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Control of Emissions From Nonroad Spark-Ignition Engines and Equipment
Note: EPA no longer updates this information, but it may be useful as a reference or resource.
PDF Version (50 pp, 836K, About PDF) [Federal Register: October 8, 2008 (Volume 73, Number 196)] [Rules and Regulations] [Page 59233-59282] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr08oc08-21] Control of Emissions From Nonroad Spark-Ignition Engines and Equipment [[Continued from page 59232]] [[Page 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 Sec. 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: Sec. 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: Sec. 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 emission-related 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: Sec. 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 emission-related maintenance, nor that we approve as critical emission-related maintenance). Noncritical emission-related 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 in-use 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: Sec. 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 Sec. 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 Sec. 1048.101(g)(1) or a shortened useful life under Sec. 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 [[Page 59234]] 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 Sec. 1048.101(d), and show in your application for certification that in-use engines will experience infrequent high-load 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 Sec. 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: Sec. 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 Sec. 1048.140--Standards for Blue Sky Series Engines (g/kW- hr) ------------------------------------------------------------------------ Standards for steady-state and Standards for field-testing transient test procedures 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: Sec. 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 Sec. 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 Sec. 1048.245(e)(1)(i) and Sec. 1048.501(e). Subpart C--[Amended] • 114. Section 1048.201 is amended by revising paragraph (a) to read as follows: Sec. 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). Sec. 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 Sec. 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 Sec. 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 Sec. 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 field-testing emission standards we specify in Sec. 1048.101(c) for all normal operation and use when tested as specified in Sec. 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 Sec. 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 [[Page 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: Sec. 1048.220 How do I amend the maintenance instructions in my application? You may amend your emission-related maintenance instructions after you submit your application for certification as long as the amended instructions remain consistent with the provisions of Sec. 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: Sec. 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 Sec. 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 Sec. 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: Sec. 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: Sec. 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 Sec. 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 Sec. 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. * * * * * [[Page 59236]] • 120. Section 1048.240 is amended by revising paragraphs (a), (b), and (c) to read as follows: Sec. 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 Sec. 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 Sec. 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 low-hour 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: Sec. 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 Sec. 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 Sec. 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). Sec. 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 Sec. 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 Sec. 1048.345. (2) State the total production volume for any engine family for which you produce engines after completing the reports required in Sec. 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: Sec. 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: Sec. 1048.301 When must I test my production-line engines? (a) If you produce engines that are subject to the requirements of this part, [[Page 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 Sec. Sec. 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 field- testing 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 duty-cycle emission standards if you double the minimum sampling rate specified in Sec. 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 Sec. 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: Sec. 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 field-testing 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). Sec. 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: [GRAPHIC] [TIFF OMITTED] TR08OC08.091 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. [sigma] = Test sample standard deviation (see paragraph (c)(2) of this section). [[Page 59238]] x = Mean of emission test results of the sample. STD = Emission standard. * * * * * (2) Calculate the standard deviation, [sigma], for the test sample using the following formula: Where: [GRAPHIC] [TIFF OMITTED] TR08OC08.092 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 Sec. 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 Sec. 1048.315, or the remedial steps required under Sec. 1048.320. * * * * * • 127. Section 1048.315 is amended by revising paragraphs (a) and (b) to read as follows: Sec. 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 Sec. 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 x [sigma])] 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: Sec. 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 Sec. 1048.345. • 129. Section 1048.325 is amended by revising the section heading and paragraph (c) to read as follows: Sec. 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 Sec. 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). Sec. 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 Sec. 1048.315 and the sample-size calculation required in Sec. 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 [[Page 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: Sec. 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: Sec. 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: Sec. 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: Sec. 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: Sec. 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 Sec. 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 Sec. 1048.245. * * * * * • 136. Section 1048.505 is revised to read as follows: Sec. 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 [[Page 59240]] 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 Sec. 