uses purified air as the 

dilution air. 

(d) The following is an example of 

using the flow-weighted mean fraction 

of dilution air in diluted exhaust, x ̄ dil/exh, 

and the total mass of background 

emissions calculated using the total 

flow of diluted exhaust, ndexh, as 

described in § 1065.650(c): 

m xm bkgnd dil/exh bkgnddexh = ⋅ Eq. 1065.667-1

m =M x n bkgnddexh bkgnd dexh ⋅ ⋅ Eq. 1065.667-2

Example: 

MNOx = 46.0055 g/mol 

x ̄ bkgnd = 0.05 μmol/mol = 0.05·10¥6 mol/mol 

ndexh = 23280.5 mol 

x ̄ dil/exh = 0.843 

mbkgndNOxdexh = 46.0055·0.05·10¥6 · 23280.5 

mbkgndNOxdexh = 0.0536 g 

mbkgndNOx = 0.843·0.0536 

mbkgndNOx = 0.0452 g 

(e) The following is an example of 

using the fraction of dilution air in 

diluted exhaust, xdil/exh, and the mass 

rate of background emissions calculated 

using the flow rate of diluted exhaust, 

n ̇ dexh, as described in § 1065.650(c): 

m xm   bkgnd dil/exh bkgnddexh = ⋅ Eq. 1065.667-3

m =M x n   bkgnddexh bkgnd dexh ⋅ ⋅ Eq. 1065.667-4

Example: 

MNOX = 46.0055 g/mol 

xbkgnd = 0.05 μmol/mol = 0.05 · 10¥6 mol/mol 

n ̇ dexh = 23280.5 mol/s 

xdil/exh = 0.843 

m ̇ bkgndNOxdexh = 46.0055 · 0.05 · 10¥6 · 23280.5 

m ̇ bkgndNOxdexh = 0.0536 g/hr 

m ̇ bkgndNOx = 0.843 · 0.0536 

m ̇ bkgndNOx = 0.0452 g/hr 

■ 237. Section 1065.675 is revised to 

read as follows: 

§ 1065.675 CLD quench verification 

calculations. 

Perform CLD quench-check 

calculations as follows: 

(a) Perform a CLD analyzer quench 

verification test as described in 

§ 1065.370. 

(b) Estimate the maximum expected 

mole fraction of water during emission 

testing, xH2Oexp. Make this estimate 

where the humidified NO span gas was 

introduced in § 1065.370(e)(6). When 

estimating the maximum expected mole 

fraction of water, consider the 

maximum expected water content in 

combustion air, fuel combustion 

products, and dilution air (if 

applicable). If you introduced the 

humidified NO span gas into the sample 

system upstream of a sample dryer 

during the verification test, you need 

not estimate the maximum expected 

mole fraction of water and you must set 

xH2Oexp equal to xH2Omeas. 

(c) Estimate the maximum expected 

CO2 concentration during emission 

testing, xCO2exp. Make this estimate at 

the sample system location where the 

blended NO and CO2 span gases are 

introduced according to 

§ 1065.370(d)(10). When estimating the 

maximum expected CO2 concentration, 

consider the maximum expected CO2

content in fuel combustion products 

and dilution air. 

(d) Calculate quench as follows: 

quench

x

x

x

x

x = − −

























⋅

NOwet

H Omeas

NOdry

H O

H Omea

1 1 2 2

2

exp

s

NOmeas

NOact

CO

CO act

+ − 



 



 ⋅

























⋅ x

x

x

x

1 100 2

2

exp % Eq. 1065.675-1


mstockstill on PROD1PC66 with RULES2ER08OC08.054</MATH> ER08OC08.055</MATH> ER08OC08.056</MATH> ER08OC08.057</MATH> ER08OC08.058</MATH>
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59341 

Where: 

quench = amount of CLD quench. 

xNOdry = concentration of NO upstream of a 

bubbler, according to § 1065.370(e)(4). 

xNOwet = measured concentration of NO 

downstream of a bubbler, according to 

§ 1065.370(e)(9). 

xH2Oexp = maximum expected mole fraction of 

water during emission testing, according 

to paragraph (b) of this section. 

xH2Omeas = measured mole fraction of water 

during the quench verification, 

according to § 1065.370(e)(7). 

xNOmeas = measured concentration of NO 

when NO span gas is blended with CO2

span gas, according to § 1065.370(d)(10). 

xNOact = actual concentration of NO when NO 

span gas is blended with CO2 span gas, 

according to § 1065.370(d)(11) and 

calculated according to Equation 

1065.675–2. 

xCO2exp = maximum expected concentration 

of CO2 during emission testing, 

according to paragraph (c) of this section. 

xCO2act = actual concentration of CO2 when 

NO span gas is blended with CO2 span 

gas, according to § 1065.370(d)(9). 

x

x

x

x NOact

CO2act

CO2span

= − NOspan















 1 1065 675 2 ⋅ − Eq. .

Where: 

xNOspan = the NO span gas concentration 

input to the gas divider, according to 

§ 1065.370(d)(5). 

xCO2span = the CO2 span gas concentration 

input to the gas divider, according to 

§ 1065.370(d)(4). 

Example: 

xNOdry = 1800.0 μmol/mol 

xNOwet = 1729.6 μmol/mol 

xH2Oexp = 0.030 mol/mol 

xH2Omeas = 0.030 mol/mol 

xNOmeas = 1495.2 μmol/mol 

xNOspan = 3001.6 μmol/mol 

xCO2exp = 3.2% 

xCO2span = 6.00% 

xCO2act = 2.98% 

x

quench

NOact = 1 2.98

6.00

− 



 



 ⋅ =

=

3001 6 1510 8

1729 6

. ./

.

μmol mol

1 0 030

1800 0

1 0 030

0 030

1495 2

1510 8

1 − −

























⋅+ − 



 . 

.

.

.

.

. 

 ⋅

























⋅ 3 2

2 98

100 .

. %

quench = (¥0.00939–0.01109) · 100% = 

¥2.0048% = ¥2% 

Subpart H—[Amended] 

■ 238. Section 1065.701 is amended by 

redesignating paragraph (e) as paragraph 

(f) and adding a new paragraph (e) to 

read as follows: 

§ 1065.701 General requirements for test 

fuels. 

* * * * * 

(e) Two-stroke fuel/oil mixing. For 

two-stroke engines, use a fuel/oil 

mixture meeting the manufacturer’s 

specifications. 

* * * * * 

■ 239. Section 1065.703 is amended by 

revising Table 1 to read as follows: 

§ 1065.703 Distillate diesel fuel. 

* * * * * 

TABLE 1 OF § 1065.703—TEST FUEL SPECIFICATIONS FOR DISTILLATE DIESEL FUEL

Item Units Ultra low sulfur Low sulfur High sulfur Reference procedure1

Cetane Number ..................................... — ............... 40–50 40–50 40–50 ASTM D613–05 

Distillation range: °C .............. ...................... ...................... ......................

Initial boiling point ........................... ................... 171–204 171–204 171–204 ASTM D86–07a. 

10 pct. point .................................... ................... 204–238 204–238 204–238 

50 pct. point .................................... ................... 243–282 243–282 243–282 

90 pct. point .................................... ................... 293–332 293–332 293–332 

Endpoint .......................................... ................... 321–366 321–366 321–366 

Gravity .................................................... °API ........... 32–37 32–37 32–37 ASTM D4052–96e01. 

Total sulfur, ultra low sulfur ................... mg/kg ......... 7–15 ...................... ...................... See 40 CFR 80.580. 

Total sulfur, low and high sulfur ............ mg/kg ......... ...................... 300–500 2000–4000 ASTM D2622–07 or alternates as allowed under 40 CFR 80.580. 

Aromatics, min. (Remainder shall be 

paraffins, naphthalenes, and olefins).

g/kg ........... 100 100 100 ASTM D5186–03. 

Flashpoint, min. ..................................... °C .............. 54 54 54 ASTM D93–07. 

Kinematic Viscosity ................................ cSt ............. 2.0–3.2 2.0–3.2 2.0–3.2 ASTM D445–06 

1ASTM procedures are incorporated by reference in § 1065.1010. See § 1065.701(d) for other allowed procedures. 


mstockstill on PROD1PC66 with RULES2ER08OC08.059</MATH> ER08OC08.060</MATH>
59342 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

Subpart J—[Amended] 

■ 240. Section 1065.915 is amended by 

revising paragraph (a) to read as follows: 

§ 1065.915 PEMS instruments. 

(a) Instrument specifications. We 

recommend that you use PEMS that 

meet the specifications of subpart C of 

this part. For unrestricted use of PEMS 

in a laboratory or similar environment, 

use a PEMS that meets the same 

specifications as each lab instrument it 

replaces. For field testing or for testing 

with PEMS in a laboratory or similar 

environment, under the provisions of 

§ 1065.905(b), the specifications in the 

following table apply instead of the 

specifications in Table 1 of § 1065.205. 

TABLE 1 OF § 1065.915—RECOMMENDED MINIMUM PEMS MEASUREMENT INSTRUMENT PERFORMANCE

Measurement 

Measured 

quantity 

symbol 

Rise time, 

t10¥90, and 

Fall time, 

t90¥10

Recording 

update 

frequency 

Accuracy 1 Repeatability 1 Noise 1

Engine speed transducer ................. fn ................... 1 s ................ 1 Hz means 5.0 % of pt. or 1.0 

% of max.

2.0 % of pt. or 1.0 

% of max.

0.5 % of max. 

Engine torque estimator, BSFC 

(This is a signal from an engine’s 

ECM).

T or BSFC .... 1 s ................ 1 Hz means 8.0 % of pt. or 5 

% of max.

2.0 % of pt. or 1.0 

% of max.

1.0 % of max. 

General pressure transducer (not a 

part of another instrument).

p ................... 5 s ................ 1 Hz ............. 5.0 % of pt. or 5.0 

% of max.

2.0 % of pt. or 0.5 

% of max.

1.0 % of max. 

Atmospheric pressure meter ............ patmos ............ 50 s .............. 0.1 Hz .......... 250 Pa ................ 200 Pa ................ 100 Pa. 

General temperature sensor (not a 

part of another instrument).

T ................... 5 s ................ 1 Hz ............. 1.0 % of pt. K or 

5 K.

0.5 % of pt. K or 

2 K.

0.5 % of max 

0.5 K. 

General dewpoint sensor ................. Tdew .............. 50 s .............. 0.1 Hz .......... 3 K ...................... 1 K ...................... 1 K. 

Exhaust flow meter ........................... n ̇ ................... 1 s ................ 1 Hz means 5.0 % of pt. or 3.0 

% of max.

2.0 % of pt .......... 2.0 % of max. 

Dilution air, inlet air, exhaust, and 

sample flow meters.

n ̇ ................... 1 s ................ 1 Hz means 2.5 % of pt. or 1.5 

% of max.

1.25 % of pt. or 

0.75 % of max.

1.0 % of max. 

Continuous gas analyzer .................. x ................... 5 s ................ 1 Hz ............. 4.0 % of pt. or 4.0 

% of meas.

2.0 % of pt. or 2.0 

% of meas.

1.0 % of max. 

Gravimetric PM balance ................... mPM .............. N/A ............... N/A ............... See § 1065.790 ... 0.5 μg .................. N/A. 

Inertial PM balance .......................... mPM .............. 5 s ................ 1 Hz ............. 4.0 % of pt. or 4.0 

% of meas.

2.0 % of pt. or 2.0 

% of meas.

1.0 % of max. 

1Accuracy, repeatability, and noise are all determined with the same collected data, as described in § 1065.305, and based on absolute values. ‘‘pt.’’ refers to the overall flow-weighted mean value expected at the standard; ‘‘max.’’ refers to the peak value expected at the standard over 

any test interval, not the maximum of the instrument’s range; ‘‘meas’’ refers to the actual flow-weighted mean measured over any test interval. 

* * * * * 

■ 241. Section 1065.925 is amended by 

revising paragraph (h)(4) to read as 

follows: 

§ 1065.925 PEMS preparation for field 

testing. 

* * * * * 

(h) * * * 

(4) Overflow zero or ambient air at the 

HC probe inlet or into a tee near the 

probe outlet. 

* * * * * 

Subpart K—[Amended] 

■ 242. Section 1065.1001 is amended by 

adding definitions for ‘‘Calibration gas’’, 

‘‘Span gas’’, ‘‘Transformation time, t50’’, 

‘‘t0¥50’’, and ‘‘t100¥50’’ in alphabetical 

order to read as follows: 

§ 1065.1001 Definitions. 

* * * * * 

Calibration gas means a purified gas 

mixture used to calibrate gas analyzers. 

Calibration gases must meet the 

specifications of § 1065.750. Note that 

calibration gases and span gases are 

qualitatively the same, but differ in 

terms of their primary function. Various 

performance verification checks for gas 

analyzers and sample handling 

components might refer to either 

calibration gases or span gases. 

* * * * * 

Span gas means a purified gas 

mixture used to span gas analyzers. 

Span gases must meet the specifications 

of § 1065.750. Note that calibration 

gases and span gases are qualitatively 

the same, but differ in terms of their 

primary function. Various performance 

verification checks for gas analyzers and 

sample handling components might 

refer to either calibration gases or span 

gases. 

* * * * * 

Transformation time, t50, means the 

overall system response time to any step 

change in input, generally the average of 

the time to reach 50% response to a step 

increase, t0¥50, or to a step decrease, 

t100¥50. 

t0¥50 means the time interval of a 

measurement system’s response after 

any step increase to the input between 

the following points: 

(1) The point at which the step change 

is initiated at the sample probe. 

(2) The point at which the response 

has risen 50% of the total amount it will 

rise in response to the step change. 

t100¥50 means the time interval of a 

measurement system’s response after 

any step decrease to the input between 

the following points: 

(1) The point at which the step change 

is initiated at the sample probe. 

(2) The point at which the response 

has fallen 50% of the total amount it 

will fall in response to the step change. 

* * * * * 

■ 243. Section 1065.1005 is amended by 

revising paragraph (a) to read as follows: 

§ 1065.1005 Symbols, abbreviations, 

acronyms, and units of measure. 

* * * * * 

(a) Symbols for quantities. This part 

uses the following symbols and units of 

measure for various quantities: 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59343 

Symbol Quantity Unit Unit symbol Base SI units 

% ........... percent ............................................. 0.01 .................................................. % ........................ 10¥2

a ............ atomic hydrogen to carbon ratio ..... mole per mole ................................. mol/mol ............... 1 

A ............ area ................................................. square meter ................................... m2 ....................... m2

A0 .......... intercept of least squares regression.

A1 .......... slope of least squares regression.

β ............ ratio of diameters ............................ meter per meter ............................... m/m ..................... 1 

β ............ atomic oxygen to carbon ratio ......... mole per mole ................................. mol/mol ............... 1 

C# .......... number of carbon atoms in a molecule.

d ............ Diameter .......................................... meter ............................................... m ......................... m 

DR ......... dilution ratio ..................................... mole per mol ................................... mol/mol ............... 1 

e ............ error between a quantity and its reference.

e ............ brake-specific basis ......................... gram per kilowatt hour .................... g/(kW.h) .............. g.3.6¥1.106.m¥2.kgs2

F ............ F-test statistic.

f ............. frequency ......................................... hertz ................................................. Hz ....................... s¥1

fn ............ rotational frequency (shaft) ............. revolutions per minute ..................... rev/min ................ 2.pi.60¥1.s¥1

g ............. ratio of specific heats ...................... (joule per kilogram kelvin) per (joule 

per kilogram kelvin).

(J/(kg.K))/(J/ 

(kg.K)).

1 

K ............ correction factor ............................... .......................................................... ............................. 1 

l ............. length ............................................... meter ............................................... m ......................... m 

μ ............ viscosity, dynamic ........................... pascal second ................................. Pa’s ..................... m¥1.kg.s¥1

M ........... molar mass1 .................................... gram per mole ................................. g/mol ................... 10¥3.kg.mol¥1

m ........... mass ................................................ kilogram ........................................... kg ........................ kg 

m ̇ ........... mass rate ......................................... kilogram per second ........................ kg/s ..................... kg.s¥1

v ............ viscosity, kinematic .......................... meter squared per second .............. m2/s .................... m2.s¥1

N ........... total number in series.

n ............ amount of substance ....................... mole ................................................. mol ...................... mol 

n ̇ ............ amount of substance rate ............... mole per second .............................. mol/s ................... mol.s¥1

P ............ power ............................................... kilowatt ............................................. kW ...................... 103.m2.kg.s¥3

PF ......... penetration fraction.

p ............ pressure ........................................... pascal .............................................. Pa ....................... m¥1.kg.s¥2

r ............ mass density ................................... kilogram per cubic meter ................. kg/m3 .................. kg.m¥3

r ............. ratio of pressures ............................ pascal per pascal ............................ Pa/Pa .................. 1 

R 2 ......... coefficient of determination.

Ra ......... average surface roughness ............. micrometer ....................................... μm ...................... m¥6

Re# ........ Reynolds number.

RF ......... response factor.

RH % .... relative humidity .............................. 0.01 .................................................. % ........................ 10¥2

s ............ non-biased standard deviation.

S ............ Sutherland constant ........................ kelvin ............................................... K ......................... K 

SEE ....... standard estimate of error.

T ............ absolute temperature ...................... kelvin ............................................... K ......................... K 

T ............ Celsius temperature ........................ degree Celsius ................................ °C ....................... K–273.15 

T ............ torque (moment of force) ................ newton meter ................................... N.m ..................... m2.kg.s¥2

t ............. time .................................................. second ............................................. s .......................... s 

∆ t .......... time interval, period, 1/frequency .... second ............................................. s .......................... s

V ............ volume ............................................. cubic meter ...................................... m3 ....................... m3

V ̇ ............ volume rate ...................................... cubic meter per second ................... m3/s .................... m3.s¥1

W ........... work ................................................. kilowatt hour .................................... kW.h ................... 3.6.10¥6.m2.kg.s¥2

wc .......... carbon mass fraction ....................... gram per gram ................................. g/g ....................... 1 

x ............ amount of substance mole fraction 

2.

mole per mole ................................. mol/mol ............... 1 

X ̄ ............ flow-weighted mean concentration .. mole per mole ................................. mol/mol ............... 1 

y ............ generic variable.

1See paragraph (f)(2) of this section for the values to use for molar masses. Note that in the cases of NOX and HC, the regulations specify effective molar masses based on assumed speciation rather than actual speciation. 2 Note that mole fractions for THC, THCE, NMHC, NMHCE, and NOTHC are expressed on a C1 equivalent basis. 

* * * * * 

■ 244. Section 1065.1010 is amended by 

revising paragraph (d) to read as 

follows: 

§ 1065.1010 Reference materials. 

* * * * * 

(d) SAE material. Table 4 of this 

section 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 or http://www.sae.org. Table 4 

follows: 

mstockstill on PROD1PC66 with RULES2

59344 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

TABLE 4 OF § 1065.1010—SAE MATERIAL

Document number and name Part 1065 

reference 

‘‘Optimization of Flame Ionization Detector for Determination of Hydrocarbon in Diluted Automotive Exhausts,’’ Reschke Glen 

D., SAE 770141 ............................................................................................................................................................................... 1065.360 

* * * * * 

■ 245. Part 1068 is revised to read as 

follows: 

PART 1068—GENERAL COMPLIANCE 

PROVISIONS FOR NONROAD 

PROGRAMS 

Subpart A—Applicability and Miscellaneous 

Provisions 

Sec. 

1068.1 Does this part apply to me? 

1068.2 How does this part apply for engines 

and how does it apply for equipment? 

1068.5 How must manufacturers apply 

good engineering judgment? 

1068.10 What provisions apply to 

confidential information? 

1068.15 What general provisions apply for 

EPA decision-making? 

1068.20 May EPA enter my facilities for 

inspections? 

1068.25 What information must I give to 

EPA? 

1068.27 May EPA conduct testing with my 

production engines/equipment? 

1068.30 What definitions apply to this part? 

1068.31 What provisions apply to nonroad 

or stationary engines that change their 

status? 

1068.35 What symbols, acronyms, and 

abbreviations does this part use? 

1068.40 What special provisions apply for 

implementing technical amendments? 

1068.45 General labeling provisions. 

1068.95 What materials does this part 

reference? 

Subpart B—Prohibited Actions and Related 

Requirements 

1068.101 What general actions does this 

regulation prohibit? 

1068.103 What are the provisions related to 

the duration and applicability of 

certificates of conformity? 

1068.105 What other provisions apply to 

me specifically if I manufacture 

equipment needing certified engines? 

1068.110 What other provisions apply to 

engines/equipment 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/equipment from the prohibited 

acts? 

1068.210 What are the provisions for 

exempting test engines/equipment? 

1068.215 What are the provisions for 

exempting manufacturer-owned engines/ 

equipment? 

1068.220 What are the provisions for 

exempting display engines/equipment? 

1068.225 What are the provisions for 

exempting engines/equipment for 

national security? 

1068.230 What are the provisions for 

exempting engines/equipment for 

export? 

1068.235 What are the provisions for 

exempting engines/equipment 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 businesses under hardship? 

1068.255 What are the provisions for 

exempting engines and fuel-system 

components for hardship for equipment 

manufacturers and secondary engine 

manufacturers? 

1068.260 What general provisions apply for 

selling or shipping engines that are not 

yet in their certified configuration? 

1068.261 What provisions apply for selling 

or shipping certified engines that are not 

yet in the certified configuration? 

1068.262 What are the provisions for 

temporarily exempting engines for 

shipment to secondary engine 

manufacturers? 

1068.265 What provisions apply to engines/ 

equipment that are conditionally 

exempted from certification? 

Subpart D—Imports 1068.301 What general 

provisions apply? 

1068.305 How do I get an exemption or 

exclusion for imported engines/ 

equipment? 

1068.310 What are the exclusions for 

imported engines/equipment? 

1068.315 What are the permanent 

exemptions for imported engines/ 

equipment? 

1068.325 What are the temporary 

exemptions for imported engines/ 

equipment? 

1068.335 What are the penalties for 

violations? 

1068.360 What restrictions apply to 

assigning a model year to imported 

engines and equipment? 

Subpart E—Selective Enforcement Auditing 

1068.401 What is a selective enforcement 

audit? 

1068.405 What is in a test order? 

1068.410 How must I select and prepare my 

engines/equipment? 

1068.415 How do I test my engines/ 

equipment? 

1068.420 How do I know when my engine 

family fails an SEA? 

1068.425 What happens if one of my 

production-line engines/equipment 

exceeds the emission standards? 

1068.430 What happens if a family fails an 

SEA? 

1068.435 May I sell engines/equipment 

from a 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/equipment 

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/Equipment 

1068.501 How do I report emission-related 

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/equipment? 

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? 

Subpart G—Hearings 

1068.601 What are the procedures for 

hearings? 

Appendix I to Part 1068—EmissionRelated Components 

Appendix II to Part 1068—EmissionRelated Parameters and Specifications 

Appendix III to Part 1068—HighAltitude Counties 

Authority: 42 U.S.C. 7401–7671q. 

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 and to equipment 

using the following engines (including 

owners, operators, parts manufacturers, 

and persons performing maintenance). 