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 Sec. 1048.505 ---------------------------------------------------------------------------------------------------------------- Torque Weighting C2 mode No. Engine speed \1\ (percent) \2\ 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 ---------------------------------------------------------------------------------------------------------------- \1\ Speed terms are defined in 40 CFR part 1065. \2\ The 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 Sec. 1048.505 ---------------------------------------------------------------------------------------------------------------- Time in mode RMC 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 ---------------------------------------------------------------------------------------------------------------- \1\ Speed terms are defined in 40 CFR part 1065. \2\ Advance 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. \3\ The 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 variable-speed 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 Sec. 1048.505 ---------------------------------------------------------------------------------------------------------------- Minimum time D1 mode No. Engine speed Torque in mode Weighting (percent) \1\ (minutes) factors ---------------------------------------------------------------------------------------------------------------- 1..................................... Maximum test............ 100 3.0 0.50 2..................................... Maximum test............ 75 3.0 0.50 ---------------------------------------------------------------------------------------------------------------- \1\ The percent torque is relative to the maximum torque at maximum test speed. (ii) The following duty cycle applies for discrete-mode testing: [[Page 59241]] Table 4 of Sec. 1048.505 ---------------------------------------------------------------------------------------------------------------- Time in mode RMC modes (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 ---------------------------------------------------------------------------------------------------------------- \1\ The percent torque is relative to maximum test torque. \2\ Advance 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). Sec. 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 Sec. 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: Sec. 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: Sec. 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: Sec. 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: [[Page 59242]] Sec. 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 Sec. 1048.612 is added to subpart G to read as follows: Sec. 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: Sec. 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: Sec. 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: Sec. 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: Sec. 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 Sec. 1048.640 is added to subpart G to read as follows: Sec. 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 small-volume engine manufacturers, as illustrated by the following examples: (1) Waived requirements related to torque broadcasting. See Sec. 1048.115. (2) Assigned deterioration factors to reduce testing burden. See Sec. 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 small-volume 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 small-volume 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 ``Alcohol-fueled engine'', ``Days'', ``Engine'', and ``Sealed'' in alphabetical order. Sec. 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. 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. * * * * * 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 [[Page 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 Sec. 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 Sec. 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 Sec. 1048.625 for provisions related to [[Page 59244]] 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 emission-data 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 Sec. 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: Sec. 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 Sec. 1048.810--SAE Materials ------------------------------------------------------------------------ Part 1048 Document number and name reference ------------------------------------------------------------------------ SAE J2260, Nonmetallic Fuel System Tubing with One or 1048.105 More Layers, November 2004............................. ------------------------------------------------------------------------ (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 Sec. 1048.810--ISO Materials ------------------------------------------------------------------------ Part 1048 Document number and name reference ------------------------------------------------------------------------ ISO 9141-2 Road vehicles--Diagnostic systems--Part 2: 1048.110 CARB requirements for interchange of digital information, February 1994............................. ISO 14230-4 Road vehicles--Diagnostic systems--Keyword 1048.110 Protocol 2000--Part 4: Requirements for emission- related systems, June 2000............................. ------------------------------------------------------------------------ [[Page 59245]] • 150. A new Sec. 1048.825 is added to read as follows: Sec. 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 Sec. 1048.20 we require manufacturers of stationary engines to label their engines in certain cases. (2) In Sec. 1048.135 we require engine manufacturers to keep certain records related to duplicate labels sent to equipment manufacturers. (3) In Sec. 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 Sec. Sec. 1048.345 and 1048.350 we specify certain records related to production-line testing. (6) In Sec. Sec. 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: Sec. 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 Sec. 1051.2 is added to read as follows: Sec. 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 Sec. 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: Sec. 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. Spark-ignition 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: Sec. 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: Sec. 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: Sec. 1051.25 What requirements apply when installing certified engines in recreational vehicles? (a) If you manufacture recreational vehicles with engines certified under Sec. 1051.20, you must certify your vehicle with respect to the evaporative emission standards in Sec. 1051.110, but you need [[Page 59246]] 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 Sec. 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: Sec. 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: Sec. 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: Sec. 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: Sec. 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 Sec. 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: Sec. 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: Sec. 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: Sec. 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 emission-related maintenance, nor that we approve as critical emission-related maintenance). Noncritical emission-related 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 in-use 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). Sec. 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: [[Page 59247]] Sec. 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 Sec. 1051.140 is added to read as follows: Sec. 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)x(6.00/2) 2 x ([pi]) x (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 Sec. 1051.225. • 169. Section 1051.145 is amended by revising paragraphs (b) and (e)(1) and adding paragraph (i) to read as follows: Sec. 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 Sec. 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 Sec. 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 Sec. 1051.145--Optional Exhaust Emission Standards for ATVs (g/kW-hr) ---------------------------------------------------------------------------------------------------------------- Emission standards Maximum -------------------------------- allowable family Engine displacement Model year Phase-in emission HC+NOX CO limits --------------- 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: [[Page 59248]] Table 2 of Sec. 1051.145--6-Mode Duty Cycle for Recreational Engines ---------------------------------------------------------------------------------------------------------------- Torque Engine speed (percent of (percent of Minimum time Weighting Mode No. maximum test speed) maximum torque in mode factors at test speed) (minutes) ---------------------------------------------------------------------------------------------------------------- 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 Sec. 1051.137: (i) For engines at or above 225 cc, use the following equation: NER = 9.898 x 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 x log [(HC+NOX) x 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: Sec. 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: Sec. 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 Sec. 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: Sec. 1051.220 How do I amend the maintenance instructions in my application? You may amend your emission-related maintenance instructions after you submit your application for certification as long as the amended instructions remain consistent with the provisions of Sec. 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 [[Page 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: Sec. 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 Sec. 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 Sec. 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: Sec. 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 Sec. 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: Sec. 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 Sec. 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 [[Page 59250]] unrelated to emissions. You may also ask to add a configuration subject to Sec. 1051.225. * * * * * • 176. Section 1051.240 is amended by revising paragraphs (a), (b), and (c)(1) to read as follows: Sec. 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 emission-data 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: Sec. 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: Sec. 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 Sec. 1051.110(a) with the control technologies shown in the following table: Table 1 of Sec. 1051.245--Design-certification Technologies for Controlling Tank Permeation ------------------------------------------------------------------------ Then you may design-certify If the tank permeability control with a tank emission level technology is . . . of . . . ------------------------------------------------------------------------ (i) A metal fuel tank with no non-metal 1.5 g/m2/day. gaskets or with gaskets made from a low- permeability material. (ii) A metal fuel tank with non-metal 1.5 g/m2/day. gaskets with an exposed surface area of 1000 mm2 or less. ------------------------------------------------------------------------ (2) For certification to the standards specified in Sec. 1051.110(b) with the control technologies shown in the following table: Table 2 of Sec. 1051.245--Design-certification Technologies for Controlling Fuel-line Permeation ------------------------------------------------------------------------ Then you may design-certify If the fuel-line permeability control with a fuel line permeation technology is . . . emission level of . . . ------------------------------------------------------------------------ (i) Hose meeting the specifications for 15 g/m2/day. Low Emission Fuel Lines as described in 40 CFR 1048.105. (ii) Hose meeting the R11-A or R12 15 g/m2/day. permeation specifications in SAE J30 as described in 40 CFR 1060.810. ------------------------------------------------------------------------ • 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). Sec. 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 Sec. 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 Sec. 1051.345. (2) State the total production volume for any engine family for which you produce vehicles after completing the reports required in Sec. 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: [[Page 59251]] Sec. 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 field- testing 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 Sec. 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 Sec. 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: Sec. 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 Sec. 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: Sec. 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 [[Page 59252]] 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: [GRAPHIC] [TIFF OMITTED] TR08OC08.093 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. [sigma] = 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, [sigma], for the test sample using the following formula: [GRAPHIC] [TIFF OMITTED] TR08OC08.094 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 Sec. 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 Sec. 1051.315, or the remedial steps required under Sec. 1051.320. * * * * * • 183. Section 1051.315 is amended by revising paragraphs (a), (b), and (g) to read as follows: Sec. 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 Sec. 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 x [sigma])] 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 Sec. 1051.225(f). * * * * * • 184. Section 1051.320 is amended by revising paragraph (a)(2) to read as follows: Sec. 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 Sec. 1051.345. * * * * * • 185. Section 1051.325 is amended by revising the section heading and paragraphs (c) and (e) to read as follows: Sec. 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 Sec. 1051.820). If we agree before a hearing occurs that we used erroneous information in deciding [[Page 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 Sec. 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). Sec. 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 Sec. 1051.315 and the sample-size calculation required in Sec. 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: Sec. 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). Sec. 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 [deg]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 [deg]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 low-sulfur 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 Sec. 1051.515(a)(1) and fuel slosh durability test described in Sec. 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 Sec. 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: Sec. 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 [[Page 59254]] 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 Sec. 1051.103: (i) The following duty cycle applies for discrete-mode testing: Table 1 of Sec. 1051.505--5-Mode Duty Cycle for Snowmobiles ---------------------------------------------------------------------------------------------------------------- Minimum Speed Torque time in Weighting Mode No. (percent) (percent) mode factors \1\ \2\ (minutes) ---------------------------------------------------------------------------------------------------------------- 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 ---------------------------------------------------------------------------------------------------------------- \1\ Percent speed is percent of maximum test speed. \2\ Percent torque is percent of maximum torque at maximum test speed. (ii) The following duty cycle applies for ramped-modal testing: Table 2 of Sec. 1051.505--Ramped-modal Cycle for Testing Snowmobiles ---------------------------------------------------------------------------------------------------------------- Time in RMC mode 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 ---------------------------------------------------------------------------------------------------------------- \1\ Percent speed is percent of maximum test speed. \2\ Advance 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. \3\ Percent 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: Sec. 