(1) Locomotives we regulate under 40 

CFR part 1033. 

(2) Land-based nonroad compressionignition engines we regulate under 40 

CFR part 1039. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59345 

(3) Stationary compression-ignition 

engines certified using the provisions of 

40 CFR part 1039, as indicated in 40 

CFR part 60, subpart IIII. 

(4) Marine diesel engines we regulate 

under 40 CFR part 1042. 

(5) Marine spark-ignition engines we 

regulate under 40 CFR part 1045. 

(6) Large nonroad spark-ignition 

engines we regulate under 40 CFR part 

1048. 

(7) Stationary spark-ignition engines 

certified using the provisions of 40 CFR 

parts 1048 or 1054, as indicated in 40 

CFR part 60, subpart JJJJ. 

(8) Recreational engines and vehicles 

we regulate under 40 CFR part 1051 

(such as snowmobiles and off-highway 

motorcycles). 

(9) Small nonroad spark-ignition 

engines we regulate under 40 CFR part 

1054. 

(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) Land-based nonroad diesel engines 

we regulate under 40 CFR part 89. 

(5) Small nonroad spark-ignition 

engines we regulate under 40 CFR part 

90. 

(6) Marine spark-ignition engines we 

regulate under 40 CFR part 91. 

(7) Locomotive engines we regulate 

under 40 CFR part 92. 

(8) Marine diesel engines we regulate 

under 40 CFR parts 89 or 94. 

(c) Paragraph (a) of this section 

identifies the parts of the CFR that 

define emission standards and other 

requirements for particular types of 

engines and equipment. This part 1068 

refers to each of these other parts 

generically as the ‘‘standard-setting 

part.’’ For example, 40 CFR part 1051 is 

always the standard-setting part for 

snowmobiles. Follow the provisions of 

the standard-setting part if they are 

different than any of the provisions in 

this part. 

(d)(1) The provisions of §§ 1068.30, 

1068.310, and 1068.320 apply for 

stationary spark-ignition engines built 

on or after January 1, 2004, and for 

stationary compression-ignition engines 

built on or after January 1, 2006. 

(2) The provisions of §§ 1068.30 and 

1068.235 apply for the types of engines/ 

equipment listed in paragraph (a) of this 

section beginning January 1, 2004, if 

they are used solely for competition. 

§ 1068.2 How does this part apply for 

engines and how does it apply for 

equipment? 

(a) See the standard-setting part to 

determine if engine-based and/or 

equipment-based standards apply. 

(Note: Some equipment is subject to 

engine-based standards for exhaust 

emission and equipment-based 

standards for evaporative emissions.) 

(b) The provisions of this part apply 

differently depending on whether the 

engine or equipment is required to be 

certified. 

(1) Subpart A and subpart B of this 

part apply to engines and equipment, 

without regard to which is subject to 

certification requirements in the 

standard-setting part. 

(2) Subparts C, D, and E of this part 

apply to the engines or to the 

equipment, whichever is subject to 

certification requirements in the 

standard-setting part. 

(3) Subpart F of this part generally 

applies to the engines or to the 

equipment, whichever is subject to 

standards under the standard-setting 

part. However, since subpart F of this 

part addresses in-use engines and 

equipment (in which the engine is 

installed in the equipment), the 

requirements do not always distinguish 

between engines and equipment. 

(c) For issues related to testing, read 

the term ‘‘engines/equipment’’ to mean 

engines for engines subject to enginebased testing and equipment for 

equipment subject to equipment-based 

testing; otherwise, read the term 

‘‘engines/equipment’’ to mean engines 

for sources subject to engine-based 

standards and equipment for sources 

subject to equipment-based standards. 

(d) When we use the term engines 

(rather than engines/equipment), read it 

to mean engines without regard to 

whether the source is subject to enginebased standards or testing. When we use 

the term equipment (rather than 

engines/equipment), read it to mean 

equipment without regard to whether 

the source is subject to equipment-based 

standards or testing. (Note: The 

definition of ‘‘equipment’’ in § 1068.30 

includes the engine.) 

(e) The terminology convention 

described in this section is not intended 

to limit our authority or your obligations 

under the Clean Air Act. 

§ 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 certification, production-line, 

and in-use engines/equipment 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 

(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 

Compliance Officer as described in 

subpart G 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 What provisions apply to 

confidential information? 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. 

(b) We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. This applies 

both to any information you send us and 

to any information we collect from 

inspections, audits, or other site visits. 

mstockstill on PROD1PC66 with RULES2

59346 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(c) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(d) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in 40 CFR 

2.204. 

§ 1068.15 What general provisions apply 

for EPA decision-making? 

(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 Delegations 

Manual from the Designated 

Compliance 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 testing, 

manufacturing processes, storage 

facilities (including port facilities for 

imported engines and equipment or 

other relevant facilities), or records, as 

authorized by the Clean Air 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 or equipment manufacturing, 

assembly, storage, or other procedures, 

and any facilities where you do them. 

(2) Inspect and monitor any aspect of 

engine or equipment test procedures or 

test-related activities, including test 

engine/equipment 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 

or piece of equipment. 

(4) Inspect and photograph any part or 

aspect of engines or equipment and 

components you use for assembly. 

(e) You must give us reasonable help 

without charge during an inspection 

authorized by the Clean Air 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 Clean Air 

Act. This includes the following things: 

(a) You must provide the information 

we require in this chapter. We may 

require an authorized representative of 

your company to approve and sign any 

submission of information to us, and to 

certify that the information is accurate 

and complete. 

(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 Clean Air Act (42 U.S.C. 

7542). This also applies to engines/ 

equipment we exempt from emission 

standards or prohibited acts. Unless we 

specify otherwise, you must keep 

required records for eight years. 

§ 1068.27 May EPA conduct testing with 

my production engines/equipment? 

If we request it, you must make a 

reasonable number of production-line 

engines or pieces of production-line 

equipment available for a reasonable 

time so we can test or inspect them for 

compliance with the requirements of 

this chapter. 

§ 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 

Clean Air Act gives to them. The 

definitions follow: 

Aftertreatment means relating to a 

catalytic converter, particulate filter, or 

any other system, component, or 

technology mounted downstream of the 

exhaust valve (or exhaust port) whose 

design function is to reduce emissions 

in the engine exhaust before it is 

exhausted to the environment. Exhaustgas recirculation (EGR) is not 

aftertreatment. 

Aircraft means any vehicle capable of 

sustained air travel above treetop 

heights. 

Certificate holder means a 

manufacturer (including importers) with 

a currently valid certificate of 

conformity for at least one family in a 

given model year. 

Clean Air Act means the Clean Air 

Act, as amended, 42 U.S.C. 7401-7671q. 

Date of manufacture means one of the 

following: 

(1) For engines, the date on which the 

crankshaft is installed in an engine 

block, with the following exceptions: 

(i) For engines produced by secondary 

engine manufacturers under § 1068.262, 

date of manufacture means the date the 

engine is received from the original 

engine manufacturer. You may assign an 

earlier date up to 30 days before you 

received the engine, but not before the 

crankshaft was installed. You may not 

assign an earlier date if you cannot 

demonstrate the date the crankshaft was 

installed. 

(ii) Manufacturers may assign a date 

of manufacture at a point in the 

assembly process later than the date 

otherwise specified under this 

definition. For example, a manufacturer 

may use the build date printed on the 

label or stamped on the engine as the 

date of manufacture. 

(2) For equipment, the date on which 

the engine is installed, unless otherwise 

specified in the standard-setting part. 

Manufacturers may alternatively assign 

a date of manufacture later in the 

assembly process. 

Days means calendar days, including 

weekends and holidays. 

Defeat device has the meaning given 

in the standard-setting part. 

Designated Compliance Officer means 

the Manager, Heavy-Duty and Nonroad 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59347 

Engine Group (6405-J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., Washington, DC 

20460. 

Designated Enforcement Officer 

means the Director, Air Enforcement 

Division (2242A), U.S. Environmental 

Protection Agency, 1200 Pennsylvania 

Ave., NW.,Washington, DC 20460. 

Engine means an engine block with an 

installed crankshaft. The term engine 

does not include engine blocks without 

an installed crankshaft, nor does it 

include any assembly of engine 

components that does not include the 

engine block. (Note: For purposes of this 

definition, any component that is the 

primary means of converting an engine’s 

energy into usable work is considered a 

crankshaft, whether or not it is known 

commercially as a crankshaft.) This 

includes complete and partially 

complete engines as follows: 

(1) A complete engine is a fully 

assembled engine in its final 

configuration. In the case of equipmentbased standards, an engine is not 

considered complete until it is installed 

in the equipment, even if the engine 

itself is fully assembled. 

(2) A partially complete engine is an 

engine that is not fully assembled or is 

not in its final configuration. Except 

where we specify otherwise in this part 

or the standard-setting part, partially 

complete engines are subject to the same 

standards and requirements as complete 

engines. The following would be 

considered examples of partially 

complete engines: 

(i) An engine that is missing certain 

emission-related components. 

(ii) A new engine that was originally 

assembled as a motor-vehicle engine 

that will be recalibrated for use as a 

nonroad engine. 

(iii) A new engine that was originally 

assembled as a land-based engine that 

will be modified for use as a marine 

propulsion engine. 

(iv) A short block consisting of a 

crankshaft and other engine components 

connected to the engine block, but 

missing the head assembly. 

(v) A long block consisting of all 

engine components except the fuel 

system and an intake manifold. 

(vi) In the case of equipment-based 

standards, a fully functioning engine 

that is not yet installed in the 

equipment. For example, a fully 

functioning engine that will be installed 

in an off-highway motorcycle or a 

locomotive is considered partially 

complete until it is installed in the 

equipment. 

Engine-based standard means an 

emission standard expressed in units of 

grams of pollutant per kilowatt-hour 

that applies to the engine. Emission 

standards are either engine-based or 

equipment-based. Note that engines may 

be subject to additional standards such 

as smoke standards. 

Engine-based test means an emission 

test intended to measure emissions in 

units of grams of pollutant per kilowatthour, without regard to whether the 

standard applies to the engine or 

equipment. Note that some products 

that are subject to engine-based testing 

are subject to additional test 

requirements such as for smoke. 

Engine/equipment and engines/ 

equipment mean engine(s) and/or 

equipment depending on the context. 

Specifically these terms mean the 

following: 

(1) Engine(s) when only engine-based 

standards apply. 

(2) Engine(s) for testing issues when 

engine-based testing applies. 

(3) Engine(s) and equipment when 

both engine-based and equipment-based 

standards apply. 

(4) Equipment when only equipmentbased standards apply. 

(5) Equipment for testing issues when 

equipment-based testing applies. 

Equipment means one of the 

following things: 

(1) Any vehicle, vessel, or other type 

of equipment that is subject to the 

requirements of this part or that uses an 

engine that is subject to the 

requirements of this part. An installed 

engine is part of the equipment. 

(2) Fuel-system components that are 

subject to an equipment-based standard 

under this chapter. Installed fuel-system 

components are part of the engine. 

Equipment-based standard means an 

emission standard that applies to the 

equipment in which an engine is used 

or to fuel-system components associated 

with an engine, without regard to how 

the emissions are measured. If 

equipment-based standards apply, we 

require that the equipment or fuelsystem components be certified rather 

than just the engine. Emission standards 

are either engine-based or equipmentbased. For example, recreational 

vehicles we regulate under 40 CFR part 

1051 are subject to equipment-based 

standards even if emission 

measurements are based on engine 

operation alone. 

Exempted means relating to engines/ 

equipment that are not required to meet 

otherwise applicable standards. 

Exempted engines/equipment must 

conform to regulatory conditions 

specified for an exemption in this part 

1068 or in the standard-setting part. 

Exempted engines/equipment are 

deemed to be ‘‘subject to’’ the standards 

of the standard-setting part even though 

they are not required to comply with the 

otherwise applicable requirements. 

Engines/equipment exempted with 

respect to a certain tier of standards may 

be required to comply with an earlier 

tier of standards as a condition of the 

exemption; for example, engines 

exempted with respect to Tier 3 

standards may be required to comply 

with Tier 1 or Tier 2 standards. 

Family means engine family or 

emission family, as applicable under the 

standard-setting part. 

Final deteriorated test result has the 

meaning given in the standard-setting 

part. If it is not defined in the standardsetting part, it means the emission level 

that results from applying all 

appropriate adjustments (such as 

deterioration factors) to the measured 

emission result of the emission-data 

engine. 

Good engineering judgment means 

judgments made consistent with 

generally accepted scientific and 

engineering principles and all available 

relevant information. 

Manufacturer has the meaning given 

in section 216(1) of the Clean Air Act 

(42 U.S.C. 7550(1)). In general, this term 

includes any person who manufactures 

an engine or piece of equipment for sale 

in the United States or otherwise 

introduces a new engine or piece of 

equipment into U.S. commerce. This 

includes importers that import new 

engines or new equipment into the 

United States for resale. It also includes 

secondary engine manufacturers. 

Model year has the meaning given in 

the standard-setting part. Unless the 

standard-setting part specifies 

otherwise, model year for individual 

engines/equipment is based on the date 

of manufacture or a later stage in the 

assembly process determined by the 

manufacturer, subject to the limitations 

described in §§ 1068.103 and 1068.360. 

The model year of a new engine that is 

neither certified nor exempt is deemed 

to be the calendar year in which it is 

sold, offered for sale, imported, or 

delivered or otherwise introduced into 

U.S. commerce. 

Motor vehicle has the meaning given 

in 40 CFR 85.1703(a). 

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 an internal combustion engine that 

meets any of the following criteria: 

(i) It is (or will be) used 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, offhighway mobile cranes and bulldozers). 

mstockstill on PROD1PC66 with RULES2

59348 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(ii) It is (or will be) used in or on a 

piece of equipment that is intended to 

be propelled while performing its 

function (such as lawnmowers and 

string trimmers). 

(iii) By itself or in or on a piece of 

equipment, it 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 it meets any of 

the following criteria: 

(i) The engine is used to propel a 

motor vehicle, an aircraft, or equipment 

used solely for competition. 

(ii) The engine is regulated under 40 

CFR part 60, (or otherwise regulated by 

a federal New Source Performance 

Standard promulgated under section 

111 of the Clean Air Act (42 U.S.C. 

7411)). 

(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. See § 1068.31 for provisions 

that apply if the engine is removed from 

the location. 

Operating hours means: 

(1) For engine and equipment 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 or equipment 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. 

Relating to as used in this section 

means relating to something in a 

specific, direct manner. This expression 

is used in this section only to define 

terms as adjectives and not to broaden 

the meaning of the terms. 

Replacement engine means an engine 

exempted as a replacement engine 

under § 1068.240. 

Revoke means to terminate the 

certificate or an exemption for a family. 

If we revoke a certificate or exemption, 

you must apply for a new certificate or 

exemption before continuing to 

introduce the affected engines/ 

equipment into U.S. commerce. This 

does not apply to engines/equipment 

you no longer possess. 

Secondary engine manufacturer 

means anyone who produces a new 

engine by modifying a complete or 

partially complete engine that was made 

by a different company. For the purpose 

of this definition, ‘‘modifying’’ does not 

include making changes that do not 

remove an engine from its original 

certified configuration. Secondary 

engine manufacturing includes, for 

example, converting automotive engines 

for use in industrial applications, or 

land-based engines for use in marine 

applications. This applies whether it 

involves a complete or partially 

complete engine and whether the engine 

was previously certified to emission 

standards or not. Manufacturers 

controlled by the manufacturer of the 

base engine (or by an entity that also 

controls the manufacturer of the base 

engine) are not secondary engine 

manufacturers; rather, both entities are 

considered to be one manufacturer for 

purposes of this part. This definition 

applies equally to equipment 

manufacturers that modify engines. 

Also, equipment manufacturers that 

certify to equipment-based standards 

using engines produced by another 

company are deemed to be secondary 

engine manufacturers. Companies 

importing complete engines into the 

United States are not secondary engine 

manufacturers regardless of the 

procedures and relationships between 

companies for assembling the engines. 

Small business means either of the 

following: 

(1) A company that qualifies under 

the standard-setting part for special 

provisions for small businesses or smallvolume manufacturers. 

(2) A company that qualifies as a 

small business under the regulations 

adopted by the Small Business 

Administration at 13 CFR 121.201 if the 

standard-setting part does not establish 

such qualifying criteria. 

Standard-setting part means a part in 

the Code of Federal Regulations that 

defines emission standards for a 

particular engine and/or piece of 

equipment (see § 1068.1(a)). For 

example, the standard-setting part for 

marine spark-ignition engines is 40 CFR 

part 1045. For provisions related to 

evaporative emissions, the standardsetting part may be 40 CFR part 1060, 

as specified in 40 CFR 1060.1. 

Suspend means to temporarily 

discontinue the certificate or an 

exemption for a family. If we suspend 

a certificate, you may not introduce into 

U.S. commerce engines/equipment from 

that family unless we reinstate the 

certificate or approve a new one. If we 

suspend an exemption, you may not 

introduce into U.S. commerce engines/ 

equipment that were previously covered 

by the exemption unless we reinstate 

the exemption. 

Ultimate purchaser means the first 

person who in good faith purchases a 

new nonroad engine or new piece of 

equipment 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, and 

the U.S. Virgin Islands. 

U.S.-directed production volume 

means the number of engine/equipment 

units, subject to the requirements of this 

part, produced by a manufacturer for 

which the manufacturer has a 

reasonable assurance that sale was or 

will be made to ultimate purchasers in 

the United States. 

Void means to invalidate a certificate 

or an exemption ab initio. If we void a 

certificate, all the engines/equipment 

introduced into U.S. commerce under 

that family for that model year are 

considered noncompliant, and you are 

liable for all engines/equipment 

introduced into U.S. commerce under 

the certificate and may face civil or 

criminal penalties or both. This applies 

equally to all engines/equipment in the 

family, including engines/equipment 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59349 

introduced into U.S. commerce before 

we voided the certificate. If we void an 

exemption, all the engines/equipment 

introduced into U.S. commerce under 

that exemption are considered 

uncertified (or nonconforming), and you 

are liable for engines/equipment 

introduced into U.S. commerce under 

the exemption and may face civil or 

criminal penalties or both. You may not 

introduce into U.S. commerce any 

additional engines/equipment using the 

voided exemption. 

Voluntary emission recall means a 

repair, adjustment, or modification 

program voluntarily initiated and 

conducted by a manufacturer to remedy 

any emission-related defect for which 

engine owners have been notified. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives. 

§ 1068.31 What provisions apply to 

nonroad or stationary engines that change 

their status? 

This section specifies the provisions 

that apply when an engine previously 

used in a nonroad application is 

subsequently used in an application 

other than a nonroad application, or 

when an engine previously used in a 

stationary application (i.e., an engine 

that was not used as a nonroad engine 

and that was not used to propel a motor 

vehicle, an aircraft, or equipment used 

solely for competition) is moved. 

(a) Changing the status of a stationary 

engine to be a new nonroad engine as 

described in paragraph (b) of this 

section is a violation of § 1068.101(a)(1) 

or (b)(3) unless the engine has been 

certified to be compliant with all 

requirements of this chapter that apply 

to new nonroad engines of the same 

type (for example, a compressionignition engine rated at 40 kW) and 

model year, and is in its certified 

configuration. Note that the definitions 

of ‘‘model year’’ in the standard-setting 

parts generally identify the engine’s 

original date of manufacture as the basis 

for determining which standards apply 

if it becomes a nonroad engine after it 

is no longer new. For example, see 40 

CFR 1039.801 and 1048.801. 

(b) A stationary engine becomes a new 

nonroad engine if— 

(1) It is used in an application that 

meets the criteria specified in 

paragraphs (1)(i) or (ii) in the definition 

of ‘‘nonroad engine’’ in § 1068.30. 

(2) It meets the criteria specified in 

paragraph (1)(iii) of the definition of 

‘‘nonroad engine’’ in § 1068.30 and is 

moved so that it fails to meet (or no 

longer meets) the criteria specified in 

paragraph (2)(iii) in the definition of 

‘‘nonroad engine’’ in § 1068.30. 

(c) A stationary engine does not 

become a new nonroad engine if it is 

moved but continues to meet the criteria 

specified in paragraph (2)(iii) in the 

definition of ‘‘nonroad engine’’ in 

§ 1068.30 in its new location. For 

example, a transportable engine that is 

used in a single specific location for 18 

months and is later moved to a second 

specific location where it will remain 

for at least 12 months is considered to 

be a stationary engine in both locations. 

Note that for engines that are neither 

portable nor transportable in actual use, 

the residence-time restrictions in the 

definition of ‘‘nonroad engine’’ 

generally do not apply. 

(d) Changing the status of a nonroad 

engine to be a new stationary engine as 

described in paragraph (e) of this 

section is a violation of § 1068.101(a)(1) 

unless the engine complies with all the 

requirements of this chapter for new 

stationary engines of the same type (for 

example, a compression-ignition engine 

rated at 40 kW) and model year. For a 

new stationary engine that is required to 

be certified under 40 CFR part 60, the 

engine must have been certified to be 

compliant with all the requirements that 

apply to new stationary engines of the 

same type and model year, and must be 

in its certified configuration. 

(e) A nonroad engine ceases to be a 

nonroad engine and becomes a new 

stationary engine if— 

(1) At any time, it meets the criteria 

specified in paragraph (2)(iii) in the 

definition of ‘‘nonroad engine’’ in 

§ 1068.30. For example, a portable 

generator engine ceases to be a nonroad 

engine if it is used or will be used in 

a single specific location for 12 months 

or longer. If we determine that an engine 

will be or has been used in a single 

specific location for 12 months or 

longer, it ceased to be a nonroad engine 

when it was placed in that location. 

(2) It is otherwise regulated by a 

federal New Source Performance 

Standard promulgated under section 

111 of the Clean Air Act (42 U.S.C. 

7411). 

(f) A nonroad engine ceases to be a 

nonroad engine if it is used to propel a 

motor vehicle, an aircraft, or equipment 

used solely for competition. See 40 CFR 

part 86 for requirements applicable to 

motor vehicles and motor vehicle 

engines. See 40 CFR part 87 for 

requirements applicable to aircraft and 

aircraft engines. See § 1068.235 for 

requirements applicable to equipment 

used solely for competition. 

§ 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. 

disp engine displacement. 

EPA Environmental Protection 

Agency. 

kW kilowatt. 

L/cyl liters per cylinder. 

NARA National Archives and Records 

Administration. 

NOX Oxides of nitrogen. 

SAE Society of Automotive Engineers. 

SEA selective enforcement audit. 

U.S. United States. 

U.S.C. United States Code. 

§ 1068.40 What special provisions apply 

for implementing technical amendments? 

During the 12 months following the 

effective date of any change in the 

provisions of this part, you may ask to 

apply the previously applicable 

provisions. We will generally approve 

your request if you can demonstrate that 

it would be impractical to comply with 

the new requirements. We may consider 

the potential for adverse environmental 

impacts in our decision. Similarly, in 

unusual circumstances, you may ask for 

relief under this section from new 

requirements that apply under the 

standard-setting part. 

§ 1068.45 General labeling provisions. 