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: Sec. 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: [[Page 59255]] Sec. 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 Sec. 1051.615--6-Mode Duty Cycle for Recreational Engines ---------------------------------------------------------------------------------------------------------------- Engine Minimum speed Torque time in Weighting Mode No. (percent) (percent) mode factors \1\ \2\ (minutes) ---------------------------------------------------------------------------------------------------------------- 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 ---------------------------------------------------------------------------------------------------------------- \1\ Percent speed is percent of maximum test speed. \2\ Percent torque is percent of maximum torque at the commanded test speed. (ii) The following duty cycle applies for ramped-modal testing: Table 2 of Sec. 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. ---------------------------------------------------------------------------------------------------------------- \1\ Percent speed is percent of maximum test speed. \2\ Advance 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. \3\ Percent 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: Sec. 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 small-volume manufacturer provisions of this part, you may ask us to designate you to be a small-volume manufacturer. You may do this whether you began manufacturing recreational vehicles before, during, or after 2002. * * * * * • 194. Section 1051.645 is amended by revising paragraph (b) to read as follows: Sec. 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 Sec. 1051.650 is added to subpart G to read as follows: Sec. 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 [[Page 59256]] 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: Sec. 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 Sec. 1051.720). * * * * * • 197. Section 1051.710 is amended by revising paragraphs (d) and (e) and removing paragraph (f) to read as follows: Sec. 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 Sec. 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: Sec. 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: Sec. 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) x 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: Sec. 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: Sec. 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 Sec. 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. [[Page 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: Sec. 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: Sec. 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 ``Alcohol-fueled'', ``Days'', ``Low- permeability material'', and ``Volatile liquid fuel'' in alphabetical order. Sec. 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. Exhaust-gas 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 Sec. 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 [[Page 59258]] 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 emission-data 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, all-terrain 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. * * * * * Sec. 1051.810 [Removed] • 205. Section 1051.810 is removed. • 206. A new Sec. 1051.825 is added to subpart I to read as follows: Sec. 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 Sec. Sec. 1051.20 and 1051.25 we describe special provisions for manufacturers to certify recreational engines instead of vehicles. (2) [Reserved] (3) In Sec. 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 Sec. Sec. 1051.345 and 1051.350 we specify certain records related to production-line testing. (6) [Reserved] (7) In Sec. 1051.501 we specify information needs for establishing various changes to published vehicle-based 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 Sec. Sec. 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 [[Page 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 production-line 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? [[Page 59260]] 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 Sec. 1054.1 Does this part apply for my engines and equipment? (a) Except as provided in Sec. 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 Sec. Sec. 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 Sec. 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 Sec. Sec. 1054.620 and 1054.801 apply for engines used solely for competition beginning January 1, 2010. (ii) The provisions of Sec. Sec. 1054.660 and 1054.801 apply for engines used in emergency rescue equipment beginning January 1, 2010. (5) We specify provisions in Sec. 1054.145(e) and (f) and in Sec. 1054.740 that allow for meeting the requirements of this part before the dates shown in Table 1 to this section. Engines, fuel-system 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. Sec. 1054.2 Who is responsible for compliance? The requirements and prohibitions of this part apply to manufacturers of engines and equipment, as described in Sec. 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 Sec. 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. Sec. 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 Sec. 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 Sec. 1054.20. (d) Engines used in reduced-scale models of vehicles that are not capable of transporting a person. Sec. 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 Sec. 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 [[Page 59261]] and evaporative emission credits to certify your engines and equipment. (i) Subpart I of this part contains definitions and other reference information. Sec. 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 Sec. Sec. 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. Sec. 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 Sec. Sec. 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 emission-related installation instructions from the certifying manufacturers as described in Sec. 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 spark-ignition 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. Sec. 1054.30 Submission of information. (a) This part includes various requirements to record data or other information. Refer to Sec. 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 Sec. 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 Sec. 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 Sec. 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 Sec. 1054.103. (2) Nonhandheld engines must meet the exhaust emission standards in Sec. 1054.105. (3) All engines must meet the requirements in Sec. 1054.115. (b) Evaporative emissions. Except as specified in Sec. 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 Sec. Sec. 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 Sec. 1054.105 may be used in either handheld or nonhandheld equipment. Engines above 80 cc certified to the handheld emission standards in Sec. 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 Sec. 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 Sec. 1054.145 to determine if there are other interim requirements or [[Page 59262]] interim compliance provisions that apply for a limited time. Sec. 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 steady-state test procedures described in subpart F of this part. Table 1 to Sec. 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 Sec. 1054.107. (e) Applicability for testing. The emission standards in this subpart apply to all testing, including certification, production-line, and in-use testing. Sec. 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 Sec. 1054.105--Phase 3 Emission Standards for Nonhandheld Engines (g/kW-hr) ------------------------------------------------------------------------ CO standard Engine displacement class HC+NOX Primary CO for marine standard 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 Sec. 1054.107. (e) Applicability for testing. The emission standards in this subpart apply to all testing, including certification, production-line, and in-use testing. Sec. 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 in-use life of your engines. The median in-use 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. [[Page 59263]] Table 1 to Sec. 1054.107--Nominal Useful Life Periods ---------------------------------------------------------------------------------------------------------------- Nonhandheld ----------------------------------------------------------------------------------------------------------------- Extended life Residential residential Commercial \1\ ---------------------------------------------------------------------------------------------------------------- Class I......................................................... 125 250 500 Class II........................................................ 250 500 1,000 ---------------------------------------------------------------------------------------------------------------- Handheld ----------------------------------------------------------------------------------------------------------------- Light use Medium use Heavy use ---------------------------------------------------------------------------------------------------------------- Class III--V.................................................... 50 125 300 ---------------------------------------------------------------------------------------------------------------- \1\ Or ``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 Sec. 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. Sec. 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 small-volume 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 Sec. 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 Sec. 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. Sec. 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 Sec. 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 [deg]C, or 8.3 g/m2/day for testing at a nominal temperature of 40 [deg]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 [deg]C, or 13.3 g/ [[Page 59264]] m2/day for testing at a nominal temperature of 40 [deg]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. Sec. 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 in-use 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 Sec. 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 Sec. 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 Sec. 1054.145(c) for special provisions that apply for handheld engines. (d) Prohibited controls. You may not design your engines with emission-control devices, systems, or elements of design that cause or contribute to an unreasonable risk to public health, welfare, or safety while operating. For example, this would apply if the engine emits a noxious or toxic substance it would otherwise not emit that contributes to such an unreasonable risk. (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 Sec. 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. Sec. 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 emission-related 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 [[Page 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 e-mail 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 Sec. 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 Sec. 1054.690. Sec. 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 emission-data engines as described in Sec. 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 Sec. 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 emission-related warranty valid. If operators do the maintenance specified in paragraph (a) of this section, but not the recommended additional maintenance, this does not allow you to disqualify 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 emission-related maintenance, nor that we approve as critical emission-related maintenance). Noncritical emission- [[Page 59266]] 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 emission-related. 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 emission-data 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 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. (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. Sec. 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: ``Emission-related 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 Sec. 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 Sec. 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. Sec. 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 Sec. 1054.640. (3) Include EPA's standardized designation for the emission family (and subfamily, where applicable). [[Page 59267]] (4) State the following based on the useful life requirements in Sec. 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 Sec. 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 Sec. 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 Sec. 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 [rated-speed 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. Sec. 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) x (6.00/2) 2 x ([pi]) x (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 Sec. 1054.225. Sec. 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 Sec. 1054.112 also do not apply to engines exempted under this paragraph (a), or to equipment using these engines. [[Page 59268]] (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 Sec. 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 Sec. 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 small-volume engine families. (2) You may perform maintenance on emission-data engines during service accumulation as described in 40 CFR part 90. If your scheduled emission-related 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 Sec. 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 anti-stockpiling 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 Sec. 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 Sec. 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 Sec. 1054.110 apply. To do this, your equipment must use fuel tanks with a [[Page 59269]] family emission limit below 1.5 g/m2/day (or 2.5 g/ m2/day for testing at 40 [deg]C). Calculate your credits as described in Sec. 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 [deg]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 Sec. 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 Sec. 1054.706 based on a useful life of five years. (h) Emission credit program for cold-weather 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 five-year 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 Sec. 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 rotation-molded fuel tanks. (1) You may produce limited numbers of 2011 and 2012 model year equipment with rotation-molded fuel tanks that do not meet permeation emission standards specified in Sec. 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 corporate-wide 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 Sec. 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 Sec. 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 [[Page 59270]] 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 Sec. 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 Sec. 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 Sec. 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 Sec. 1054.235(c)). Sec. 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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 fuel- metering 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 air-fuel 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 Sec. 1054.107). (i) Include the maintenance and warranty instructions you will give to the ultimate purchaser of each new engine (see Sec. Sec. 1054.120 and 1054.125). Describe your basis for meeting the warranty-assurance provisions in Sec. 