The provisions of this part and the 

standard-setting part include a variety of 

labeling requirements. The following 

general provisions apply: 

(a) Permanent labels. Where we 

specify that you apply a permanent 

label, you must meet the following 

requirements unless the standard-setting 

part includes other specific label 

requirements: 

(1) Attach the label so no one can 

remove it without destroying or 

defacing it. 

(2) Make sure it is durable and 

readable for the engine/equipment’s 

entire life. 

(3) Secure it to a part of the engine/ 

equipment needed for normal operation 

and not normally requiring replacement. 

(4) Write it in English. 

(5) Make the labels readily visible to 

the average person after all installation 

and assembly are complete. 

(b) Removable labels. Where we 

specify that you apply a removable 

label, it must meet the following 

conditions: 

(1) You must attach the label in a way 

that does not allow it to be separated 

from the engine/equipment without a 

deliberate effort. Note that for 

exemptions requiring removable labels, 

the exemption no longer applies once 

the label is separated from the engine/ 

equipment. 

(2) The label must be durable and 

readable throughout the period of its 

mstockstill on PROD1PC66 with RULES2

59350 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

intended purpose. This period generally 

includes all distribution in U.S. 

commerce during which the exemption 

applies. 

(3) Except as specified in paragraph 

(c) of this section, the label must be 

attached directly to the engine/ 

equipment in a visible location. We 

consider a tag that meets the specified 

requirements to be an attached label. 

(c) Labels on packaging. This part or 

the standard-setting part may in certain 

cases allow you to label the packaging 

if you ship engines/equipment packaged 

together instead of applying a removable 

label to engines/equipment 

individually. For example, this may 

involve packaging engines together by 

attaching them to a rack, binding them 

together on a pallet, or enclosing them 

in a box. The provisions of this 

paragraph (c) also apply for engines/ 

equipment boxed individually where 

you do not apply labels directly to the 

engines/equipment. The following 

provisions apply if you label the 

packaging instead of labeling engines/ 

equipment individually: 

(1) You may use the provisions of this 

paragraph (c) only if all the engines/ 

equipment packaged together need the 

same label. 

(2) You must place the label on the 

package in a readily visible location. 

This may require labeling the package in 

multiple locations. 

(3) You must package the engines/ 

equipment such that the labels will not 

be separated from the engines/ 

equipment or otherwise become 

unreadable throughout the period that 

the label applies. For example, labels 

required for shipping engines to a 

secondary engine manufacturer under 

§ 1068.262 must remain attached and 

readable until they reach the secondary 

engine manufacturer. Similarly, 

removable labels specified in § 1068.240 

for replacement engines must remain 

attached and readable until they reach 

the point of final installation. 

(4) You are in violation of 

§ 1068.101(a)(1) if such engines/ 

equipment are removed from the 

package or are otherwise separated from 

the label before reaching the point at 

which the label is no longer needed. 

(d) Temporary consumer labels. 

Where we specify that you apply 

temporary consumer labels (including 

tags), each label must meet the 

following conditions: 

(1) You must attach the label in a way 

that does not allow it to be separated 

from the engine/equipment without a 

deliberate effort. 

(2) The label must be sufficiently 

durable to be readable until it reaches 

the ultimate purchaser. 

(3) The label must be attached directly 

to the engine/equipment in a visible 

location. 

(e) Prohibitions against removing 

labels. Removing permanent labels may 

be a violation of § 1068.101(b)(7). 

Removing temporary or removable 

labels prematurely may also be a 

violation of § 1068.101(b)(7). 

(f) Identifying emission control 

systems. If the standard-setting part 

specifies that you use standardized 

terms and abbreviations to identify 

emission control systems, use terms and 

abbreviations consistent with SAE J1930 

(incorporated by reference in § 1068.95). 

§ 1068.95 What materials does this part 

reference? 

Documents listed in this section have 

been incorporated by reference into this 

part. The Director of the Federal 

Register approved the incorporation by 

reference as prescribed in 5 U.S.C. 

552(a) and 1 CFR part 51. Anyone may 

inspect copies at the U.S. EPA, Air and 

Radiation Docket and Information 

Center, 1301 Constitution Ave., NW., 

Room B102, EPA West Building, 

Washington, DC 20460 or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 

(a) SAE material. Table 1 to this 

section lists material from the Society of 

Automotive Engineers that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096 or http://www.sae.org. Table 1 

follows: 

TABLE 1 TO § 1068.95—SAE MATERIALS

Document number and name Part 1068 

reference 

SAE J1930, Electrical/Electronic Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms, revised April 2002 ......... 1068.95 

(b) [Reserved] 

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 in accordance with 42 U.S.C. 

7522 and 7524. The maximum penalty 

values listed in paragraphs (a) and (b) of 

this section are shown for calendar year 

2004. 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, manufacturers of 

equipment containing these engines, 

and manufacturers of new equipment, 

except as described in subparts C and D 

of this part: 

(1) Introduction into commerce. 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/equipment after 

emission standards take effect for the 

engine/equipment, unless it is covered 

by a valid certificate of conformity for 

its model year and has 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 is 

covered by a valid certificate of 

conformity for its model year and has 

the required engine label or tag. We may 

assess a civil penalty up to $32,500 for 

each engine or piece of equipment in 

violation. 

(i) For purposes of this paragraph 

(a)(1), a valid certificate of conformity is 

one that applies for the same model year 

as the model year of the equipment 

(except as allowed by § 1068.105(a)), 

covers the appropriate category of 

engines/equipment (such as locomotive 

or Marine SI), and conforms to all 

requirements specified for equipment in 

the standard-setting part. Engines/ 

equipment are considered not covered 

by a certificate unless they are in a 

configuration described in the 

application for certification. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59351 

(ii) The requirements of this 

paragraph (a)(1) also cover 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. 

(iii) For engines used in equipment 

subject to equipment-based standards, 

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 unless it 

is covered by a valid certificate of 

conformity for its model year and has 

the required label or tag. See the 

standard-setting part for more 

information about how this prohibition 

applies. 

(2) Reporting and recordkeeping. 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 your records or 

the ability to copy your records if we 

have the authority to see or copy them. 

Also, you must give us complete and 

accurate reports and information 

without delay as required under this 

chapter. Failure to comply with the 

requirements of this paragraph is 

prohibited. We may assess a civil 

penalty up to $32,500 for each day you 

are in violation. In addition, knowingly 

submitting false information is a 

violation of 18 U.S.C. 1001, which may 

involve criminal penalties and up to 

five years imprisonment. 

(3) Testing and access to facilities. 

You may not keep us from entering your 

facility to test engines/equipment 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 $32,500 for each day you 

are in violation. 

(b) The following prohibitions apply 

to everyone with respect to the engines 

and equipment to which this part 

applies: 

(1) Tampering. You may not remove 

or render inoperative any device or 

element of design installed on or in 

engines/equipment in compliance with 

the regulations prior to its sale and 

delivery to the ultimate purchaser. You 

also may not knowingly remove or 

render inoperative any such device or 

element of design after such sale and 

delivery to the ultimate purchaser. This 

includes, for example, operating an 

engine without a supply of appropriate 

quality urea if the emissions control 

system relies on urea to reduce NOX

emissions or the use of incorrect fuel or 

engine oil that renders the emissions 

control system inoperative. Section 

1068.120 describes how this applies to 

rebuilding engines. See the standardsetting part, which may include 

additional provisions regarding actions 

prohibited by this requirement. For a 

manufacturer or dealer, we may assess 

a civil penalty up to $32,500 for each 

engine or piece of equipment in 

violation. For anyone else, we may 

assess a civil penalty up to $2,750 for 

each day an engine or piece of 

equipment is operated in violation. This 

prohibition does not apply in any of the 

following situations: 

(i) You need to repair the engine/ 

equipment and you restore it to proper 

functioning when the repair is 

complete. 

(ii) You need to modify the engine/ 

equipment to respond to a temporary 

emergency and you restore it to proper 

functioning as soon as possible. 

(iii) You modify new engines/ 

equipment that another manufacturer 

has already certified to meet emission 

standards and recertify them under your 

own family. In this case you must tell 

the original manufacturer not to include 

the modified engines/equipment in the 

original family. 

(2) Defeat devices. You may not 

knowingly manufacture, sell, offer to 

sell, or install, any part that bypasses, 

impairs, defeats, or disables the control 

of emissions of any regulated pollutant, 

except as explicitly allowed by the 

standard-setting part. We may assess a 

civil penalty up to $2,750 for each part 

in violation. 

(3) Stationary engines. 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 residencetime requirements of paragraph (2)(iii) 

of the nonroad engine definition in 

§ 1068.30. Anyone violating this 

paragraph (b)(3) is deemed to be a 

manufacturer in violation of paragraph 

(a)(1) of this section. We may assess a 

civil penalty up to $32,500 for each day 

you are in violation. 

(4) Competition engines/equipment. 

For uncertified engines/equipment that 

are excluded or exempted from any 

requirements of this chapter because 

they are to be used solely for 

competition, you may not use any of 

them in a manner that is inconsistent 

with use solely for competition. Anyone 

violating this paragraph (b)(4) is deemed 

to be a manufacturer in violation of 

paragraph (a)(1) of this section. We may 

assess a civil penalty up to $32,500 for 

each day you are in violation. 

(5) Importation. You may not import 

an uncertified engine or piece of 

equipment if it is defined to be new in 

the standard-setting part with a model 

year for which emission standards 

applied. Anyone violating this 

paragraph (b)(5) is deemed to be a 

manufacturer in violation of paragraph 

(a)(1) of this section. We may assess a 

civil penalty up to $32,500 for each day 

you are in violation. Note the following: 

(i) The definition of new is broad for 

imported engines/equipment; 

uncertified engines and equipment 

(including used engines and equipment) 

are generally considered to be new 

when imported. 

(ii) Used engines/equipment that were 

originally manufactured before 

applicable EPA standards were in effect 

are generally not subject to emission 

standards. 

(6) Warranty, recall, and maintenance 

instructions. You must meet your 

obligation to honor your emissionrelated warranty under § 1068.115, 

including any commitments you 

identify in your application for 

certification. You must also fulfill all 

applicable requirements under subpart 

F of this part related to emission-related 

defects and recalls. You must also 

provide emission-related installation 

and maintenance instructions as 

described in the standard-setting part. 

Failure to meet these obligations is 

prohibited. Also, except as specifically 

provided by regulation, you are 

prohibited from directly or indirectly 

communicating to the ultimate 

purchaser or a later purchaser that the 

emission-related warranty is valid only 

if the owner has service performed at 

authorized facilities or only if the owner 

uses authorized parts, components, or 

systems. We may assess a civil penalty 

up to $32,500 for each engine or piece 

of equipment in violation. 

(7) Labeling. (i) You may not remove 

or alter an emission control information 

label or other required permanent label 

except as specified in this paragraph 

(b)(7) or otherwise allowed by this 

chapter. Removing or altering an 

emission control information label is a 

violation of paragraph (b)(1) of this 

section. However, it is not a violation to 

remove a label in the following 

circumstances: 

(A) The engine is destroyed, is 

permanently disassembled, or otherwise 

loses its identity such that the original 

title to the engine is no longer valid. 

(B) The regulations specifically direct 

you to remove the label. For example, 

see § 1068.235. 

mstockstill on PROD1PC66 with RULES2

59352 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(C) The part on which the label is 

mounted needs to be replaced. In this 

case, you must have a replacement part 

with a duplicate of the original label 

installed by the certifying manufacturer 

or an authorized agent, except that the 

replacement label may omit the date of 

manufacture if applicable. We generally 

require labels to be permanently 

attached to parts that will not normally 

be replaced, but this provision allows 

for replacements in unusual 

circumstances, such as damage in a 

collision or other accident. 

(D) The original label is incorrect, 

provided that it is replaced with the 

correct label from the certifying 

manufacturer or an authorized agent. 

This allowance to replace incorrect 

labels does not affect whether the 

application of an incorrect original label 

is a violation. 

(ii) Removing or altering a temporary 

or removable label contrary to the 

provisions of this paragraph (b)(7)(ii) is 

a violation of paragraph (b)(1) of this 

section. 

(A) For labels identifying temporary 

exemptions, you may not remove or 

alter the label while the engine/ 

equipment is in an exempt status. The 

exemption is automatically revoked for 

each engine/equipment for which the 

label has been removed. 

(B) For temporary or removable 

consumer information labels, only the 

ultimate purchaser may remove the 

label. 

(iii) You may not apply a false 

emission control information label. You 

also may not manufacture, sell, or offer 

to sell false labels. The application, 

manufacture, sale, or offer for sale of 

false labels is a violation of this section 

(such as paragraph (a)(1) or (b)(2) of this 

section). Note that applying an 

otherwise valid emission control 

information label to the wrong engine is 

considered to be applying a false label. 

(c) If you cause someone to commit a 

prohibited act in paragraph (a) or (b) of 

this section, you are in violation of that 

prohibition. 

(d) Exemptions from these 

prohibitions are described in subparts C 

and D of this part and in the standardsetting part. 

(e) The standard-setting parts describe 

more requirements and prohibitions that 

apply to manufacturers (including 

importers) and others under this 

chapter. 

(f) The specification of prohibitions 

and penalties in this part does not limit 

the prohibitions and penalties described 

in the Clean Air Act. Additionally, a 

single act may trigger multiple 

violations under this section and the 

Act. We may pursue all available 

administrative, civil, or criminal 

remedies for those violations even if the 

regulation references only a single 

prohibited act in this section. 

(g) [Reserved] 

(h) The maximum penalty values 

listed in paragraphs (a) and (b) of this 

section are shown for calendar year 

2004. 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 U.S. commerce of an uncertified source .................... 42 U.S.C. 7522(a)(1) and (a)(4). 

§ 1068.101(a)(2) .............................. 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) and (a)(4). 

§ 1068.101(b)(4) .............................. Noncompetitive use of uncertified engines/equipment that is exempted for competition.42 U.S.C. 7522(a)(1) and (a)(4). 

§ 1068.101(b)(5) .............................. Importation of an uncertified source ...................................................... 42 U.S.C. 7522(a)(1) and (a)(4). 

§ 1068.101(b)(6) .............................. Recall and warranty ............................................................................... 42 U.S.C. 7522(a)(4). 

§ 1068.101(b)(7) .............................. Removing labels .................................................................................... 42 U.S.C. 7522(a)(3). 

1068.103 What are the provisions related 

to the duration and applicability of 

certificates of conformity? 

(a) Engines/equipment covered by a 

certificate of conformity are limited to 

those that are produced during the 

period specified in the certificate and 

conform to the specifications described 

in the certificate and the associated 

application for certification. For 

example, if the application for 

certification specifies certain engine 

models or production facilities, the 

certificate does not cover any models 

that are not specified and it does not 

cover engines/equipment produced at 

production facilities that are not 

specified. 

(b) Unless the standard-setting part 

specifies otherwise, determine the 

production period corresponding to 

each certificate of conformity as 

specified in this paragraph (b). In 

general, the production period is the 

manufacturer’s annual production 

period identified as a model year. 

(1) For engines/equipment subject to 

emission standards based on model 

years, the first day of the annual 

production period can be no earlier than 

January 2 of the calendar year preceding 

the year for which the model year is 

named, or the earliest date of 

manufacture for any engine/equipment 

in the engine family, whichever is later. 

The last day of the annual production 

period can be no later than December 31 

of the calendar year for which the model 

year is named or the latest date of 

manufacture for any engine/equipment 

in the engine family, whichever is 

sooner. 

(2) For fuel-system components 

certified to evaporative emission 

standards based on production periods 

rather than model years, the production 

period is either the calendar year or a 

longer period we specify consistent with 

the manufacturer’s normal production 

practices. 

(c) A certificate of conformity will not 

cover engines/equipment you produce 

with a date of manufacture earlier than 

the date you submit the application for 

certification for the family. You may 

start to produce engines/equipment after 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59353 

you submit an application for 

certification and before the effective 

date of a certificate of conformity, 

subject to the following conditions: 

(1) The engines/equipment must 

conform in all material respects to the 

engines/equipment described in your 

application. Note that if we require you 

to modify your application, you must 

ensure that all engines/equipment 

conform to the specifications of the 

modified application. 

(2) The engines/equipment may not 

be sold, offered for sale, introduced into 

commerce, or delivered for introduction 

into U.S. commerce before the effective 

date of the certificate of conformity. 

(3) You must notify us in your 

application for certification that you 

plan to use the provisions of this 

paragraph (c) and when you intend to 

start production. If the standard-setting 

part specifies mandatory testing for 

production-line engines, you must start 

testing as directed in the standardsetting part based on your actual start of 

production, even if that occurs before 

we approve your certification. You must 

also agree to give us full opportunity to 

inspect and/or test the engines/ 

equipment during and after production. 

For example, we must have the 

opportunity to specify selective 

enforcement audits as allowed by the 

standard-setting part and the Clean Air 

Act as if the engines/equipment were 

produced after the effective date of the 

certificate. 

(4) See § 1068.262 for special 

provisions that apply for secondary 

engine manufacturers receiving 

shipment of partially complete engines 

before the effective date of a certificate. 

(d) Engines/equipment with a date of 

manufacture after December 31 of the 

calendar year for which a model year is 

named are not covered by the certificate 

of conformity for that model year. You 

must submit an application for a new 

certificate of conformity demonstrating 

compliance with applicable standards 

even if the engines/equipment are 

identical to those built before December 

31. 

(e) The flexible approach to naming 

the annual production period described 

in paragraph (b)(1) of this section is 

intended to allow you to introduce new 

products at any point during the year. 

This is based on the expectation that 

production periods generally run on 

consistent schedules from year to year. 

You may not use this flexibility to 

arrange your production periods such 

that you can avoid annual certification. 

(f) An engine is generally assigned a 

model year based on its date of 

manufacture, which is typically based 

on the date the crankshaft is installed in 

the engine (see § 1068.30). You may not 

circumvent the provisions of 

§ 1068.101(a)(1) by stockpiling engines 

with a date of manufacture before new 

or changed emission standards take 

effect by deviating from your normal 

production and inventory practices. (For 

purposes of this paragraph (f), normal 

production and inventory practices 

means those practices you typically use 

for similar families in years in which 

emission standards do not change. We 

may require you to provide us routine 

production and inventory records that 

document your normal practices for the 

preceding eight years.) For most engines 

you should plan to complete the 

assembly of an engine of a given model 

year within the first week after the end 

of the model year if new emission 

standards start to apply in that model 

year. For special circumstances it may 

be appropriate for your normal business 

practice to involve more time. For 

engines with per-cylinder displacement 

below 2.5 liters, we would consider it to 

be a violation to complete the assembly 

of an engine of a given model year more 

than 30 days after the end of the model 

year for that engine family if new 

emission standards start to apply in that 

year. For example, in the case where 

new standards apply in the 2010 model 

year, and your normal production 

period is based on the calendar year, 

you must complete the assembly of all 

your 2009 model year engines before 

January 31, 2010, or an earlier date 

consistent with your normal production 

and inventory practices. For engines 

with per-cylinder displacement at or 

above 2.5 liters, this time may not 

exceed 60 days. Note that for the 

purposes of this paragraph (f), an engine 

shipped under § 1068.261 is deemed to 

be a complete engine. Note also that 

§ 1068.245 allows flexibility for 

additional time in unusual 

circumstances. Note finally that 

disassembly of complete engines and 

reassembly (such as for shipment) does 

not affect the determination of model 

year; the provisions of this paragraph (f) 

apply based on the date on which initial 

assembly is complete. 

§ 1068.105 What other provisions apply to 

me specifically if I manufacture equipment 

needing certified engines? 

This section describes general 

provisions that apply to equipment 

manufacturers for sources subject to 

engine-based standards. See the 

standard-setting part for any 

requirements that apply for certain 

applications. See § 1068.101 for 

penalties associated with violations 

under this section and for other 

prohibitions related to your equipment. 

(a) Transitioning to new engine-based 

standards. If new engine-based emission 

standards apply in a given model year, 

your equipment in that calendar year 

must have engines that are certified to 

the new standards, except that you may 

continue to use up your normal 

inventory of earlier engines that were 

built before the date of the new or 

changed standards. (Note: this 

paragraph (a) does not apply in the case 

of new remanufacturing standards.) For 

example, if your normal inventory 

practice is to keep on hand a one-month 

supply of engines based on your 

upcoming production schedules, and a 

new tier of standards starts to apply for 

the 2015 model year, you may order 

engines consistent with your normal 

inventory requirements late in the 

engine manufacturer’s 2014 model year 

and install those engines in your 

equipment, regardless of the date of 

installation. Also, if your model year 

starts before the end of the calendar year 

preceding new standards, you may use 

engines from the previous model year 

for those units you produce before 

January 1 of the year that new standards 

apply. If emission standards for the 

engine do not change in a given model 

year, you may continue to install 

engines from the previous model year 

without restriction. You may not 

circumvent the provisions of 

§ 1068.101(a)(1) by stockpiling engines 

that were built before new or changed 

standards take effect. Note that this 

allowance does not apply for equipment 

subject to equipment-based standards. 

See 40 CFR 1060.601 for similar 

provisions that apply for equipment 

subject to evaporative emission 

standards. 

(b) Installing engines or certified 

components. The provisions in 

§ 1068.101(a)(1) generally prohibit you 

from introducing into U.S. commerce 

any new equipment that includes 

engines not covered by a certificate of 

conformity. In addition, 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. Similarly, you 

must follow the emission-related 

installation instructions from the 

manufacturer of a component that has 

been certified for controlling 

evaporative emissions under 40 CFR 

part 1060. Not meeting the 

manufacturer’s emission-related 

installation instructions is a violation of 

one or more of the prohibitions of 

mstockstill on PROD1PC66 with RULES2

59354 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

§ 1068.101. See § 1068.261 for special 

provisions that apply when the engine 

manufacturer delegates final assembly 

of emission controls to you. 

(c) Attaching a duplicate label. If you 

obscure the engine’s label, you must do 

four things to avoid violating 

§ 1068.101(a)(1): 

(1) Send a request for duplicate labels 

in writing on your company’s letterhead 

to the engine manufacturer. Include the 

following information in your request: 

(i) Identify the type of equipment and 

the specific engine and equipment 

models needing duplicate labels. 

(ii) Identify the family (from the 

original engine label). 

(iii) State the reason that you need a 

duplicate label for each equipment 

model. 

(iv) Identify the number of duplicate 

labels you will need. 

(2) Permanently attach the duplicate 

label to your equipment by securing it 

to a part needed for normal operation 

and not normally requiring replacement. 

Make sure an average person can easily 

read it. 

(3) Destroy any unused duplicate 

labels if you find that you will not need 

them. 

(4) Keep the following records for at 

least eight years after the end of the 

model year identified on the engine 

label: 

(i) Keep a copy of your written 

request. 

(ii) Keep drawings or descriptions that 

show how you apply the duplicate 

labels to your equipment. 

(iii) Maintain a count of those 

duplicate labels you use and those you 

destroy. 

§ 1068.110 What other provisions apply to 

engines/equipment in service? 

(a) Aftermarket parts and service. As 

the certifying manufacturer, you may 

not require anyone to use your parts or 

service to maintain or repair an engine 

or piece of equipment, unless we 

approve this in your application for 

certification. It is a violation of the 

Clean Air Act for anyone to manufacture 

any 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 or equipment part, 

you may—but are not required to— 

certify according to 40 CFR part 85, 

subpart V, that using the part will not 

cause engines/equipment to fail to meet 

emission standards. Whether you certify 

or not, you must keep any information 

showing how your parts or service affect 

emissions. 

(c) Compliance with standards. We 

may test engines and equipment to 

investigate compliance with emission 

standards and other requirements. We 

may also require the manufacturer to do 

this testing. 

(d) Defeat devices. We may test 

engines and 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 Clean 

Air 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 are responsible for properly 

maintaining their engines/equipment; 

however, owners may make warranty 

claims against the manufacturer for all 

expenses related to diagnosing and 

repairing or replacing emission-related 

parts, as described in § 1068.115. 

Manufacturers may ask to limit 

diagnosis and repair to authorized 

service facilities, provided this does not 

limit their ability to meet their warranty 

obligations under § 1068.115. The 

warranty period begins when the 

equipment is first placed into service. 

See the standard-setting part for specific 

requirements. It is a violation of the 

Clean Air Act for anyone to disable 

emission controls; see § 1068.101(b)(1) 

and the standard-setting 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/equipment 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/equipment are free from defects 

in materials and workmanship that 

would cause any engine/equipment 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 only for 

failures that have been caused by the 

owner’s or operator’s improper 

maintenance or use, by accidents for 

which you have no responsibility, or by 

acts of God. For example, you would not 

need to honor warranty claims for 

failures that have been directly caused 

by the operator’s abuse of the engine/ 

equipment or the operator’s use of the 

engine/equipment 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/equipment 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/ 

equipment 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 

equipment operates unless your written 

maintenance instructions state that this 

fuel would harm the equipment’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. For 

maintenance or service that is not 

rebuilding, including any maintenance 

related to evaporative emission controls, 

you may not make changes that might 

increase emissions of any regulated 

pollutant, but you do not need to keep 

any records. 

(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 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59355 

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 an engine. 

(c) [Reserved] 

(d) If you rebuild an engine or engine 

system, you must have a reasonable 

technical basis for knowing that the 

rebuilt engine’s emission control system 

performs as well as, or better than, it 

performs 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 of all 

pollutants at least 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. 

(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) A rebuilt engine may replace 

another certified engine in a piece of 

equipment only if the engine was rebuilt 

to a certified configuration meeting 

equivalent or more stringent emission 

standards. Note that a certified 

configuration would generally include 

more than one model year. A rebuilt 

engine being installed that is from the 

same model year or a newer model year 

than the engine being replaced meets 

this requirement. The following 

examples illustrate the provisions of 

this paragraph (f): 

(1) In most cases, you may use a 

rebuilt Tier 2 engine to replace a Tier 1 

engine or another Tier 2 engine. 

(2) You may use a rebuilt Tier 1 

engine to replace a Tier 2 engine if the 

two engines differ only with respect to 

model year or other characteristics 

unrelated to emissions since such 

engines would be considered to be in 

the same configuration. This may occur 

if the Tier 1 engine had emission levels 

below the Tier 2 standards or if the Tier 

2 engine was certified with a Family 

Emission Limit for calculating emission 

credits. 

(3) You may use a rebuilt engine that 

originally met the Tier 1 standards 

without certification, as provided under 

40 CFR 1068.265, to replace a certified 

Tier 1 engine. This may occur for 

engines produced under a Transition 

Program for Equipment Manufacturers 

such as that described in 40 CFR 

1039.625. 

(4) You may never replace a certified 

engine with an engine rebuilt to a 

configuration that does not meet EPA 

emission standards. Note that a 

configuration is considered to meet EPA 

emission standards if it was previously 

certified or was otherwise shown to 

meet emission standards (see 

§ 1068.265). 

(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 

any of these components 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 

for all engines except spark-ignition 

engines with total displacement below 

225 cc: 

(1) Identify the hours of operation (or 

mileage, as appropriate) at the time of 

rebuild. These may be noted as 

approximate values if the engine has no 

hour meter (or odometer). 

(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 

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 factors: 

(i) The seriousness of your violation. 

(ii) How much you benefited or saved 

because of the violation. 

(iii) The size of your business. 

(iv) Your history of compliance with 

Title II of the Clean Air Act (42 U.S.C. 

7401–7590). 

(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 $270,000 against you 

individually. This maximum penalty 

may be greater if the Administrator and 

the Attorney General jointly determine 

that a greater administrative penalty 

assessment is appropriate, or if the limit 

is adjusted under 40 CFR part 19. No 

court may review this determination. 

Before we assess an administrative 

penalty, you may ask for a hearing 

mstockstill on PROD1PC66 with RULES2

59356 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(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 penalty for a particular 

violation if either of the following two 

conditions is true: 

(i) We are separately prosecuting the 

violation under this subpart. 

(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 

quarterly nonpayment penalty is 10 

percent of your total penalties plus any 

unpaid nonpayment penalties from 

previous quarters. 

Subpart C—Exemptions and 

Exclusions 

§ 1068.201 Does EPA exempt or exclude 

any engines/equipment from the prohibited 

acts? 

We may exempt new engines/ 

equipment from some or all of the 

prohibited acts or requirements of this 

part under provisions described in this 

subpart. We may exempt engines/ 

equipment already placed in service in 

the United States from the prohibition 

in § 1068.101(b)(1) if the exemption for 

engines/equipment used solely for 

competition applies (see § 1068.235). In 

addition, see § 1068.1 and the standardsetting parts to determine if other 

engines/equipment are excluded from 

some or all of the regulations in this 

chapter. 

(a) This subpart identifies which 

engines/equipment 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, revoke, or 

suspend the exemption. 

(c) If you use an exemption under this 

subpart, we may require you to add a 

permanent label to your exempted 

engines/equipment. You may ask us to 

modify these labeling requirements if it 

is appropriate for your engine/ 

equipment. 

(d) If you produce engines/equipment 

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/ 

equipment 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/equipment you import (or 

intend to import). 

(g) If you want to ask for an 

exemption or need more information, 

write to the Designated Compliance 

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/equipment that is prohibited by 

the exemption or exclusion, such as 

selling it, you need to certify the engine/ 

equipment. 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 and pay the 

appropriate fee. Alternatively, we may 

allow you to include in an existing 

certified engine family those engines/ 

equipment you modify (or otherwise 

demonstrate) to be identical to engines/ 

equipment already covered by the 

certificate. We would base such an 

approval on our review of any 

appropriate documentation. These 

engines/equipment must have emission 

control information labels that 

accurately describe their status. 

§ 1068.210 What are the provisions for 

exempting test engines/equipment? 

(a) We may exempt engines/ 

equipment that you will use for 

research, investigations, studies, 

demonstrations, or training. Note that 

you are not required to get an exemption 

under this section for engines that are 

exempted under other provisions of this 

part, such as the manufacturer-owned 

exemption in § 1068.215. 

(b) Anyone may ask for a testing 

exemption. 

(c) If you are a certificate holder, you 

may request an exemption for engines/ 

equipment you intend to include in test 

programs over a two-year period. 

(1) In your request, tell us the 

maximum number of engines/ 

equipment involved and describe how 

you will make sure exempted engines/ 

equipment 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 the following things: 

(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). 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59357 

(3) Estimate the duration of the 

proposed test program and the number 

of engines/equipment 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/equipment operation associated 

with the test. 

(iv) Ownership and control of the 

engines/equipment involved in the test. 

(v) The intended final disposition of 

the engines/equipment. 

(vi) How you will identify, record, 

and make available the engine/ 

equipment 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 label to all 

engines/equipment exempted under this 

section, consistent with § 1068.45, with 

at least the following items: 

(i) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your corporate name and 

trademark. 

(iii) Engine displacement, family 

identification, and model year of the 

engine/equipment (as applicable), or 

whom to contact for further information. 

(iv) One of these statements (as 

applicable): 

(A) ‘‘THIS ENGINE IS EXEMPT 

UNDER 40 CFR 1068.210 OR 1068.215 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(B) ‘‘THIS EQUIPMENT IS EXEMPT 

UNDER 40 CFR 1068.210 OR 1068.215 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(4) Tell us when the test program is 

finished. 

(5) Tell us the final disposition of the 

engines/equipment. 

(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/ 

equipment? 

(a) You are eligible for the exemption 

for manufacturer-owned engines/ 

equipment only if you are a certificate 

holder. 

(b) Engines/equipment may be exempt 

without a request if they are 

nonconforming engines/equipment 

under your ownership, possession, and 

control and you operate them to develop 

products, assess production methods, or 

promote your engines/equipment in the 

marketplace. You may not loan, lease, 

sell, or use the engine/equipment to 

generate revenue, either by itself or for 

an engine installed in a piece of 

equipment. Note that this paragraph (b) 

does not prevent the sale or shipment of 

a partially complete engine to a 

secondary engine manufacturer that will 

meet the requirements of this paragraph 

(b). See § 1068.262 for provisions related 

to shipping partially complete engines 

to secondary engine manufacturers. 

(c) To use this exemption, you must 

do three things: 

(1) Establish, maintain, and keep 

adequately organized and indexed 

information on all exempted engines/ 

equipment, including the engine/ 

equipment identification number, the 

use of the engine/equipment on exempt 

status, and the final disposition of any 

engine/equipment removed from 

exempt status. 

(2) Let us access these records, as 

described in § 1068.20. 

(3) Add a permanent label to all 

engines/equipment exempted under this 

section, consistent with § 1068.45, with 

at least the following items: 

(i) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your corporate name and 

trademark. 

(iii) Family identification and model 

year of the engine/equipment (as 

applicable), or whom to contact for 

further information. 

(iv) One of these statements (as 

applicable): 

(A) ‘‘THIS ENGINE IS EXEMPT 

UNDER 40 CFR 1068.210 OR 1068.215 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(B) ‘‘THIS EQUIPMENT IS EXEMPT 

UNDER 40 CFR 1068.210 OR 1068.215 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

§ 1068.220 What are the provisions for 

exempting display engines/equipment? 

(a) Anyone may request an exemption 

for display engines/equipment. 

(b) Nonconforming display engines/ 

equipment will be exempted if they are 

used only for displays in the interest of 

a business or the general public. This 

exemption does not apply to engines/ 

equipment displayed for private use, 

private collections, or any other purpose 

we determine is inappropriate for a 

display exemption. 

(c) You may operate the exempted 

engine/equipment, but only if we 

approve specific operation that is part of 

the display. 

(d) You may sell or lease the 

exempted engine/equipment only with 

our advance approval; you may not use 

it to generate revenue. 

(e) To use this exemption, you must 

add a permanent label to all engines/ 

equipment exempted under this section, 

consistent with § 1068.45, with at least 

the following items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) Engine displacement, family 

identification, and model year of the 

engine/equipment (as applicable), or 

whom to contact for further information. 

(4) One of these statements (as 

applicable): 

(i) ‘‘THIS ENGINE IS EXEMPT 

UNDER 40 CFR 1068.220 FROM 

EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(ii) ‘‘THIS EQUIPMENT 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/equipment for national 

security? 

(a) You are eligible for the exemption 

for national security only if you are a 

manufacturer. 

(b) Your engine/equipment is exempt 

without a request if it will be used or 

owned 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/ 

equipment 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. 

(d) Add a permanent label to all 

engines/equipment exempted under this 

section, consistent with § 1068.45, with 

at least the following items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

mstockstill on PROD1PC66 with RULES2

59358 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(2) Your corporate name and 

trademark. 

(3) Engine displacement, family 

identification, and model year of the 

engine/equipment (as applicable), or 

whom to contact for further information. 

(4) One of these statements (as 

applicable): 

(i) ‘‘THIS ENGINE HAS AN 

EXEMPTION FOR NATIONAL 

SECURITY UNDER 40 CFR 1068.225.’’ 

(ii) ‘‘THIS EQUIPMENT HAS AN 

EXEMPTION FOR NATIONAL 

SECURITY UNDER 40 CFR 1068.225.’’ 

§ 1068.230 What are the provisions for 

exempting engines/equipment for export? 

The provisions of this section apply 

differently depending on the country to 

which the engines/equipment are being 

exported. 

(a) We will not exempt new engines/ 

equipment if you export them to a 

country with emission standards 

identical to ours, in which case they 

must be covered by a certificate of 

conformity. Where we determine that 

such engines/equipment will not be 

placed into service in the United States, 

the following provisions apply for 

special export-only certification: 

(1) The engines/equipment must be 

covered by a certificate of conformity or 

equivalent approval issued by the 

destination country. 

(2) To get an export-only certificate of 

conformity, send the Designated 

Compliance Officer a request. We may 

require you to provide information such 

as documentation of the foreign 

certification and related test data. 

(3) No fees apply for export-only 

certification. 

(4) The engines/equipment must be 

labeled as specified in paragraph (d) of 

this section. 

(5) This export-only certificate is not 

considered a valid certificate of 

conformity with respect to the 

prohibition in § 1068.101(a)(1) for sale 

to ultimate purchasers in the United 

States. These engines/equipment also 

may not reenter the United States unless 

the regulations of this chapter otherwise 

allow it. 

(b) Engines/equipment exported to a 

country not covered by paragraph (a) of 

this section are exempt from the 

prohibited acts in this part without a 

request. If you produce exempt engines/ 

equipment for export and any of them 

are sold or offered for sale to an ultimate 

purchaser in the United States, we will 

void the exemption for those engines/ 

equipment. 

(c) Except as specified in paragraph 

(d) of this section, label exempted 

engines/equipment (including shipping 

containers if the label on the engine/ 

equipment will be obscured by the 

container) with a label showing that 

they are not certified for sale or use in 

the United States. This label may be 

permanent or removable. See § 1068.45 

for provisions related to the use of 

removable labels and applying labels to 

containers without labeling individual 

engines/equipment. The label must 

include your corporate name and 

trademark and one of the following 

statements (as applicable): 

(1) ‘‘THIS ENGINE IS SOLELY FOR 

EXPORT AND IS THEREFORE EXEMPT 

UNDER 40 CFR 1068.230 FROM U.S. 

EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(2) ‘‘THIS EQUIPMENT IS SOLELY 

FOR EXPORT AND IS THEREFORE 

EXEMPT UNDER 40 CFR 1068.230 

FROM U.S. EMISSION STANDARDS 

AND RELATED REQUIREMENTS.’’ 

(d) You must apply a permanent label 

as specified in this paragraph (d) for 

engines/equipment certified under 

paragraph (a) of this section. You may 

apply a permanent label as specified in 

this paragraph (d) instead of the label 

specified in paragraph (c) of this section 

for exempted engines/equipment. Add a 

permanent label meeting the 

requirements of the destination country 

and include in the bill of lading a 

statement that the engines/equipment 

must be exported to avoid violating EPA 

regulations. We may modify applicable 

labeling requirements to align with the 

labeling requirements that apply for the 

destination country. 

(e) We may set other reasonable 

conditions to ensure that engines/ 

equipment exempted under this section 

are not placed into service in the United 

States. 

(f) Exemptions under this section 

expire once engines are no longer in the 

United States. Therefore exemptions 

under this section do not allow engines 

to be imported back into the United 

States. 

§ 1068.235 What are the provisions for 

exempting engines/equipment used solely 

for competition? 

(a) New engines/equipment you 

produce that are used solely for 

competition are generally excluded from 

emission standards. See the standardsetting parts for specific provisions 

where applicable. 

(b) If you modify any engines/ 

equipment after they have been placed 

into service in the United States so they 

will be used solely for competition, they 

are exempt without request. This 

exemption applies only to the 

prohibition in § 1068.101(b)(1) and is 

valid only as long as the engine/ 

equipment is used solely for 

competition. You may not use the 

provisions of this paragraph (b) to 

circumvent the requirements that apply 

to the sale of new competition engines 

under the standard-setting part. 

(c) If you modify any engines/ 

equipment under paragraph (b) of this 

section, you must destroy the original 

emission labels. If you loan, lease, sell, 

or give any of these engines/equipment 

to someone else, you must tell the new 

owner (or operator, if applicable) in 

writing that they may be used only for 

competition. 

§ 1068.240 What are the provisions for 

exempting new replacement engines? 

The prohibitions in § 1068.101(a)(1) 

do not apply to a new engine if it is 

exempt under this section as a 

replacement engine. For purposes of 

this section, a replacement engine is a 

new engine that is used to replace an 

engine that has already been placed into 

service (whether the previous engine is 

replaced in whole or in part with a new 

engine). 

(a) General provisions. You are 

eligible for the exemption for new 

replacement engines only if you are a 

certificate holder. Note that this 

exemption does not apply for 

locomotives (40 CFR 1033.601) and that 

unique provisions apply to marine 

compression-ignition engines (40 CFR 

1042.615). Paragraphs (b) and (c) 

describe two different approaches for 

exempting new replacement engines 

where the engines are specially built to 

correspond to an earlier model year that 

was subject to less stringent standards 

than those that apply for current 

production (or is no longer covered by 

a certificate of conformity). Paragraphs 

(d) and (e) describe a simpler approach 

for exempting partially complete new 

replacement engines that are built under 

a certificate of conformity that is valid 

for producing engines for the current 

model year. 

(b) Previous-tier replacement engines 

with tracking. You may produce any 

number of new replacement engines 

under this section if all the following 

conditions are true: 

(1) You produce a new engine to 

replace an engine already placed into 

service in a piece of equipment. 

(2) The engine being replaced was not 

originally subject to emission standards 

or was originally subject to less 

stringent emission standards than those 

that would otherwise apply to the new 

engine. The provisions of this paragraph 

(b) also apply for engines that were 

originally certified to the same 

standards that apply for the current 

model year if you no longer have a 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59359 

certificate of conformity to continue 

producing that engine configuration. 

(3) You determine that you do not 

produce an engine certified to meet 

current requirements that has the 

appropriate physical or performance 

characteristics to repower the 

equipment. If the engine being replaced 

was made by a different company, you 

must make this determination also for 

engines produced by this other 

company. You must keep records to 

document your basis for making this 

determination. 

(4) You or your agent takes possession 

of the old engine or confirms that the 

old engine has been destroyed. 

(5) If the old engine was subject to 

emission standards, you must make the 

new replacement engine in a 

configuration identical in all material 

respects to the old engine and meet the 

requirements of § 1068.265. You may 

alternatively make the new replacement 

engine in a configuration identical in all 

material respects to another certified 

engine of the same or later model year 

as long as the engine is not certified 

with a family emission limit higher than 

that of the old engine. 

(6) You add a permanent label, 

consistent with § 1068.45, with your 

corporate name and trademark and the 

following additional information: 

(i) Add the following statement if the 

engine being replaced was not subject to 

any emission standards under this 

chapter: 

THIS ENGINE DOES NOT COMPLY 

WITH U.S. EPA NONROAD EMISSION 

REQUIREMENTS. SELLING OR 

INSTALLING THIS ENGINE FOR ANY 

PURPOSE OTHER THAN TO REPLACE 

A NONROAD ENGINE BUILT BEFORE 

JANUARY 1, [Insert appropriate year 

reflecting when the earliest tier of 

standards began to apply to engines of 

that size and type] MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY. 

(ii) Add the following statement if the 

engine being replaced was subject to 

emission standards: 

THIS ENGINE COMPLIES WITH U.S. 

EPA NONROAD EMISSION 

REQUIREMENTS FOR [Identify the 

appropriate emission standards (by 

model year, tier, or emission levels) for 

the replaced engine] ENGINES UNDER 

40 CFR 1068.240. SELLING OR 

INSTALLING THIS ENGINE FOR ANY 

PURPOSE OTHER THAN TO REPLACE 

A [Identify the appropriate emission 

standards for the replaced engine, by 

model year(s), tier(s), or emission 

levels)] ENGINE MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY. 

(c) Previous-tier replacement engines 

without tracking. You may produce a 

limited number of new replacement 

engines that are not from a currently 

certified engine family under the 

provisions of this paragraph (c). This 

would apply, for example, for engine 

configurations that were certified in an 

earlier model year but are no longer 

covered by a certificate of conformity. 

You must comply with the requirements 

of paragraph (b) of this section for any 

number of replacement engines you 

produce in excess of what we allow 

under this paragraph (c). The following 

provisions apply to engines exempted 

under this paragraph (c): 

(1) You may produce a limited 

number of replacement engines under 

this paragraph (c) representing 0.5 

percent of your annual production 

volumes for each category and 

subcategory of engines identified in 

Table 1 to this section (1.0 percent 

through 2013). Calculate this number by 

multiplying your annual U.S.-directed 

production volume by 0.005 (or 0.01 

through 2013) and rounding to the 

nearest whole number. Determine the 

appropriate production volume by 

identifying the highest total annual 

U.S.-directed production volume of 

engines from the previous three model 

years for all your certified engines from 

each category or subcategory identified 

in Table 1 to this section, as applicable. 

In unusual circumstances, you may ask 

us to base your production limits on 

U.S.-directed production volume for a 

model year more than three years prior. 

Include only those stationary engines 

from your U.S.-directed production 

volume that are certified under one of 

the standard-setting parts identified in 

Table 1 to this section. Do not include 

any exempted engines you produce as 

part of your U.S.-directed production 

volume, even if those engines must meet 

emission standards as a condition of the 

exemption. Include U.S.-directed 

engines produced by any parent or 

subsidiary companies and those from 

any other companies you license to 

produce engines for you. 

(2) Count every exempted new 

replacement engine from your total 

U.S.-directed production volume that 

you produce in a given calendar year 

under this paragraph (c), including 

partially complete engines, except for 

the following: 

(i) Engines built to specifications for 

an earlier model year under paragraph 

(b) of this section. 

(ii) Partially complete engines 

exempted under paragraph (d) or (e) of 

this section. 

(3) Send the Designated Compliance 

Officer a report by February 15 of the 

year following any year in which you 

produced exempted replacement 

engines under this paragraph (c). In 

your report include the total number of 

replacement engines you produce under 

this paragraph (c) for each category or 

subcategory, as appropriate, and the 

corresponding total production volumes 

determined under paragraph (c)(1) of 

this section. If you send us a report 

under this paragraph (c)(3), you must 

also include the total number of 

replacement engines you produced 

under paragraphs (b), (d), and (e) of this 

section. You may include this 

information in production reports 

required under the standard-setting part. 

(4) Add a permanent label as specified 

in paragraph (b)(6) of this section. For 

partially complete engines, you may 

alternatively add a permanent or 

removable label as specified in 

paragraph (d) of this section, except that 

the appropriate regulatory cite is 40 CFR 

1068.240(c). 

(5) You may not use the provisions of 

this paragraph (c) for any engines in the 

following engine categories or 

subcategories: 

(i) Land-based nonroad compressionignition engines we regulate under 40 

CFR part 1039 with a per-cylinder 

displacement at or above 7.0 liters. 

(ii) Marine compression-ignition 

engines we regulate under 40 CFR part 

1042 with a per-cylinder displacement 

at or above 7.0 liters. 

(iii) Locomotive engines we regulate 

under 40 CFR part 1033. 

(d) Current-tier replacement engines 

for engine-based standards. You may 

introduce into U.S. commerce short 

blocks or other partially complete 

engines from a currently certified engine 

family as replacement components for 

in-use equipment powered by engines 

you originally produced. You must be 

able to identify all the engine models 

and model years for which the partially 

complete engine may properly be used 

for replacement purposes. You must 

label the engine as follows: 

(1) If you have a reasonable basis to 

believe that the fully assembled engine 

will include the original emission 

control information label, you may add 

a removable label to the engine with 

your corporate name and trademark and 

the statement: ‘‘This replacement engine 

is exempt under 40 CFR 1068.240(d).’’ 

This would generally apply if all the 

engine models that are compatible with 

the replacement engine were covered by 

a certificate of conformity and they were 

labeled in a position on the engine or 

equipment that is not included as part 

of the partially complete engine being 

shipped for replacement purposes. 

mstockstill on PROD1PC66 with RULES2

59360 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

Removable labels must meet the 

requirements specified in § 1068.45. 

(2) If you do not qualify for using a 

removable label in paragraph (d)(1) of 

this section, you must add a permanent 

label in a readily visible location, 

though it may be obscured after 

installation in a piece of equipment. 

Include on the permanent label your 

corporate name and trademark, the 

engine’s part number (or other 

identifying information), and the 

statement: ‘‘This replacement engine is 

exempt under 40 CFR 1068.240(d).’’ If 

there is not enough space for this 

statement, you may alternatively add: 

‘‘REPLACEMENT’’ or ‘‘SERVICE 

ENGINE’’. For purposes of this 

paragraph (d)(2), engine part numbers 

permanently stamped or engraved on 

the engine are considered to be included 

on the label. 

(e) Current-tier replacement engines 

for equipment-based standards. In the 

case of equipment subject to equipmentbased standards, you may introduce into 

U.S. commerce engines that are 

identical to engines covered by a current 

certificate of conformity demonstrating 

compliance with currently applicable 

standards where the engines will be 

installed as replacement engines. These 

engines might be fully assembled, but 

we would consider them to be partially 

complete engines because they are not 

yet installed in the equipment. You 

must be able to identify all the engine 

and equipment models and model years 

for which such an engine may properly 

be used for replacement purposes. Add 

a permanent or removable label to these 

engines as described in paragraph (d) of 

this section, except that the appropriate 

regulatory cite is 40 CFR 1068.240(e). 

(f) Emission credits. Replacement 

engines exempted under this section 

may not generate or use emission credits 

under the standard-setting part nor be 

part of any associated credit 

calculations. 

(g) Circumvention. The provisions of 

this section may not be used to 

circumvent emission standards that 

apply to new engines under the 

standard-setting part. 

(1) The provisions of this section are 

intended to allow for replacement of 

engines that fail prematurely if none of 

the following is true: 

(i) The engine can reasonably be 

repaired or rebuilt. 

(ii) A different used engine (including 

rebuilt engines) can be used, consistent 

with applicable regulations. Note that 

the regulations limit the use of used 

engines from certain categories, such as 

converting land-based engines for use in 

marine vessels. 

(iii) A new certified engine is 

available with the appropriate physical 

and performance characteristics. 

(2) Anyone installing an exempted 

new replacement engine is deemed to be 

a manufacturer of a new engine with 

respect to the prohibitions of 

§ 1068.101(a)(1). This applies to all 

engines exempted under this section. 

(3) The stockpiling restrictions 

specified in § 1068.103(f) do not apply 

for engines that will be introduced into 

U.S. commerce only as allowed by this 

section. The model year restrictions 

specified in § 1068.103(f) do not apply 

for engines produced under paragraphs 

(d) and (e) of this section if you can 

demonstrate that the engines will be 

used only as replacement engines. 

TABLE 1 TO § 1068.240—ENGINE CATEGORIES AND SUBCATEGORIES FOR STREAMLINED COMPLIANCE PROVISIONS FOR

NEW REPLACEMENT ENGINES

Engine category Standard-setting part 1 Engine subcategories 

Highway CI ....................................................................... 40 CFR part 86 ................................................................ disp. < 0.6 L/cyl 

0.6 ≤ disp. < 1.2 L/cyl 

disp. ≥ 1.2 L/cyl 

Nonroad CI, Stationary CI, and Marine CI ....................... 40 CFR part 1039, or 40 CFR part 1042 ........................ disp. < 0.6 L/cyl 

0.6 ≤ disp. < 1.2 L/cyl 

1.2 ≤ disp. < 2.5 L/cyl 

2.5 ≤ disp. < 7.0 L/cyl 

Marine SI .......................................................................... 40 CFR part 1045 ............................................................ outboard. 

personal watercraft. 

Large SI, Stationary SI, and Marine SI (sterndrive/ inboard only).40 CFR part 1048 or 40 CFR part 1045 ......................... all engines. 

Recreational vehicles ....................................................... 40 CFR part 1051 ............................................................ off-highway motorcycle. 

all-terrain vehicle. 

snowmobile. 

Small SI and Stationary SI ............................................... 40 CFR part 1054 ............................................................ handheld. 

Class I. 

Class II. 

1 Include an engine as being subject to the identified standard-setting part if it will eventually be subject to emission standards under that part. 

For example, if you certify marine compression-ignition engines under part 94, count those as if they were already subject to part 1042. 

§ 1068.245 What temporary provisions 

address hardship due to unusual 

circumstances? 

(a) After considering the 

circumstances, we may permit you to 

introduce into U.S. commerce engines/ 

equipment that do not comply with 

emission-related requirements for a 

limited time if all the following 

conditions apply: 

(1) Unusual circumstances that are 

clearly outside your control 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. 

(3) No other allowances are available 

under the regulations in this chapter to 

avoid the impending violation, 

including the provisions of § 1068.250. 

(4) Not having the exemption will 

jeopardize the solvency of your 

company. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59361 

(b) If your unusual circumstances are 

only related to compliance with the 

model-year provisions of § 1068.103(f), 

we may grant hardship under this 

section without a demonstration that the 

solvency of your company is in jeopardy 

as follows: 

(1) You must demonstrate that the 

conditions specified in paragraphs (a)(1) 

through (3) of this section apply. 

(2) Your engines/equipment must 

comply with standards and other 

requirements that would have applied if 

assembly were completed on schedule. 

(3) You may generally request this 

exemption only for engines/equipment 

for which assembly has been 

substantially completed; you may not 

begin assembly of any additional 

engines/equipment under this 

exemption after the cause for delay has 

occurred. We may make an exception to 

this general restriction for secondary 

engine manufacturers. 

(4) As an example, if your normal 

production process involves purchase of 

partially complete engines and a 

supplier fails to deliver all the ordered 

engines in time for your assembly 

according to your previously established 

schedule as a result of a fire at its 

factory, you may request that we treat 

those engine as if they had been 

completed on the original schedule. 

Note that we would grant relief only for 

those engines where you had a 

reasonable basis for expecting the 

engines to be delivered on time based 

on past performance and terms of 

purchase. 

(c) To apply for an exemption, you 

must send the Designated Compliance 

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. 

(d) Include in your request a plan 

showing how you will meet all the 

applicable requirements as quickly as 

possible. 

(e) You must give us other relevant 

information if we ask for it. 

(f) 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 standards from the 

previous tier whether or not your 

hardship is granted under paragraph (b) 

of this section. 

(g) Add a permanent label to all 

engines/equipment exempted under this 

section, consistent with § 1068.45, with 

at least the following items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) Engine displacement (in liters or 

cubic centimeters), and model year of 

the engine/equipment, (as applicable); 

or whom to contact for further 

information. We may also require that 

you include maximum engine power. 

(4) A statement describing the 

engine’s status as an exempted engine: 

(i) If the engine/equipment does not 

meet any emission standards, add one of 

the following statements: 

(A) ‘‘THIS ENGINE IS EXEMPT 

UNDER 40 CFR 1068.245 FROM 

EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(B) ‘‘THIS EQUIPMENT IS EXEMPT 

UNDER 40 CFR 1068.245 FROM 

EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(ii) If the engines/equipment meet 

alternate emission standards as a 

condition of an exemption under this 

section, we may specify a different 

statement to identify the alternate 

emission standards. 

§ 1068.250 What are the provisions for 

extending compliance deadlines for small 

businesses 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) You must be a small business to 

be eligible for this exemption. 

(c) Send the Designated Compliance 

Officer a written request for an 

extension. 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/ 

equipment 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 status, 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 those 

you 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/equipment 

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 may approve extensions of the 

compliance deadlines as reasonable 

under the circumstances up to one 

model year at a time, and up to three 

years total. 

(k) Add a permanent label to all 

engines/equipment exempted under this 

section, consistent with § 1068.45, with 

at least the following items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) Engine displacement (in liters or 

cubic centimeters), and model year of 

the engine/equipment (as applicable); or 

mstockstill on PROD1PC66 with RULES2

59362 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

whom to contact for further information. 

We may also require that you include 

maximum engine power. 

(4) A statement describing the 

engine’s status as an exempted engine: 

(i) If the engine/equipment does not 

meet any emission standards, add one of 

the following statements: 

(A) ‘‘THIS ENGINE IS EXEMPT 

UNDER 40 CFR 1068.250 FROM 

EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(B) ‘‘THIS EQUIPMENT IS EXEMPT 

UNDER 40 CFR 1068.250 FROM 

EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ 

(ii) If the engine/equipment meets 

alternate emission standards as a 

condition of an exemption under this 

section, we may specify a different 

statement to identify the alternate 

emission standards. 

§ 1068.255 What are the provisions for 

exempting engines and fuel-system 

components for hardship for equipment 

manufacturers and secondary engine 

manufacturers? 

This section describes how, in 

unusual circumstances, we may approve 

an exemption to prevent hardship to an 

equipment manufacturer or a secondary 

engine manufacturer. This section does 

not apply to products that are subject to 

equipment-based exhaust 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 Compliance 

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 or fuel-system 

components you need for your own 

equipment, or if complying engines or 

fuel-system components are available 

from other manufacturers that could be 

used in your equipment, unless we 

allow it elsewhere in this chapter. We 

may impose other conditions, including 

provisions to use products meeting less 

stringent emission standards or 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 or fuelsystem components involved. 

(2) The size of your company and 

your ability to endure the hardship. 

(3) The amount of time you had to 

redesign your equipment to 

accommodate complying products. 

(4) Whether there was any breach of 

contract by a supplier. 

(5) The potential for market 

disruption. 

(b) Engine and fuel-system component 

exemption. As an engine manufacturer 

or fuel-system component manufacturer, 

you may produce nonconforming 

products for the equipment we exempt 

in paragraph (a) of this section. You do 

not have to request this exemption but 

you must have written assurance from 

equipment manufacturers that they need 

a certain number of exempted products 

under this section. Label engines or 

fuel-system components as follows, 

consistent with § 1068.45: 

(1) Engines. Add a permanent label to 

all engines/equipment exempted under 

this section with at least the following 

items: 

(i) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(ii) Your corporate name and 

trademark. 

(iii) Engine displacement (in liters or 

cubic centimeters) and model year of 

the engine, or whom to contact for 

further information. We may also 

require that you include maximum 

engine power. 

(iv) If the engine does not meet any 

emission standards: ‘‘THIS ENGINE IS 

EXEMPT UNDER 40 CFR 1068.255 

FROM EMISSION STANDARDS AND 

RELATED REQUIREMENTS.’’ If the 

engine meets alternate emission 

standards as a condition of an 

exemption under this section, we may 

specify a different statement to identify 

the alternate emission standards. 

(2) Fuel-system components. Add a 

permanent label to all engines/ 

equipment exempted under this section 

with at least the following items: 

(i) Your corporate name and 

trademark. 

(ii) The statement ‘‘EXEMPT UNDER 

40 CFR 1068.255’’. 

(c) Secondary engine manufacturers. 

As a secondary engine manufacturer, 

you may ask for approval to produce 

exempted engines under this section for 

up to 12 months. We may require you 

to certify your engines to compliance 

levels above the emission standards that 

apply. For example, in the case of 

multiple tiers of emission standards, we 

may require you to meet the standards 

from the previous tier. 

(1) 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 

approve an exemption under this 

section, we will generally require that 

you 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. 

(2) 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. 

§ 1068.260 What general provisions apply 

for selling or shipping engines that are not 

yet in their certified configuration? 

Except as specified in paragraph (e) of 

this section, all new engines in the 

United States are presumed to be subject 

to the prohibitions of § 1068.101, which 

generally require that all new engines be 

in a certified configuration before being 

introduced into U.S. commerce. All 

emission-related components generally 

need to be installed on an engine for 

such an engine to be in its certified 

configuration. This section specifies 

clarifications and exemptions related to 

these requirements for engines. Except 

for paragraph (c) of this section, the 

provisions of this section generally 

apply for engine-based standards but 

not for equipment-based standards. 

(a) You may ship engines with 

emission-related components that are 

not yet assembled to the engine in 

circumstances where the final assembly 

depends on equipment design 

parameters and shipment of the fully 

assembled engine is impractical. For 

example, you may generally ship 

aftertreatment devices along with 

engines rather than installing them on 

the engine before shipment. You do not 

need an exemption to ship an engine 

under this paragraph (a) but we may 

require you to describe how you plan to 

use this provision in your application 

for certification. 

(b) You do not need an exemption to 

ship engines without specific 

components if they are not emissionrelated components identified in 

Appendix I of this part. For example, 

you may generally ship engines without 

radiators needed to cool the engine. You 

may ask us at the time of certification 

to allow you to ship your engines 

without other equipment-related 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59363 

components (such as a vehicle speed 

sensor) that are described in your 

application for certification. If we allow 

it, we may specify conditions that we 

determine are needed to ensure that 

shipping the engine without such 

components will not result in the engine 

being operated outside of its certified 

configuration. 

(c) If you are a certificate holder, you 

may ask us to provide a temporary 

exemption to allow you to ship or 

transport partially complete engines 

between two of your facilities as long as 

you maintain ownership and control of 

the engines until they reach their 

destination. We may also allow this 

where you do not maintain actual 

ownership and control of the engines 

(such as hiring a shipping company to 

transport the engines) but only if you 

demonstrate that the engines will be 

transported only according to your 

specifications. See § 1068.261(b) for the 

provisions that apply instead of this 

paragraph (c) for the special case of 

integrated manufacturers using the 

delegated-assembly exemption. Send 

your request for this exemption to the 

Designated Compliance Officer in your 

application for certification, if 

applicable; in this case, your exemption 

is approved when we grant your 

certificate. You may send your request 

in a separate submission if you will not 

be the certificate holder for the engines 

in question. We may require you to take 

specific steps to ensure that such 

engines are in a certified configuration 

before reaching the ultimate purchaser. 

Note that since this is a temporary 

exemption, it does not allow you to sell 

or otherwise distribute to ultimate 

purchasers an engine in an uncertified 

configuration. Note also that the 

exempted engine remains new and 

subject to emission standards (see 

definition of ‘‘exempted’’ in § 1068.30) 

until its title is transferred to the 

ultimate purchaser or it otherwise 

ceases to be new. 

(d) See § 1068.261 for delegatedassembly provisions in which 

certificate-holding manufacturers 

introduce into U.S. commerce engines 

that are not yet equipped with certain 

emission-related components. See 

§ 1068.262 for provisions related to 

manufacturers introducing into U.S. 

commerce partially complete engines 

for which a secondary engine 

manufacturer holds the certificate of 

conformity. 

(e) Engines used in hobby vehicles are 

not presumed to be engines subject to 

the prohibitions of § 1068.101. Hobby 

vehicles are reduced-scale models of 

vehicles that are not capable of 

transporting a person. Other engines 

that do not have a valid certificate of 

conformity or exemption when 

introduced into U.S. commerce are 

presumed to be engines subject to the 

prohibitions of § 1068.101 unless we 

determine that such engines are 

excluded from the prohibitions of 

§ 1068.101. 

(f) While we presume that new 

nonhobby engines are subject to the 

prohibitions of § 1068.101, we may 

determine that a specific engine is not 

subject to these prohibitions based on 

information you provide or other 

information that is available to us. For 

example, the provisions of this part 

1068 and the standard-setting parts 

provide for exemptions in certain 

circumstances. Also, some engines are 

subject to separate prohibitions under 

subchapter C instead of the prohibitions 

of § 1068.101 (see for example, 40 CFR 

89.1003). 

§ 1068.261 What provisions apply for 

selling or shipping certified engines that are 

not yet in the certified configuration? 

This section describes an exemption 

that allows certificate holders to sell or 

ship engines that are missing certain 

emission-related components if those 

components will be installed by an 

equipment manufacturer. This section 

does not apply to equipment subject to 

equipment-based standards. See the 

standard-setting part to determine 

whether and how the provisions of this 

section apply. (Note: See § 1068.262 for 

provisions related to manufacturers 

introducing into U.S. commerce 

partially complete engines for which 

someone else holds the certificate of 

conformity.) This exemption is 

temporary as described in paragraph (f) 

of this section. 

(a) Shipping an engine separately 

from an aftertreatment component that 

you have specified as part of its certified 

configuration will not be a violation of 

the prohibitions in § 1068.101(a)(1) 

subject to the provisions in this section. 

(b) If you manufacture engines and 

install them in equipment you also 

produce, you must take steps to ensure 

that your facilities, procedures, and 

production records are set up to ensure 

that equipment and engines are 

assembled in their proper certified 

configurations. For example, you may 

demonstrate compliance with the 

requirements of this section by 

maintaining a database showing how 

you pair aftertreatment components 

with the appropriate engines such that 

the final product is in its certified 

configuration. 

(c) If you include the price of all 

aftertreatment components in the price 

of the engine and ship the aftertreatment 

components directly to the equipment 

manufacturer, or arrange for separate 

shipment by the component 

manufacturer to the equipment 

manufacturer, all the following 

conditions apply: 

(1) Apply for and receive a certificate 

of conformity for the engine and its 

emission control system before 

shipment as described in the standardsetting part. For an existing certificate of 

conformity, amend the application for 

certification by describing your plans to 

use the provisions of this section as 

described in paragraph (c)(8) of this 

section. 

(2) Provide installation instructions in 

enough detail to ensure that the engine 

will be in its certified configuration if 

someone follows these instructions. 

Provide the installation instructions in a 

timely manner, generally directly after 

you receive an order for shipping 

engines or earlier. If you apply 

removable labels as described in 

paragraph (c)(7)(i) of this section, 

include an instruction for the 

equipment manufacturer to remove the 

label after installing the appropriate 

aftertreatment component. 

(3) Have a contractual agreement with 

the equipment manufacturer obligating 

the equipment manufacturer to 

complete the final assembly of the 

engine so it is in its certified 

configuration when final assembly is 

complete. This agreement must also 

obligate the equipment manufacturer to 

provide the affidavits required under 

paragraph (c)(4) of this section. 

(4) Take appropriate additional steps 

to ensure that all engines will be in a 

certified configuration when installed 

by the equipment manufacturer. At a 

minimum, you must obtain annual 

affidavits from every equipment 

manufacturer to which you sell engines 

under this section. Include engines that 

you sell to distributors or dealers. The 

affidavits must list the part numbers of 

the aftertreatment devices that 

equipment manufacturers install on 

each engine they purchase from you 

under this section and include 

confirmation that the number of 

aftertreatment devices received were 

sufficient for the number of engines 

involved. 

(5) Describe in your application for 

certification how you plan to use the 

provisions of this section and any steps 

you plan to take under paragraph(c)(4) 

of this section. 

(6) Keep records to document how 

many engines you produce under this 

exemption. Also, keep records to 

document your contractual agreements 

under paragraph (c)(3) of this section. 

Keep all these records for five years after 

mstockstill on PROD1PC66 with RULES2

59364 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

the end of the applicable model year 

and make them available to us upon 

request. 

(7) Make sure the engine has the 

emission control information label we 

require under the standard-setting part. 

Include additional labeling using one of 

the following approaches: 

(i) Apply an additional removable 

label in a way that makes it unlikely 

that the engine will be installed in 

equipment other than in its certified 

configuration. The label must identify 

the engine as incomplete and include a 

clear statement that failing to install the 

aftertreatment device, or otherwise 

failing to bring the engine into its 

certified configuration, is a violation of 

federal law subject to civil penalty. 

(ii) Add the statement ‘‘DELEGATED 

ASSEMBLY’’ to the permanent emission 

control information label. You may 

alternatively add the abbreviated 

statement ‘‘DEL ASSY’’ if there is not 

enough room on the label. 

(8) Describe the following things in 

your application for certification: 

(i) How you plan to use the provisions 

of this section. 

(ii) A detailed plan for auditing 

equipment manufacturers, as described 

in paragraph (d)(3) of this section, if 

applicable. 

(iii) All other steps you plan to take 

under paragraph (c)(4) of this section. 

(9) If one of your engines produced 

under this section is selected for 

production-line testing or a selective 

enforcement audit, you must arrange to 

get a randomly selected aftertreatment 

component from either the equipment 

manufacturer or the equipment 

manufacturer’s supplier. You may keep 

an inventory of these randomly selected 

parts, consistent with good engineering 

judgment and the intent of this section. 

You may obtain such aftertreatment 

components from any point in the 

normal distribution from the 

aftertreatment component manufacturer 

to the equipment manufacturer. Keep 

records describing how you randomly 

selected these aftertreatment 

components, consistent with the 

requirements specified in the standardsetting part. 

(10) Note that for purposes of 

importation, you may itemize your 

invoice to identify separate costs for 

engines and aftertreatment components 

that will be shipped separately. A copy 

of your invoice from the aftertreatment 

manufacturer may be needed to avoid 

payment of importation duties for the 

engine that also include the value of 

aftertreatment components. 

(d) If you do not include the price of 

all aftertreatment components in the 

price of the engine, you must meet all 

the conditions described in paragraphs 

(c)(1) through (9) of this section, with 

the following additional provisions: 

(1) The contractual agreement 

described in paragraph (c)(3) of this 

section must include a commitment that 

the equipment manufacturer will do the 

following things: 

(i) Purchase the aftertreatment 

components you have specified in your 

application for certification and keep 

records to document these purchases. 

(ii) Cooperate with the audits 

described in paragraph (d)(3) of this 

section. 

(2) You must have written 

confirmation that the equipment 

manufacturer has ordered the 

appropriate type of aftertreatment 

components for an initial shipment of 

engines under this section. For the 

purpose of this paragraph (d)(2), initial 

shipment means the first shipment of 

engines that are subject to new or more 

stringent emissions standard (or the first 

shipment of engines using the 

provisions of this section) to a given 

equipment manufacturer for a given 

engine family. For the purpose of this 

paragraph (d)(2), you may treat as a 

single engine family those engine 

families from different model years that 

differ only with respect to model year or 

other characteristics unrelated to 

emissions. You must receive the written 

confirmation within 30 days after 

shipment. If you do not receive written 

confirmation within 30 days, you may 

not ship any more engines from that 

engine family to that equipment 

manufacturer until you have the written 

confirmation. Note that it may be 

appropriate to obtain subsequent 

written confirmations to ensure 

compliance with this section, as 

described in paragraph (c)(4) of this 

section. 

(3) You must perform or arrange for 

audits of equipment manufacturers as 

follows: 

(i) If you sell engines to 16 or more 

equipment manufacturers under the 

provisions of this section, you must 

annually perform or arrange for audits 

of four equipment manufacturers to 

whom you sell engines under this 

section. To select individual equipment 

manufacturers, divide all the affected 

equipment manufacturers into quartiles 

based on the number of engines they 

buy from you; select a single equipment 

manufacturer from each quartile each 

model year. Vary the equipment 

manufacturers selected for auditing 

from year to year, though you may 

repeat an audit in a later model year if 

you find or suspect that a particular 

equipment manufacturer is not properly 

installing aftertreatment devices. 

(ii) If you sell engines to fewer than 

16 equipment manufacturers under the 

provisions of this section, set up a plan 

to perform or arrange for audits of each 

equipment manufacturer on average 

once every four model years. 

(iii) Starting with the 2019 model 

year, if you sell engines to fewer than 40 

equipment manufacturers under the 

provisions of this section, you may ask 

us to approve a reduced auditing rate. 

We may approve an alternate plan that 

involves audits of each equipment 

manufacturer on average once every ten 

model years as long as you show that 

you have met the auditing requirements 

in preceding years without finding 

noncompliance or improper procedures. 

(iv) To meet these audit requirements, 

you or your agent must at a minimum 

inspect the assembling companies’ 

procedures and production records to 

monitor their compliance with your 

instructions, investigate some 

assembled engines, and confirm that the 

number of aftertreatment devices 

shipped were sufficient for the number 

of engines produced. 

(v) You must keep records of these 

audits for five years after the end of the 

applicable model year. 

(e) The following provisions apply if 

you ship engines without air filters or 

other portions of the air intake system 

that are specifically identified by part 

number (or other specific part reference) 

in the application for certification such 

that the shipped engine is not in its 

certified configuration. You do not need 

an exemption under this section to ship 

engines without air intake system 

components if you instead describe in 

your installation instructions how 

equipment manufacturers should use 

components meeting certain functional 

specifications. 

(1) If you are using the provisions of 

this section to ship an engine without 

aftertreatment, apply all the provisions 

of this section to ensure that each 

engine, including its intake system, is in 

its certified configuration before it 

reaches the ultimate purchaser. 

(2) If you are not using the provisions 

of this section to ship an engine without 

aftertreatment, shipping an engine 

without air-intake components that you 

have specified as part of its certified 

configuration will not be a violation of 

the prohibitions in § 1068.101(a) if you 

follow the provisions specified in 

paragraph (b) or paragraphs (c)(1) 

through (9) of this section. If we find 

there is a problem, we may require you 

to perform audits as specified in 

paragraph (d)(3) of this section. 

(f) Once the equipment manufacturer 

takes possession of an engine exempted 

under this section and the engine 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59365 

reaches the point of final equipment 

assembly, the exemption expires and 

the engine is subject to all the 

prohibitions in § 1068.101. Note that the 

engine’s model year does not change 

based on the date the equipment 

manufacturer adds the aftertreatment 

device and/or air filter under this 

section. 

(g) You may use the provisions of this 

section for engines you sell to a 

distributor as described in this 

paragraph (g) using one of the following 

approaches: 

(1) You may sell engines through a 

distributor if you comply with the 

provisions of paragraph (d) of this 

section with respect to the equipment 

manufacturer. 

(2) You may treat the distributor as 

the equipment manufacturer as 

described in this paragraph (g)(2) for all 

applicable requirements and 

prohibitions. Such distributors must 

bring engines into their final certified 

configuration. This may include 

shipping the engine with the 

appropriate aftertreatment device and/or 

air filter, but without completing the 

assembly with all the components. The 

exemptions expire for such engines 

when the distributor no longer has 

control of them. 

(h) You must notify us within 15 days 

if you find from an audit or another 

source that engines produced under this 

section are not in a certified 

configuration at the point of final 

assembly or that an equipment 

manufacturer has otherwise failed to 

meet its obligations under this section. 

If this occurs, send us a report 

describing the circumstances related to 

the noncompliance within 75 days after 

you notify us. 

(i) We may suspend, revoke, or void 

an exemption under this section, as 

follows: 

(1) We may suspend or revoke your 

exemption for a specific equipment 

manufacturer if any of the engines are 

not in a certified configuration after 

installation in that manufacturer’s 

equipment, or if we determine that the 

equipment manufacturer has otherwise 

failed to comply with the requirements 

of this section. We may also suspend or 

revoke your exemption for other engine 

families with respect to the equipment 

manufacturer unless you demonstrate 

that the noncompliance is limited to a 

specific engine family. You may not use 

this exemption for future shipments to 

the affected equipment manufacturer 

without taking action beyond the 

minimum steps specified in this section, 

such as performing on-site audits. We 

will approve further use of this 

exemption only if you convince us that 

you have adequately addressed the 

factors causing the noncompliance. 

(2) We may suspend or revoke your 

exemption for the entire engine family 

if we determine that you have failed to 

comply with the requirements of this 

section. If we make an adverse decision 

with respect to the exemption for any of 

your engine families under this 

paragraph (i), this exemption will not 

apply for future certificates unless you 

convince us that the factors causing the 

noncompliance do not apply to the 

other engine families. We may also set 

additional conditions beyond the 

provisions specified in this section. 

(3) We may void your exemption for 

the entire engine family if you 

intentionally submit false or incomplete 

information or fail to keep and provide 

to EPA the records required by this 

section. Note that all records and reports 

required under this section (whether 

generated by the engine manufacturer, 

equipment manufacturer, or others) are 

subject to the prohibition in 

§ 1068.101(a)(2), which prohibits the 

submission of false or incomplete 

information. For example, the affidavits 

required by this section are considered 

a submission. 

(j) You are liable for the in-use 

compliance of any engine that is exempt 

under this section. 

(k) It is a violation of § 1068.101(a)(1) 

for any person to introduce into U.S. 

commerce a previously exempted 

engine, including as part of a piece of 

equipment, without complying fully 

with the installation instructions. 

§ 1068.262 What are the provisions for 

temporarily exempting engines for 

shipment to secondary engine 

manufacturers? 

This section specifies when 

manufacturers may introduce into U.S. 

commerce partially complete engines 

that have an exemption or a certificate 

of conformity held by a secondary 

engine manufacturer and are not yet in 

a certified configuration. See the 

standard-setting part to determine 

whether and how the provisions of this 

section apply. (Note: See § 1068.261 for 

provisions related to manufacturers 

introducing into U.S. commerce 

partially complete engines for which 

they hold the certificate of conformity.) 

This exemption is temporary as 

described in paragraph (g) of this 

section. 

(a) The provisions of this section 

generally apply where the secondary 

engine manufacturer has substantial 

control over the design and assembly of 

emission controls. In determining 

whether a manufacturer has substantial 

control over the design and assembly of 

emission controls, we would consider 

the degree to which the secondary 

engine manufacturer would be able to 

ensure that the engine will conform to 

the regulations in its final configuration. 

Such secondary engine manufacturers 

may finish assembly of partially 

complete engines in the following cases: 

(1) You obtain an engine that is not 

fully assembled with the intent to 

manufacture a complete engine. 

(2) You obtain an engine with the 

intent to modify it before it reaches the 

ultimate purchaser. 

(3) You obtain an engine with the 

intent to install it in equipment that will 

be subject to equipment-based 

standards. 

(b) Manufacturers may introduce into 

U.S. commerce partially complete 

engines as described in this section if 

they have a written request for such 

engines from a secondary engine 

manufacturer that has certified the 

engine and will finish the engine 

assembly. The written request must 

include a statement that the secondary 

engine manufacturer has a certificate of 

conformity for the engine and identify a 

valid engine family name associated 

with each engine model ordered (or the 

basis for an exemption if applicable, as 

specified in paragraph (e) of this 

section). The original engine 

manufacturer must apply a removable 

label meeting the requirements of 

§ 1068.45 that identifies the corporate 

name of the original manufacturer and 

states that the engine is exempt under 

the provisions of § 1068.262. The name 

of the certifying manufacturer must also 

be on the label or, alternatively, on the 

bill of lading that accompanies the 

engines during shipment. The original 

engine manufacturer may not apply a 

permanent emission control information 

label identifying the engine’s eventual 

status as a certified engine. 

(c) The manufacturer that will hold 

the certificate must include the 

following information in its application 

for certification: 

(1) Identify the original engine 

manufacturer of the partially complete 

engine or of the complete engine you 

will modify. 

(2) Describe briefly how and where 

final assembly will be completed. 

Specify how you have the ability to 

ensure that the engines will conform to 

the regulations in their final 

configuration. (Note: Paragraph (a) of 

this section prohibits using the 

provisions of this section unless you 

have substantial control over the design 

and assembly of emission controls.) 

(3) State unconditionally that you will 

not distribute the engines without 

conforming to all applicable regulations. 

mstockstill on PROD1PC66 with RULES2

59366 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(d) If you are a certificate holder, you 

may receive shipment of partially 

complete engines after you apply for a 

certificate of conformity but before the 

certificate’s effective date. In this case, 

all the provisions of § 1068.103(c)(1) 

through (3) apply. This exemption 

allows the original manufacturer to ship 

engines after you have applied for a 

certificate of conformity. Manufacturers 

may introduce into U.S. commerce 

partially complete engines as described 

in this paragraph (d) if they have a 

written request for such engines from a 

secondary engine manufacturer stating 

that the application for certification has 

been submitted (instead of the 

information we specify in paragraph (b) 

of this section). We may set additional 

conditions under this paragraph (d) to 

prevent circumvention of regulatory 

requirements. Consistent with 

§ 1068.103(c), we may also revoke an 

exemption under this paragraph (d) if 

we have reason to believe that the 

application for certification will not be 

approved or that the engines will 

otherwise not reach a certified 

configuration before reaching the 

ultimate purchaser. This may require 

that you export the engines. 

(e) The provisions of this section also 

apply for shipping partially complete 

engines if the engine is covered by a 

valid exemption and there is no valid 

engine family name that could be used 

to represent the engine model. Unless 

we approve otherwise in advance, you 

may do this only when shipping engines 

to secondary engine manufacturers that 

are certificate holders. In this case, the 

secondary engine manufacturer must 

identify the regulatory cite identifying 

the applicable exemption instead of a 

valid engine family name when ordering 

engines from the original engine 

manufacturer. 

(f) If secondary engine manufacturers 

determine after receiving an engine 

under this section that the engine will 

not be covered by a certificate or 

exemption as planned, they may ask us 

to allow for shipment of the engines 

back to the original engine manufacturer 

or to another secondary engine 

manufacturer. This might occur in the 

case of an incorrect shipment or excess 

inventory. We may modify the 

provisions of this section as appropriate 

to address these cases. 

(g) Both original and secondary 

engine manufacturers must keep the 

records described in this section for at 

least five years, including the written 

request for engines and the bill of lading 

for each shipment (if applicable). The 

written request is deemed to be a 

submission to EPA and is thus subject 

to the reporting requirements of 40 CFR 

1068.101(a)(2). 

(h) These provisions are intended 

only to allow you to obtain or transport 

engines in the specific circumstances 

identified in this section so any 

exemption under this section expires 

when the engine reaches the point of 

final assembly identified in accordance 

paragraph (c)(2) of this section. 

(i) For purposes of this section, an 

allowance to introduce engines into U.S. 

commerce includes a conditional 

allowance to sell, introduce, or deliver 

such partially complete engines into 

commerce in the United States or 

import them into the United States. It 

does not include a general allowance to 

offer such partially complete engines for 

sale because this exemption is intended 

to apply only for cases in which the 

certificate holder already has an 

arrangement to purchase the engines 

from the original engine manufacturer. 

This exemption does not allow the 

original engine manufacturer to 

subsequently offer the engines for sale 

to a different manufacturer who will 

hold the certificate unless that second 

manufacturer has also complied with 

the requirements of this part. The 

exemption does not apply for any 

individual engines that are not labeled 

as specified in this section or which are 

shipped to someone who is not a 

certificate holder. 

(j) We may suspend, revoke, or void 

an exemption under this section, as 

follows: 

(1) We may suspend or revoke your 

exemption if you fail to meet the 

requirements of this section. We may 

suspend or revoke your exemption for a 

specific secondary engine manufacturer 

if that manufacturer sells engines that 

are in not in a certified configuration in 

violation of the regulations. We may 

disallow this exemption for future 

shipments to the affected secondary 

engine manufacturer or set additional 

conditions to ensure that engines will be 

assembled in the certified configuration. 

(2) We may void your exemption for 

all the affected engines if you 

intentionally submit false or incomplete 

information or fail to keep and provide 

to EPA the records required by this 

section. 

(3) The exemption is void for an 

engine that is shipped to a company that 

is not a certificate holder or for an 

engine that is shipped to a secondary 

engine manufacturer that is not in 

compliance with the requirements of 

this section. 

(k) No exemption is needed to import 

equipment that does not include an 

engine. No exemption is available under 

this section for equipment subject to 

equipment-based standards if the engine 

has been installed. 

§ 1068.265 What provisions apply to 

engines/equipment that are conditionally 

exempted from certification? 

In some cases, exempted engines may 

need to meet alternate emission 

standards as a condition of the 

exemption. For example, replacement 

engines exempted under § 1068.240 in 

many cases need to meet the same 

standards as the engines they are 

replacing. The standard-setting part may 

similarly exempt engines/equipment 

from all certification requirements, or 

allow us to exempt engines/equipment 

from all certification requirements for 

certain cases, but require the engines/ 

equipment to meet alternate standards. 

In these cases, all the following 

provisions apply: 

(a) Your engines/equipment must 

meet the alternate standards we specify 

in (or pursuant to) the exemption 

section, and all other requirements 

applicable to engines/equipment that 

are subject to such standards. 

(b) You need not apply for and receive 

a certificate for the exempt engines/ 

equipment. However, you must comply 

with all the requirements and 

obligations that would apply to the 

engines/equipment if you had received 

a certificate of conformity for them 

unless we specifically waive certain 

requirements. 

(c) You must have emission data from 

test engines/equipment using the 

appropriate procedures that 

demonstrate compliance with the 

alternate standards unless the engines/ 

equipment are identical in all material 

respects to engines/equipment that you 

have previously certified to standards 

that are the same as, or more stringent 

than, the alternate standards. Note that 

‘‘engines/equipment that you have 

previously certified’’ does not include 

any engines/equipment initially covered 

by a certificate that was later voided or 

otherwise invalidated, or engines/ 

equipment that we have determined did 

not fully conform to the regulations. 

(d) See the provisions of the 

applicable exemption for labeling 

instructions, including those related to 

the compliance statement and other 

modifications to the label otherwise 

required in the standard-setting part. If 

we do not identify specific labeling 

requirements for an exempted engine, 

you must meet the labeling 

requirements in the standard-setting 

part, with the following exceptions: 

(1) Modify the family designation by 

eliminating the character that identifies 

the model year. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59367 

(2) We may also specify alternative 

language to replace the compliance 

statement otherwise required in the 

standard-setting part. 

(e) You may not generate emission 

credits for averaging, banking, or trading 

with engines/equipment meeting 

requirements under the provisions of 

this section. 

(f) Keep records to show that you 

meet the alternate standards as follows: 

(1) If your exempted engines/ 

equipment are identical to previously 

certified engines/equipment, keep your 

most recent application for certification 

for the certified family. 

(2) If you previously certified a 

similar family, but have modified the 

exempted engines/equipment in a way 

that changes them from their previously 

certified configuration, keep your most 

recent application for certification for 

the certified family, a description of the 

relevant changes, and any test data or 

engineering evaluations that support 

your conclusions. 

(3) If you have not previously certified 

a similar family, keep all the records we 

specify for the application for 

certification and any additional records 

the standard-setting part requires you to 

keep. 

(g) We may require you to send us an 

annual report of the engines/equipment 

you produce under this section. 

Subpart D—Imports 

§ 1068.301 What general provisions apply? 

(a) This subpart applies to you if you 

import into the United States engines or 

equipment subject to EPA emission 

standards or equipment containing 

engines subject to EPA emission 

standards. 

(b) In general, engines/equipment 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/equipment. For equipment not 

subject to equipment-based exhaust 

emission standards, an exemption of the 

engine allows you to import the 

equipment. 

(c) U.S. Customs and Border 

Protection may prevent you from 

importing engines or equipment if you 

do not meet the requirements of this 

subpart. In addition, U.S. Customs and 

Border Protection regulations may 

contain other requirements for engines/ 

equipment imported into the United 

States (see 19 CFR Chapter I). 

(d) Complete the appropriate EPA 

declaration form before importing any 

engines or equipment. These forms are 

available on the Internet at http:// 

www.epa.gov/OTAQ/imports/ or by 

phone at 734–214–4100. Importers must 

keep the forms for five years and make 

them available promptly upon request. 

§ 1068.305 How do I get an exemption or 

exclusion for imported engines/equipment? 

(a) You must meet the requirements of 

the specific exemption or exclusion you 

intend to use, including any labeling 

requirements that apply, and complete 

the appropriate declaration form 

described in § 1068.301(d). 

(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/equipment 

owner’s name, address, telephone 

number, and taxpayer identification 

number. 

(3) Identify the make, model, 

identification number, and original 

production year of all engines/ 

equipment. 

(4) Identify which exemption or 

exclusion in this subpart allows you to 

import nonconforming engines/ 

equipment and describe how your 

engine/equipment qualifies. 

(5) Tell us where you will keep your 

engines/equipment if you might need to 

store them until we approve your 

request. 

(6) Authorize us to inspect or test 

your engines/equipment as the Clean 

Air Act allows. 

(c) We may ask for more information. 

(d) You may import the 

nonconforming engines/equipment you 

identify in your request if you get prior 

written approval from us. U.S. Customs 

and Border Protection may require you 

to present the approval letter. We may 

temporarily or permanently approve the 

exemptions or exclusions, as described 

in this subpart. 

§ 1068.310 What are the exclusions for 

imported engines/equipment? 

If you show us that your engines/ 

equipment qualify under one of the 

paragraphs of this section, we will 

approve your request to import such 

excluded engines/equipment. You must 

have our approval before importing 

engines/equipment under paragraph (a) 

of this section. You may, but are not 

required to request our approval to 

import the engines/equipment under 

paragraph (b) through (c) of this section. 

The following engines/equipment are 

excluded: 

(a) Engines/equipment used solely for 

competition. Engines/equipment that 

you demonstrate will be used solely for 

competition are excluded from the 

restrictions on imports in § 1068.301(b), 

but only if they are properly labeled. 

See the standard-setting part for 

provisions related to this demonstration. 

Section 1068.101(b)(4) prohibits anyone 

from using these excluded engines/ 

equipment for purposes other than 

competition. 

(b) Stationary engines. The definition 

of nonroad engine in § 1068.30 does not 

include certain engines used in 

stationary applications. Such engines 

(and equipment containing such 

engines) may be subject to the standards 

of 40 CFR part 60. Engines that are 

excluded from the definition of nonroad 

engine in this part and are not required 

to be certified to standards under 40 

CFR part 60 are not subject to the 

restrictions on imports in § 1068.301(b), 

but only if they are properly labeled and 

there is clear and convincing evidence 

that each engine will be used in a 

stationary application (see paragraph 

(2)(iii) of the definition of ‘‘Nonroad 

engine’’). Section 1068.101 restricts the 

use of stationary engines for nonstationary purposes unless they are 

certified under 40 CFR part 60 to the 

same standards that would apply to 

nonroad engines for the same model 

year. 

(c) Hobby engines. The standardsetting parts exclude engines used in 

reduced-scale models of vehicles that 

are not capable of transporting a person. 

(d) Other engines/equipment. The 

standard-setting parts may exclude 

engines/equipment used in certain 

applications. For example, engines used 

in aircraft are generally excluded. 

Engines/equipment used in 

underground mining are excluded if 

they are regulated by the Mine Safety 

and Health Administration. 

(e) Labeling. For engines/equipment 

imported under paragraph (a) or (b) of 

this section, you must add a permanent 

label, consistent with § 1068.45, with at 

least the following items unless the 

standard-setting part includes other 

specific labeling requirements or we 

approve alternate label language that is 

more accurate for your engine/ 

equipment: 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. 

(3) State the engine displacement (in 

liters or cubic centimeters). We may also 

require that you include maximum 

engine power. If the engine’s power is 

not established, state the approximate 

power. 

(4) State: ‘‘THIS ENGINE IS EXEMPT 

FROM THE REQUIREMENTS OF 

[identify the part referenced in 

§ 1068.1(a) that would otherwise apply], 

mstockstill on PROD1PC66 with RULES2

59368 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

AS PROVIDED IN [identify the 

paragraph authorizing the exemption 

(for example, ‘‘40 CFR 1068.315(a)’’)]. 

INSTALLING THIS ENGINE IN ANY 

DIFFERENT APPLICATION MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY.’’ 

§ 1068.315 What are the permanent 

exemptions for imported engines/ 

equipment? 

We may approve a permanent 

exemption from the restrictions on 

imports under § 1068.301(b) under the 

following conditions: 

(a) National security exemption. You 

may import an engine or piece of 

equipment under the national security 

exemption in § 1068.225, but only if it 

is properly labeled. 

(b) Manufacturer-owned engine/ 

equipment exemption. You may import 

manufacturer-owned engines/ 

equipment, 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 a family 

we regulate under the same part as the 

replacement engine. 

(d) Extraordinary circumstances 

exemption. You may import a 

nonconforming engine or piece of 

equipment if we grant hardship relief as 

described in § 1068.245. 

(e) Small-volume manufacturer 

exemption. You may import a 

nonconforming engine or piece of 

equipment if we grant hardship relief 

for a small-volume manufacturer, as 

described in § 1068.250. 

(f) Equipment-manufacturer 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. 

(g) [Reserved] 

(h) Identical configuration exemption. 

Unless specified otherwise in the 

standard-setting part, you may import 

nonconforming engines/equipment if 

they are identical to certified engines/ 

equipment produced by the same 

manufacturer, subject to the following 

provisions: 

(1) You must meet all the following 

criteria: 

(i) You have owned the engines/ 

equipment for at least six months. 

(ii) You agree not to sell, lease, 

donate, trade, or otherwise transfer 

ownership of the engines/equipment for 

at least five years. During this period, 

the only acceptable way to dispose of 

the engines/equipment is to destroy or 

export them. 

(iii) You use data or evidence 

sufficient to show that the engines/ 

equipment are in a configuration that is 

identical to engines/equipment the 

original manufacturer has certified to 

meet emission standards that apply at 

the time the manufacturer finished 

assembling or modifying the engines/ 

equipment in question. If you modify 

the engines/equipment to make them 

identical, you must completely follow 

the original manufacturer’s written 

instructions. 

(2) We will tell you in writing if we 

find the information insufficient to 

show that the engines/equipment are 

eligible for this exemption. In this case, 

we will not consider your request 

further until you address our concerns. 

(i) Ancient engine/equipment 

exemption. If you are not the original 

engine/equipment manufacturer, you 

may import nonconforming engines/ 

equipment that are subject to a 

standard-setting part and were first 

manufactured at least 21 years earlier, as 

long as they are still in their original 

configurations. 

§ 1068.325 What are the temporary 

exemptions for imported engines/ 

equipment? 

You may import engines/equipment 

under certain temporary exemptions, 

subject to the conditions in this section. 

We may ask U.S. Customs and Border 

Protection 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/equipment while it is in the 

United States. You must eventually 

export the engine/equipment as we 

describe in this section unless it 

conforms to a certificate of conformity 

or it qualifies for one of the permanent 

exemptions in § 1068.315. 

(a) Exemption for repairs or 

alterations. You may temporarily import 

nonconforming engines/equipment 

under bond solely for repair or 

alteration, subject to our advance 

approval as described in paragraph (j) of 

this section. You may operate the 

engine/equipment in the United States 

only as necessary to repair it, alter it, or 

ship it to or from the service location. 

Export the engine/equipment directly 

after servicing is complete. 

(b) Testing exemption. You may 

temporarily import nonconforming 

engines/equipment under bond for 

testing if you follow the requirements of 

§ 1068.210, subject to our advance 

approval as described in paragraph (j) of 

this section. You may operate the 

engines/equipment in the United States 

only as needed to perform tests. This 

exemption expires one year after you 

import the engine/equipment unless we 

approve an extension. The engine/ 

equipment must be exported before the 

exemption expires. 

(c) Display exemption. You may 

temporarily import nonconforming 

engines/equipment under bond for 

display if you follow the requirements 

of § 1068.220, subject to our advance 

approval as described in paragraph (j) of 

this section. This exemption expires one 

year after you import the engine/ 

equipment, 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 total. The engine/equipment 

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 nonconforming 

engines/equipment to export them, as 

described in § 1068.230. You may 

operate the engine/equipment in the 

United States only as needed to prepare 

it for export. Label the engine/ 

equipment as described in § 1068.230. 

(e) Diplomatic or military exemption. 

You may temporarily import 

nonconforming engines/equipment 

without bond if you represent a foreign 

government in a diplomatic or military 

capacity. In your request to the 

Designated Compliance 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/equipment. 

(f) Delegated-assembly exemption. 

You may import a nonconforming 

engine for final assembly under the 

provisions of § 1068.261. 

(g) Partially complete engine 

exemption. You may import an engine 

if another company already has a 

certificate of conformity and will be 

modifying the engine to be in its final, 

certified configuration under the 

provisions of § 1068.262. You may also 

import a partially complete engine by 

shipping it from one of your facilities to 

another under the provisions of 

§ 1068.260(c). 

(h) [Reserved] 

(i) Approvals. For the exemptions in 

this section requiring our approval, you 

must send a request to the Designated 

Compliance Officer before importing the 

engines/equipment. We will approve 

your request if you meet all the 

applicable requirements and conditions. 

If another section separately requires 

that you request approval for the 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59369 

exemption, you may combine the 

information requirements in a single 

request. Include the following 

information in your request: 

(1) Identify the importer of the 

engine/equipment and the applicable 

postal address, e-mail address, and 

telephone number. 

(2) Identify the engine/equipment 

owner and the applicable postal 

address, e-mail address, and telephone 

number. 

(3) Identify the engine/equipment by 

model number (or name), serial number, 

and original production year. 

(4) Identify the specific regulatory 

provision under which you are seeking 

an exemption. 

(5) Authorize EPA enforcement 

officers to conduct inspections or testing 

as allowed under the Clean Air Act. 

(6) Include any additional information 

we specify for demonstrating that you 

qualify for the exemption. 

§ 1068.335 What are the penalties for 

violations? 

(a) All imported engines/equipment. 

Unless you comply with the provisions 

of this subpart, importation of 

nonconforming engines/equipment 

violates sections 203 and 213(d) of the 

Clean Air Act (42 U.S.C. 7522 and 

7547(d)). You may then have to export 

the engines/equipment, pay civil 

penalties, or both. U.S. Customs and 

Border Protection may seize unlawfully 

imported engines and equipment. 

(b) Temporarily imported engines/ 

equipment. If you do not comply with 

the provisions of this subpart for a 

temporary exemption under § 1068.325, 

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 or piece of 

equipment to be exported if it has been 

destroyed or delivered to U.S. Customs 

and Border Protection for export or 

other disposition under applicable 

Customs laws and regulations. EPA or 

U.S. Customs and Border Protection 

may offer you a grace period to allow 

you to export temporarily exempted 

engines/equipment without penalty 

after the exemption expires. 

§ 1068.360 What restrictions apply to 

assigning a model year to imported engines 

and equipment? 

This section includes limitations on 

assigning a model year to engines and 

equipment that are imported in a year 

later than the model year in which they 

were manufactured, except as specified 

in paragraph (e) of this section. 

(a) The term ‘‘model year’’ is defined 

in each of the standard-setting parts. 

These definitions may vary slightly to 

address the different categories of 

engines and equipment. Except as 

specified in paragraphs (b) and (c) of 

this section, the emission standards and 

other emission-related requirements that 

apply for an imported engine or piece of 

equipment are determined by the model 

year as defined in the applicable 

standard-setting part and the provisions 

of 40 CFR 1068.105(a). 

(b) This paragraph (b) applies for the 

importation of new engines and new 

equipment in any calendar year that is 

more than one year after the named 

model year of the engine or equipment 

when emission control requirements 

applying to current engines are different 

than for engines or equipment in the 

named model year, unless they are 

imported under special provisions for 

Independent Commercial Importers as 

allowed under the standard-setting part. 

Regardless of what other provisions of 

this subchapter U specify for the model 

year of the engine or equipment, such 

engines and equipment are deemed to 

have an applicable model year no more 

than one year earlier than the calendar 

year in which they are imported. For 

example, a new engine identified as a 

2007 model-year product that is 

imported on January 31, 2010 will be 

treated as a 2009 model-year engine; the 

same engine will be treated as a 2010 

model-year engine if it is imported any 

time in calendar year 2011. 

(c) If you claim that an engine or piece 

of equipment is not subject to 

standards–or is subject to standards less 

stringent than those currently in place— 

based on its original manufacture date 

because it has already been placed into 

service, you must provide clear and 

convincing evidence that it has already 

been placed into service. Such evidence 

must generally include, but not be 

limited to, documentary evidence of 

purchase and maintenance history and 

visible wear that is consistent with the 

reported manufacture date. Importing 

products for resale or importing more 

than one engine or piece of equipment 

at a time would generally require a 

greater degree of evidence under this 

paragraph (c). If you do not satisfactorily 

demonstrate that the engine or 

equipment has already been placed into 

service, the provisions of paragraph (b) 

of this section apply. 

(d) Nothing in this section should be 

interpreted to allow circumvention of 

the requirements of this part by misstating or mis-labeling the model year of 

engines or equipment. For example, this 

section does not permit engines 

imported in the same year that they are 

manufactured to be treated as an engine 

manufactured in the previous year. To 

verify compliance with the provisions of 

this section, we may require you to 

verify the original manufacture date of 

the engine or equipment based on 

manufacturing records, title-transfer 

documents, service records, or other 

documentation. 

(e) If all the current emission control 

requirements are the same as in the 

named model year, the provisions of 

this section do not apply. 

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/equipment in a 

selective enforcement audit. This 

requirement is independent of any 

requirement for you to routinely test 

production-line engines/equipment. For 

products subject to equipment-based 

standards, but tested using engine-based 

test procedures, this subpart applies to 

the engines and/or the equipment, as 

applicable. Otherwise this subpart 

applies to engines for products subject 

to engine-based standards and to 

equipment for products subject to 

equipment-based standards. 

(b) If we send you a signed test order, 

you must follow its directions and the 

provisions of this subpart. We may tell 

you where to test the engines/ 

equipment. This may be where you 

produce the engines/equipment or any 

other emission testing facility. 

(c) If we select one or more of your 

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) If we do not select a testing 

facility, notify the Designated 

Compliance Officer within one working 

day of receiving the test order where 

you will test your engines/equipment. 

(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 family and configuration (if 

any) we have identified for testing. 

(2) The engine/equipment assembly 

plant, storage facility, or (if you import 

the engines/equipment) port facility 

from which you must select engines/ 

equipment. 

(3) The procedure for selecting 

engines/equipment for testing, 

including a selection rate. 

(4) The test procedures, duty cycles, 

and test points, as appropriate, for 

testing the engines/equipment to show 

that they meet emission standards. 

mstockstill on PROD1PC66 with RULES2

59370 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(b) We may state that we will select 

the test engines/equipment. 

(c) We may identify alternate families 

or configurations for testing in case we 

determine the intended engines/ 

equipment are not available for testing 

or if you do not produce enough 

engines/equipment to meet the 

minimum rate for selecting test engines/ 

equipment. 

(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/equipment 

(closed crankcases, for example). 

(f) In anticipation of a potential audit, 

you may give us a list of your preferred 

families and the corresponding 

assembly plants, storage facilities, or (if 

you import the engines/equipment) port 

facilities from which we should select 

engines/equipment 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 

different engines/equipment. 

(g) If you also do routine productionline testing with the selected family in 

the same time period, the test order will 

tell you what changes you might need 

to make in your production-line testing 

schedule. 

§ 1068.410 How must I select and prepare 

my engines/equipment? 

(a) Selecting engines/equipment. 

Select engines/equipment as described 

in the test order. If you are unable to 

select test engines/equipment this way, 

you may ask us to approve an alternate 

plan as long as you make the request 

before you start selecting engines/ 

equipment. 

(b) Assembling engines/equipment. 

Produce and assemble test engines/ 

equipment using your normal 

production and assembly process for 

that 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/equipment. 

(2) If you do not fully assemble 

engines/equipment at the specified 

location, we will describe in the test 

order how to select components to 

finish assembling the engines/ 

equipment. Assemble these components 

onto the test engines/equipment using 

your documented assembly and quality 

control procedures. 

(c) Modifying engines/equipment. 

Once an engine or piece of equipment 

is selected for testing, 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/equipment and make the action 

routine for all the engines/equipment in 

the family. 

(2) This subpart otherwise allows 

your action. 

(3) We approve your action in 

advance. 

(d) Engine/equipment malfunction. If 

an engine/equipment 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 or require you to 

adjust idle speed outside the physically 

adjustable range as needed until the 

engine has stabilized emission levels 

(see paragraph (f) 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. We may also 

consider how likely it is that someone 

will make such an adjustment with inuse engines/equipment. 

(f) Stabilizing emission levels. (1) 

Before you test production-line engines/ 

equipment for exhaust emission, you 

may operate the engine/equipment to 

stabilize the exhaust emission levels. 

Using good engineering judgment, 

operate your engines/equipment in a 

way that represents the way production 

engines/equipment will be used. You 

may operate each engine or piece of 

equipment for no more than the greater 

of two periods: 

(i) 50 hours. 

(ii) The number of hours you operated 

your emission-data engine/equipment 

for certifying the family (see 40 CFR part 

1065, subpart E). 

(2) Use good engineering judgment 

and follow the standard-setting part to 

stabilize equipment for evaporative 

emissions, where appropriate. 

(g) Damage during shipment. If 

shipping the engine/equipment to a 

remote facility for testing under a 

selective enforcement audit 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/ 

equipment. Report to us, in your written 

report under § 1068.450, all adjustments 

or repairs you make on test engines/ 

equipment before each test. 

(h) Shipping engines/equipment. If 

you need to ship engines/equipment to 

another facility for testing, make sure 

the test engines/equipment 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 or piece of 

equipment if you determine an emission 

test is invalid under the standard-setting 

part. Explain in your written report 

reasons for invalidating any test and the 

emission results from all tests. If you 

retest an engine or piece of equipment 

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. 

(j) Retesting after reaching a fail 

decision. You may retest your engines/ 

equipment once a fail decision for the 

audit has been reached based on the 

first test on each engine or piece of 

equipment under § 1068.420(c). You 

may test each engine or piece of 

equipment up to a total of three times, 

but you must perform the same number 

of tests on each engine or piece of 

equipment. You may further operate the 

engine/equipment to stabilize emission 

levels before testing, subject to the 

provisions of paragraph (f) of this 

section. We may approve retesting at 

other times if you send us a request with 

satisfactory justification. 

§ 1068.415 How do I test my engines/ 

equipment? 

(a) Use the test procedures specified 

in the standard-setting part for showing 

that your engines/equipment 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/ 

equipment in each 24-hour period 

(including void tests). However, if your 

projected U.S. nonroad sales within the 

family are less than 7,500 for the year, 

you may test a minimum of one per 24- 

hour period. If you request and justify 

it, we may approve a lower testing rate. 

(d) For exhaust emissions, accumulate 

service on test engines/equipment at a 

minimum rate of 6 hours per engine or 

piece of equipment during each 24-hour 

period. The first 24-hour period for 

service accumulation begins when you 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59371 

finish preparing an engine or piece of 

equipment 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. We may require you 

to accumulate hours more rapidly than 

the minimum rate, as appropriate. Plan 

your service accumulation to allow 

testing at the rate specified in paragraph 

(c) of this section. Select operation for 

accumulating operating hours on your 

test engines/equipment to represent 

normal in-use operation for the family. 

(e) Test engines/equipment in the 

same order you select them. 

§ 1068.420 How do I know when my engine 

family fails an SEA? 

(a) A failed engine or piece of 

equipment is one whose final 

deteriorated test results exceed an 

applicable emission standard for any 

regulated pollutant. 

(b) Continue testing engines/ 

equipment 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/equipment is less than or 

equal to the pass decision number in 

Appendix A to this subpart for the total 

number of engines/equipment tested. 

You reach a fail decision for the SEA 

requirements when the number of failed 

engines/equipment is greater than or 

equal to the fail decision number in 

Appendix A to this subpart for the total 

number of engines/equipment 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/equipment 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 family. 

(g) We may choose to stop testing after 

any number of tests. 

(h) If we test some of your engines/ 

equipment in addition to your own 

testing, we may decide not to include 

your test results as official data for those 

engines/equipment 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/equipment exceeds 

the emission standards? 

(a) If one of your production-line 

engines/equipment fails to meet one or 

more emission standards (see 

§ 1068.420), the certificate of conformity 

is automatically suspended for that 

engine or piece of equipment. You must 

take the following actions before your 

certificate of conformity can cover that 

engine or piece of equipment: 

(1) Correct the problem and retest the 

engine/equipment 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 or piece of 

equipment (see § 1068.450). 

(b) You may ask for a hearing at any 

time to determine whether the tests and 

sampling methods were proper (see 

subpart G of this part). 

§ 1068.430 What happens if a family fails 

an SEA? 

(a) We may suspend your certificate of 

conformity for a family if it fails the 

SEA under § 1068.420. The suspension 

may apply to all facilities producing 

engines/equipment from a family even if 

you find noncompliant engines/ 

equipment 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 family 

fails the SEA. The suspension is 

effective when you receive our notice. 

(c) You may ask for a hearing to 

determine whether the tests and 

sampling methods were proper (see 

subpart G of this part) up to 15 days 

after we suspend the certificate for a 

family. If we agree that we used 

erroneous information in deciding to 

suspend the certificate before a hearing 

is held, we will reinstate the certificate. 

§ 1068.435 May I sell engines/equipment 

from a family with a suspended certificate 

of conformity? 

You may sell engines/equipment that 

you produce after we suspend the 

family’s certificate of conformity only if 

one of the following occurs: 

(a) You test each engine or piece of 

equipment you produce and show it 

complies with emission standards that 

apply. 

(b) We conditionally reinstate the 

certificate for the family. We may do so 

if you agree to recall all the affected 

engines/equipment and remedy any 

noncompliance at no expense to the 

owner if later testing shows that 

engines/equipment in the 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/equipment 

in the remedied 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/equipment again? 

(a) We may revoke your certificate for 

a family in the following cases: 

(1) You do not meet the reporting 

requirements under this subpart. 

(2) Your 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/equipment’s design 

or emission control system. 

(b) To sell engines/equipment from a 

family with a revoked certificate of 

conformity, you must modify the 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/equipment’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/equipment 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 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/equipment and 

state its location. 

mstockstill on PROD1PC66 with RULES2

59372 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

(2) State the total U.S.-directed 

production volume and number of tests 

for each family. 

(3) Describe your test engines/ 

equipment, including the family’s 

identification and the engine/ 

equipment’s model year, build date, 

model number, identification number, 

and number of hours of operation before 

testing for each test engine or piece of 

equipment. 

(4) Identify where you accumulated 

hours of operation on the engines/ 

equipment 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/ 

equipment 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 or 

piece of equipment 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/equipment 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 testing conformed completely 

with the requirements of 40 CFR part 

1068. We have not changed production 

processes or quality-control procedures 

for the family in a way that might affect 

the emission control from production 

engines/equipment. 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 Compliance Officer using an 

approved information format. If you 

want to use a different format, send us 

a written request with justification for a 

waiver. 

(e) We may post test results on 

publicly accessible databases and we 

will send copies of your reports to 

anyone from the public who asks for 

them. We will not 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/ 

equipment and the names of all 

supervisors who oversee this work. 

(3) If you shipped the engine/ 

equipment for testing, the date you 

shipped it, the associated storage or port 

facility, and the date the engine/ 

equipment 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 a 

family. Include each assembly plant if 

you produce engines/equipment 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: 

TABLE A–1—SAMPLING PLAN CODE LETTER

Projected family sales Code letter 1

Minimum number of tests 

Maximum number of tests 

To pass To fail 

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 families with annual sales between 20 and 50 engines/equipment. 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 ................ 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 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59373 

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 

# 

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 

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/equipment tested. 

Subpart F—Reporting Defects and 

Recalling Engines/Equipment 

§ 1068.501 How do I report emissionrelated defects? 

This section addresses the certificate 

holder’s responsibility to investigate 

and report emission-related defects in 

design, materials, or workmanship. The 

provisions of this section do not limit 

your liability under this part or the 

Clean Air Act. For example, selling an 

engine/equipment that does not 

conform to your application for 

certification is a violation of 

§ 1068.101(a)(1) independent of the 

requirements of this section. The 

requirements of this section apply 

separately to each certificate holder if 

there is more than one certificate holder 

for the equipment. 

(a) General provisions. As a certifying 

manufacturer, you must investigate in 

certain circumstances whether engines/ 

equipment that have been introduced 

into U.S. commerce under your 

certificate have incorrect, improperly 

installed, or otherwise defective 

emission-related components or 

systems. This includes defects in 

design, materials, or workmanship. You 

mstockstill on PROD1PC66 with RULES2

59374 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

must also send us reports as specified 

by this section. 

(1) This section addresses defects for 

any of the following emission-related 

components or systems containing the 

following components: 

(i) Electronic control units, 

aftertreatment devices, fuel-metering 

components, EGR-system components, 

crankcase-ventilation valves, all 

components related to charge-air 

compression and cooling, and all 

sensors associated with any of these 

components. 

(ii) For engines and equipment subject 

to evaporative emission standards, fuel 

tanks, fuel caps, and fuel lines and 

connectors. 

(iii) Any other component whose 

primary purpose is to reduce emissions. 

(iv) Any other component whose 

failure might increase emissions of any 

regulated pollutant without significantly 

degrading engine/equipment 

performance. 

(2) The requirements of this section 

relate to defects in any of the 

components or systems identified in 

paragraph (a)(1) of this section if the 

defects might affect any of the 

parameters or specifications in 

Appendix II of this part or might 

otherwise affect the emissions of any 

regulated pollutant. 

(3) For the purposes of this section, 

defects do not include damage to 

emission-related components or systems 

(or maladjustment of parameters) caused 

by owners improperly maintaining or 

abusing their engines/equipment. 

(4) The requirements of this section 

do not apply to emission control 

information labels. Note however, that 

§ 1068.101(a)(1) prohibits the sale of 

engines/equipment without proper 

labels, which also applies to misprinted 

labels. 

(5) You must track the information 

specified in paragraph (b)(1) of this 

section. You must assess this data at 

least every three months to evaluate 

whether you exceed the thresholds 

specified in paragraphs (e) and (f) of this 

section. Where thresholds are based on 

a percentage of engines/equipment in 

the family, use actual sales figures for 

the whole model year when they 

become available. Use projected sales 

figures until the actual sales figures 

become available. You are not required 

to collect additional information other 

than that specified in paragraph (b)(1) of 

this section before reaching a threshold 

for an investigation specified in 

paragraph (e) of this section. 

(6) 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 the aggregate 

in tracking, identifying, investigating, 

evaluating, reporting, and correcting 

potential and actual emissions-related 

defects as the requirements in this 

section. In this case, provide all 

available data necessary to demonstrate 

why an alternate system is appropriate 

for your engines/equipment and how it 

will result in a system at least as 

effective as that required under this 

section. 

(7) If we determine that emissionrelated defects result in a substantial 

number of properly maintained and 

used engines/equipment not conforming 

to the regulations of this chapter during 

their useful life, we may order you to 

conduct a recall of your engines/ 

equipment (see § 1068.505). 

(8) Send all reports required by this 

section to the Designated Enforcement 

Officer. 

(9) This section distinguishes between 

defects and possible defects. A possible 

defect exists anytime there is an 

indication that an emission-related 

component or system might have a 

defect, as described in paragraph (b)(1) 

of this section. 

(b) Investigation of possible defects. 

Investigate possible defects as follows: 

(1) If the number of engines/ 

equipment that have a possible defect, 

as defined by this paragraph (b)(1), 

exceeds a threshold specified in 

paragraph (e) of this section, you must 

conduct an investigation to determine if 

an emission-related component or 

system is actually defective. You must 

classify an engine/equipment 

component or system as having a 

possible defect if any of the following 

sources of information shows there is a 

significant possibility that a defect 

exists: 

(i) A warranty claim is submitted for 

the component, whether this is under 

your emission-related warranty or any 

other warranty. 

(ii) Your quality-assurance procedures 

suggest that a defect may exist. 

(iii) You receive any other 

information for which good engineering 

judgment would indicate the 

component or system may be defective, 

such as information from dealers, fieldservice personnel, equipment 

manufacturers, hotline complaints, or 

engine diagnostic systems. 

(2) If the number of shipped 

replacement parts for any individual 

component is high enough that good 

engineering judgment would indicate a 

significant possibility that a defect 

exists, you must conduct an 

investigation to determine if it is 

actually defective. Note that this 

paragraph (b)(2) does not require datatracking or recording provisions related 

to shipment of replacement parts. 

(3) Your investigation must be 

prompt, thorough, consider all relevant 

information, follow accepted scientific 

and engineering principles, and be 

designed to obtain all the information 

specified in paragraph (d) of this 

section. 

(4) Your investigation needs to 

consider possible defects that occur 

only within the useful life period, or 

within five years after the end of the 

model year, whichever is longer. 

(5) You must continue your 

investigation until you are able to show 

that there is no emission-related defect 

or you obtain all the information 

specified for a defect report in 

paragraph (d) of this section. 

(6) If a component with a possible 

defect is used in additional families or 

model years, you must investigate 

whether the component may be 

defective when used in these additional 

families or model years, and include 

these results in any defect report you 

send under paragraph (c) of this section. 

(7) If your initial investigation 

concludes that the number of engines/ 

equipment with a defect is fewer than 

any of the thresholds specified in 

paragraph (f) of this section, but other 

information later becomes available that 

may show that the number of engines/ 

equipment with a defect exceeds a 

threshold, 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/equipment with a 

defect exceeds a threshold specified in 

paragraph (f) of this section. Send the 

defect report within 21 days after the 

date you identify this number of 

defective engines/equipment. See 

paragraph (h) of this section for 

reporting requirements that apply if the 

number of engines/equipment with a 

defect does not exceed any of the 

thresholds in paragraph (f) of this 

section. 

(2) You know there are emissionrelated defects for a component or 

system in a number of engines/ 

equipment that exceeds a threshold 

specified in paragraph (f) of this section, 

regardless of how you obtain this 

information. Send the defect report 

within 21 days after you learn that the 

number of defects exceeds a threshold. 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59375 

Send us an updated defect report 

anytime you have significant additional 

information. 

(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/ 

equipment that have the defect, 

including families, models, and range of 

production dates. 

(4) An estimate of the number and 

percentage of each class or category of 

affected engines/equipment that have 

the defect, and an explanation of how 

you determined this number. Describe 

any statistical methods you used under 

paragraph (g)(6) of this section. 

(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 addressed. 

(e) Thresholds for conducting a defect 

investigation. You must begin a defect 

investigation based on the following 

number of engines/equipment that may 

have the defect: 

(1) For engines/equipment with 

maximum engine power at or below 560 

kW: 

(i) For families with annual sales 

below 500 units: 50 or more engines/ 

equipment. 

(ii) For families with annual sales 

from 500 to 50,000 units: more than 10.0 

percent of the total number of engines/ 

equipment in the family. 

(iii) For families with annual sales 

from 50,000 to 550,000 units: more than 

the total number of engines/equipment 

represented by the following equation: 

Investigation threshold = 5,000 + 

(Production units—50,000) × 0.04 

(iv) For families with annual sales 

above 550,000 units: 25,000 or more 

engines/equipment. 

(2) For engines/equipment with 

maximum engine power greater than 

560 kW: 

(i) For families with annual sales 

below 250 units: 25 or more engines/ 

equipment. 

(ii) For families with annual sales at 

or above 250 units: more than 10.0 

percent of the total number of engines/ 

equipment in the family. 

(f) Thresholds for filing a defect 

report. You must send a defect report 

based on the following number of 

engines/equipment that have the defect: 

(1) For engines/equipment with 

maximum engine power at or below 560 

kW: 

(i) For families with annual sales 

below 1,000 units: 20 or more engines/ 

equipment. 

(ii) For families with annual sales 

from 1,000 to 50,000 units: more than 

2.0 percent of the total number of 

engines/equipment in the family. 

(iii) For families with annual sales 

from 50,000 to 550,000 units: more than 

the total number of engines/equipment 

represented by the following equation: 

Reporting threshold = 1,000 + 

(Production units—50,000) × 0.01 

(iv) For families with annual sales 

above 550,000 units: 6,000 or more 

engines/equipment. 

(2) For engines/equipment with 

maximum engine power greater than 

560 kW: 

(i) For families with annual sales 

below 150 units: 10 or more engines/ 

equipment. 

(ii) For families with annual sales 

from 150 to 750 units: 15 or more 

engines/equipment. 

(iii) For families with annual sales 

above 750 units: more than 2.0 percent 

of the total number of engines/ 

equipment in the family. 

(g) How to count defects. (1) Track 

defects separately for each model year 

and family as much as possible. If 

information is not identifiable by model 

year or family, use good engineering 

judgment to evaluate whether you 

exceed a threshold in paragraph (e) or 

(f) of this section. Consider only your 

U.S.-directed production volume. 

(2) Within a family, track defects 

together for all components or systems 

that are the same in all material 

respects. If multiple companies 

separately supply a particular 

component or system, treat each 

company’s component or system as 

unique. 

(3) For engine-based standards, if a 

possible defect is not attributed to any 

specific part of the engine, consider the 

complete engine a distinct component 

for evaluating whether you exceed a 

threshold in paragraph (e) of this 

section. For equipment-based standards, 

if a possible defect is not attributed to 

any specific part of the equipment, 

consider the complete piece of 

equipment a distinct component for 

evaluating whether you exceed a 

threshold in paragraph (e) of this 

section. 

(4) If you correct defects before they 

reach the ultimate purchaser as a result 

of your quality-assurance procedures, 

count these against the investigation 

thresholds in paragraph (e) of this 

section unless you routinely check 

every engine or piece of equipment in 

the family. Do not count any corrected 

defects as actual defects under 

paragraph (f) of this section. 

(5) Use aggregated data from all the 

different sources identified in paragraph 

(b)(1) of this section to determine 

whether you exceed a threshold in 

paragraphs (e) and (f) of this section. 

(6) If information is readily available 

to conclude that the possible defects 

identified in paragraph (b)(1) of this 

section are actual defects, count these 

toward the reporting thresholds in 

paragraph (f) of this section. 

(7) During an investigation, use 

appropriate statistical methods to 

project defect rates for engines/ 

equipment that you are not otherwise 

able to evaluate. For example, if 75 

percent of the components replaced 

under warranty are available for 

evaluation, it would be appropriate to 

extrapolate known information on 

failure rates to the components that are 

unavailable for evaluation. Take steps as 

necessary to prevent bias in sampled 

data. Make adjusted calculations to take 

into account any bias that may remain. 

(h) Investigation reports. Once you 

trigger an investigation threshold under 

paragraph (e) of this section, you must 

report your progress and conclusions. In 

your reports, include the information 

specified in paragraph (d) of this 

section, or explain why the information 

is not relevant. Send us the following 

reports: 

(1) While you are investigating, send 

us mid-year and end-of-year reports to 

describe the methods you are using and 

the status of the investigation. Send 

these status reports no later than June 30 

and December 31 of each year. 

(2) If you find that the number of 

components or systems with an 

emission-related defect exceeds a 

threshold specified in paragraph (f) of 

this section, send us a report describing 

your findings within 21 days after the 

date you reach this conclusion. 

(3) If you find that the number of 

components or systems with an 

emission-related defect does not exceed 

any of the thresholds specified in 

paragraph (f) of this section, send us a 

final report supporting this conclusion. 

For example, you may exclude warranty 

claims that resulted from misdiagnosis 

and you may exclude defects caused by 

improper maintenance, improper use, or 

misfueling. Send this report within 21 

days after the date you reach this 

conclusion. 

(i) Future production. If you identify 

a design or manufacturing defect that 

prevents engines/equipment from 

mstockstill on PROD1PC66 with RULES2

59376 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

meeting the requirements of this part, 

you must correct the defect as soon as 

possible for future production of 

engines/equipment 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/ 

equipment 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/equipment. We will notify you 

of our determination in writing. Our 

notice will identify the class or category 

of engines/equipment 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/equipment that have been 

properly maintained and used, as 

described in § 1068.510(a)(7). You may 

not transfer this expense to a dealer (or 

equipment manufacturer for enginebased standards) 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 

Compliance 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 engines/ 

equipment to the ultimate purchaser, we 

may inspect or test the engines/ 

equipment only if the purchaser 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 Clean Air Act 

(42 U.S.C. 7541(c)). 

(f) You may do a voluntary recall 

under § 1068.535 unless we have made 

the determination described in 

§ 1068.535(a). 

(g) For purposes of recall, owner 

means someone who owns an engine or 

piece of equipment affected by a 

remedial plan. 

§ 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/ 

equipment to be recalled, including the 

number of engines/equipment involved 

and the model year or other information 

needed to identify the engines/ 

equipment. 

(2) The modifications, alterations, 

repairs, corrections, adjustments, or 

other changes you will make to correct 

the affected engines/equipment. 

(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/ 

equipment 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 these 

specifications meet the provisions of 

paragraph (e) of this section. Describe 

how the 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 describe their 

qualifications. 

(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/equipment you 

will recall; include a brief summary of 

the information supporting these 

conclusions. 

(13) How you intend to label the 

engines/equipment you repair and 

where you will place the label on the 

engine/equipment (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/equipment. 

(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/equipment? 

(a) Attach a label to engines/ 

equipment you repair under the 

remedial plan. At your discretion, you 

may label or mark engines/equipment 

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/ 

equipment. 

(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 or 

e-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/equipment 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/ 

equipment at your expense. 

(3) If we approved maintenance and 

use conditions in your remedial plan, 

state that you will make these repairs 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59377 

only if owners show their engines/ 

equipment meet the conditions for 

proper maintenance and use. Describe 

these conditions and how owners 

should prove their engines/equipment 

are eligible for repair. 

(4) Describe the components your 

repair will affect and say generally how 

you will repair the engines/equipment. 

(5) State that the engine/equipment, 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/ 

equipment. 

(7) Describe any adverse effects on the 

functions of other components that 

would be caused by not repairing the 

engine/equipment. 

(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) Allow for the owner to inform you 

using one of the following methods if 

they have sold the engine/equipment: 

(i) Send a self-addressed card that 

owners can mail back to you; include a 

space for owners to write the name and 

address of a buyer. 

(ii) Provide owners with a toll-free 

number and an e-mail address or Web 

site they can use to identify 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/equipment] by federal 

law, and your right to participate in 

future recalls, we recommend you have 

your [engine/equipment] 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/ 

equipment 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/equipment 

you estimate fall under the remedial 

plan (explain how you determined this 

number). 

(4) The cumulative number of 

engines/equipment you inspected under 

the remedial plan. 

(5) The cumulative number of these 

engines/equipment you found needed 

the specified repair. 

(6) The cumulative number of these 

engines/equipment you have repaired. 

(7) The cumulative number of 

engines/equipment you determined to 

be unavailable due to exportation, theft, 

retirement, or other reasons (specify). 

(8) The cumulative number of 

engines/equipment you disqualified for 

not being properly maintained or used. 

(c) If your estimated number of 

engines/equipment 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 send 

the last report we require under 

§ 1068.525(b). 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 or piece of equipment, state 

whether you did any of the following: 

(1) Inspected the engine/equipment. 

(2) Disqualified the engine/equipment 

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/ 

equipment 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 

applies only if you learn that your 

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 

Compliance 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. Make reasonable 

efforts to carry out the recall as quickly 

as possible. 

(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/equipment are inspected, 

whichever comes first. 

(d) Keep your reports and the 

supporting information as described in 

§ 1068.530. 

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 warranty or 

requirements related to rebuilding engines. 

Note that inclusion of a component in 

Section III of this Appendix does not make 

it an emission-related component for 

engines/equipment that are not subject to 

evaporative emission standards. 

I. For exhaust emissions, 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 for exhaust 

emissions: 

mstockstill on PROD1PC66 with RULES2

59378 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

1. Aftertreatment devices. 

2. Crankcase ventilation valves. 

3. Sensors. 

4. Electronic control units. 

III. The following parts are considered 

emission-related components for evaporative 

emissions: 

1. Fuel Tank. 

2. Fuel Cap. 

3. Fuel Line. 

4. Fuel Line Fittings. 

5. Clamps*. 

6. Pressure Relief Valves*. 

7. Control Valves*. 

8. Control Solenoids*. 

9. Electronic Controls*. 

10. Vacuum Control Diaphragms*. 

11. Control Cables*. 

12. Control Linkages*. 

13. Purge Valves. 

14. Vapor Hoses. 

15. Liquid/Vapor Separator. 

16. Carbon Canister. 

17. Canister Mounting Brackets. 

18. Carburetor Purge Port Connector. 

*As related to the evaporative emission 

control system. 

IV. 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/equipment performance. 

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 for 

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). 

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. 

Appendix III to Part 1068—HighAltitude Counties 

In some cases the standard-setting part 

includes requirements or other specifications 

that apply for high-altitude counties. The 

following counties have substantial 

populated areas above 4,000 feet above sea 

level and are therefore considered to be highaltitude counties: 

STATE OF ARIZONA 

Apache 

Cochise 

Coconino 

Navajo 

Yavapai 

STATE OF COLORADO 

Adams 

Alamosa 

Arapahoe 

Archuleta 

Boulder 

Chaffee 

Cheyenne 

Clear Creek 

Conejos 

Costilla 

Crowley 

Custer 

Delta 

Denver 

Dolores 

Douglas 

Eagle 

Elbert 

El Paso 

Fremont 

Garfield 

Gilpin 

Grand 

Gunnison 

Hinsdale 

Huerfano 

Jackson 

Jefferson 

Kit Carson 

Lake 

La Plata 

Larimer 

Las Animas 

Lincoln 

Mesa 

Mineral 

Moffat 

Montezuma 

Montrose 

Morgan 

Otero 

Ouray 

Park 

Pitkin 

Pueblo 

Rio Blanco 

Rio Grande 

Routt 

Saguache 

San Juan 

San Miguel 

Summit 

Teller 

Washington 

Weld 

STATE OF IDAHO 

Bannock 

Bear Lake 

Bingham 

Blaine 

Bonneville 

Butte 

mstockstill on PROD1PC66 with RULES2

Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 59379 

Camas 

Caribou 

Cassia 

Clark 

Custer 

Franklin 

Fremont 

Jefferson 

Lemhi 

Madison 

Minidoka 

Oneida 

Power 

Teton 

Valley 

STATE OF MONTANA 

Beaverhead 

Deer Lodge 

Gallatin 

Jefferson 

Judith Basin 

Powell 

Madison 

Meagher 

Park 

Silver Bow 

Wheatland 

STATE OF NEBRASKA 

Banner 

Cheyenne 

Kimball 

Sioux 

STATE OF NEVADA 

Carson City 

Douglas 

Elko 

Esmeralda 

Eureka 

Humboldt 

Lander 

Lincoln 

Lyon 

Mineral 

Nye 

Pershing 

Storey 

Washoe 

White Pine 

STATE OF NEW MEXICO 

Bernalillo 

Catron 

Colfax 

Curry 

De Baca 

Grant 

Guadalupe 

Harding 

Hidalgo 

Lincoln 

Los Alamos 

Luna 

McKinley 

Mora 

Otero 

Rio Arriba 

Roosevelt 

Sandoval 

San Juan 

San Miguel 

Santa Fe 

Sierra 

Socorro 

Taos 

Torrance 

Union 

Valencia 

STATE OF OREGON 

Harney 

Lake 

Klamath 

STATE OF TEXAS 

Jeff Davis 

Judspeth 

Parmer 

STATE OF UTAH 

Beaver 

Box Elder 

Cache 

Carbon 

Daggett 

Davis 

Duchesne 

Emery 

Garfield 

Grand 

Iron 

Juab 

Kane 

Millard 

Morgan 

Piute 

Rich 

Salt Lake 

San Juan 

Sanpete 

Sevier 

Summit 

Tooele 

Uintah 

Utah 

Wasatch 

Wayne 

Weber 

STATE OF WYOMING 

Albany 

Campbell 

Carbon 

Converse 

Fremont 

Goshen 

Hot Springs 

Johnson 

Laramie 

Lincoln 

Natrona 

Niobrara 

Park 

Platte 

Sublette 

Sweetwater 

Teton 

Uinta 

Washakie 

Weston 

■ 246. A new part 1074 is added to 

subchapter U of chapter I to read as 

follows: 

PART 1074—PREEMPTION OF STATE 

STANDARDS AND PROCEDURES FOR 

WAIVER OF FEDERAL PREEMPTION 

FOR NONROAD ENGINES AND 

NONROAD VEHICLES 

Subpart A—Applicability and General 

Provisions 

Sec. 

1074.1 Applicability. 

1074.5 Definitions. 

1074.10 Scope of preemption. 

1074.12 Scope of preemption—specific 

provisions for locomotives and 

locomotive engines 

Subpart B—Procedures for Authorization 

1074.101 Procedures for California nonroad 

authorization requests. 

1074.105 Criteria for granting authorization. 

1074.110 Adoption of California standards 

by other states. 

1074.115 Relationship of federal and state 

standards. 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—Applicability and General 

Provisions 

§ 1074.1 Applicability. 

The requirements of this part apply 

with respect to state and local standards 

and other requirements relating to the 

control of emissions from nonroad 

engines and nonroad vehicles. 

§ 1074.5 Definitions. 

The definitions in this section apply 

to this part. As used in this part, all 

undefined terms have the meaning the 

Act gives to them. The definitions 

follow: 

Act means the Clean Air Act, as 

amended, 42 U.S.C. 7401–7671q. 

Administrator means the 

Administrator of the Environmental 

Protection Agency and any authorized 

representatives. 

Commercial means an activity 

engaged in as a vocation. 

Construction equipment or vehicle 

means any internal combustion enginepowered machine primarily used in 

construction and located on commercial 

construction sites. 

Engine used in a locomotive means 

either an engine placed in a locomotive 

to move other equipment, freight, or 

passenger traffic, or an engine mounted 

on a locomotive to provide auxiliary 

power. 

Farm equipment or vehicle means any 

internal combustion engine-powered 

machine primarily used in the 

commercial production and/or 

commercial harvesting of food, fiber, 

wood, or commercial organic products 

or for the processing of such products 

for further use on the farm. 

Locomotive means a piece of 

equipment meeting the definition of 

mstockstill on PROD1PC66 with RULES2

59380 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Rules and Regulations 

locomotive in 40 CFR 1033.901 that is 

propelled by a nonroad engine. 

New has the following meanings: 

(1) For locomotives, new has the 

meaning given in 40 CFR 1033.901. 

(2) For engines used in locomotives, 

new means an engine incorporated in 

(or intended to be incorporated in) in a 

new locomotive. 

(3) For other nonroad engines and 

equipment, new means a domestic or 

imported nonroad engine or nonroad 

vehicle the equitable or legal title to 

which has never been transferred to an 

ultimate purchaser. Where the equitable 

or legal title to an engine or vehicle is 

not transferred to an ultimate purchaser 

until after the engine or vehicle is 

placed into service, then the engine or 

vehicle will no longer be new once it is 

placed into service. A nonroad engine or 

vehicle is placed into service when it is 

used for its functional purposes. This 

paragraph (3) does not apply to 

locomotives or engines used in 

locomotives. 

Nonroad engine has the meaning 

given in 40 CFR 1068.30 

Primarily used means used 51 percent 

or more. 

States and localities means any or all 

of the states, commonwealths, and 

territories in the United States including 

the District of Columbia and any or all 

of their political subdivisions. 

Ultimate purchaser means the first 

person who in good faith purchases a 

new nonroad engine or new nonroad 

vehicle or equipment for purposes other 

than resale. 

United States has the meaning given 

in 40 CFR 1068.30. 

§ 1074.10 Scope of preemption. 

(a) States and localities are preempted 

from adopting or enforcing standards or 

other requirements relating to the 

control of emissions from new engines 

smaller than 175 horsepower that are 

primarily used in farm or construction 

equipment or vehicles, as defined in 

this part. For equipment that is used in 

applications in addition to farming or 

construction activities, if the equipment 

is primarily used as farm and/or 

construction equipment or vehicles (as 

defined in this part), it is considered 

farm or construction equipment or 

vehicles. 

(b) For nonroad engines or vehicles 

other than those described in paragraph 

(a) of this section and § 1074.12, States 

and localities are preempted from 

enforcing any standards or other 

requirements relating to control of 

emissions from nonroad engines or 

vehicles except as provided in subpart 

B of this part. 

§ 1074.12 Scope of preemption-specific 

provisions for locomotives and locomotive 

engines 

(a) States and localities are preempted 

from adopting or enforcing standards or 

other requirements relating to the 

control of emissions from new 

locomotives and new engines used in 

locomotives. 

(b) During a period equivalent in 

length to 133 percent of the useful life, 

expressed as MW-hrs (or miles where 

applicable), beginning at the point at 

which the locomotive or engine 

becomes new, those standards or other 

requirements which are preempted 

include, but are not limited to, the 

following: emission standards, 

mandatory fleet average standards, 

certification requirements, retrofit and 

aftermarket equipment requirements, 

and nonfederal in-use testing 

requirements. The standards and other 

requirements specified in the preceding 

sentence are preempted whether 

applicable to new or other locomotives 

or locomotive engines. 

Subpart B—Procedures for 

Authorization 

§ 1074.101 Procedures for California 

nonroad authorization requests. 

(a) California must request 

authorization from the Administrator to 

enforce its adopted standards and other 

requirements relating to control of 

emissions from nonroad engines or 

vehicles that are not preempted by 

§ 1074.10(a) or § 1074.12. The request 

must include the record on which the 

state rulemaking was based. 

(b) After receiving the authorization 

request, the Administrator will provide 

notice and opportunity for a public 

hearing regarding such requests. 

§ 1074.105 Criteria for granting 

authorization. 

(a) The Administrator will grant the 

authorization if California determines 

that its standards will be, in the 

aggregate, at least as protective of public 

health and welfare as otherwise 

applicable federal standards. 

(b) The authorization will not be 

granted if the Administrator finds that 

any of the following are true: 

(1) California’s determination is 

arbitrary and capricious. 

(2) California does not need such 

standards to meet compelling and 

extraordinary conditions. 

(3) The California standards and 

accompanying enforcement procedures 

are not consistent with section 209 of 

the Act (42 U.S.C. 7543). 

(c) In considering any request from 

California to authorize the state to adopt 

or enforce standards or other 

requirements relating to control of 

emissions from new nonroad sparkignition engines smaller than 50 

horsepower, the Administrator will give 

appropriate consideration to safety 

factors (including the potential 

increased risk of burn or fire) associated 

with compliance with the California 

standard. 

§ 1074.110 Adoption of California 

standards by other states. 

(a) Except as described in paragraph 

(b) of this section, any state other than 

California that has plan provisions 

approved under Part D of Title I of the 

Act (42 U.S.C. 7501 to 7515) may adopt 

and enforce emission standards for any 

period for nonroad engines and vehicles 

subject to the following requirements: 

(1) The state must provide notice to 

the Administrator that it has adopted 

such standards. 

(2) Such standards may not apply to 

new engines smaller than 175 

horsepower that are used in farm or 

construction equipment or vehicles, or 

to new locomotives or new engines used 

in locomotives. 

(3) Such standards and 

implementation and enforcement must 

be identical, for the period concerned, 

to the California standards authorized 

by the Administrator. 

(4) The state must adopt such 

standards at least two years before the 

standards first take effect. 

(5) California must have adopted such 

standards two years before the standards 

first take effect in the state that is 

adopting them under this section. 

(b) States and localities, other than the 

State of California, may not adopt or 

attempt to enforce any standard or other 

requirement applicable to the control of 

emissions from spark-ignition engines 

smaller than 50 horsepower, except 

standards or other requirements that 

were adopted by that state before 

September 1, 2003. 

§ 1074.115 Relationship of federal and 

state standards. 

If state standards apply to a new 

nonroad engine or vehicle pursuant to 

authorization granted under section 209 

of the Act (42 U.S.C. 7543), compliance 

with such state standards will be treated 

as compliance with the otherwise 

applicable standards of this chapter for 

engines or vehicles introduced into 

commerce in that state. 

[FR Doc. E8–21093 Filed 10–7–08; 8:45 am] 

BILLING CODE 6560–50–P 

mstockstill on PROD1PC66 with RULES2