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 Sec. 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 Sec. 1054.130). (k) Describe your emission control information label (see Sec. 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 Sec. 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 Sec. 1054.101. Show emission figures before and after applying deterioration factors for each engine. Include test data from each applicable duty cycle specified in Sec. 1054.505(b). If we specify more than one grade of any fuel type (for example, low- temperature 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 Sec. Sec. 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 Sec. 1054.115(b)), including production tolerances. Include the following in your description of each parameter: [[Page 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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. Sec. 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. Sec. 1054.220 How do I amend the maintenance instructions in my application? You may amend your emission-related maintenance instructions after you submit your application for certification as long as the amended instructions remain consistent with the provisions of Sec. 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). Sec. 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. [[Page 59272]] 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 Sec. 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 Sec. 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. Sec. 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 dual-fuel 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 Sec. 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 Sec. 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. [[Page 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. Sec. 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 Sec. Sec. 1054.103 and 1054.105. See Sec. Sec. 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 flexible-fuel 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 Sec. 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 Sec. 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 Sec. 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 emission-data 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. Sec. 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 Sec. 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 Sec. 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 small-volume 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 [[Page 59274]] 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. Sec. 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 flexible-fuel 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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. Sec. 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 Sec. 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 Sec. 1054.345. (2) State the total production volume for any engine family for which you produce engines after completing the reports required in Sec. 1054.345. (3) If you produced exempted engines under the provisions of Sec. 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 Sec. 1054.205 that you were not required to include in your application. (3) A detailed history of all emission-data 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. [[Page 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. Sec. 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 Sec. 1054.820). Subpart D--Production-line Testing Sec. 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. Sec. 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 Sec. Sec. 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 field- testing 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 Sec. 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 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 Sec. 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. [[Page 59276]] Sec. 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 Sec. 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 Sec. 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 Sec. 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. Sec. 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: [GRAPHIC] [TIFF OMITTED] TR08OC08.095 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. [sigma] = 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, t\95\, from the following table: -------------------------------------------------------------------------------------------------------------------------------------------------------- n t95 n t95 n t95 -------------------------------------------------------------------------------------------------------------------------------------------------------- 2................................................................. 6.31 12 1.80 22 1.72 [[Page 59277]] 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: [GRAPHIC] [TIFF OMITTED] TR08OC08.096 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 Sec. 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 Sec. 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 Sec. 1054.315, or the remedial steps required under Sec. 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. Sec. 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 Sec. 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 Sec. 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 x [sigma])] 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 Sec. 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 x [sigma]. (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 Sec. 1054.225(f). (h) If you amend the application for certification for an engine family under Sec. 1054.225, do not change any previous calculations of sample size or CumSum statistics for the model year. Sec. 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 Sec. 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 [[Page 59278]] the written report required under Sec. 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 Sec. 1054.225). Sec. 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 Sec. 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 Sec. 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 Sec. 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. Sec. 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 Sec. 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. Sec. 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. Sec. 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 Sec. 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. Sec. 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 Sec. 1054.315 and the sample-size calculation required in Sec. 1054.310 for each engine family. (9) Report on each failed engine as described in Sec. 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. Sec. 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. [[Page 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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 spark-ignition 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 Sec. 1054.505 and 40 CFR part 1065. See Sec. 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 fuel-grade 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 Sec. 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. [[Page 59280]] (5) Prepare your engines for testing by installing a governor that you normally use on production engines, consistent with Sec. Sec. 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 Sec. 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 [deg]C. Sec. 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 non-idle sampling periods must be within ±2 percent of the reference value or within0.27 N[middot]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[middot]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 Sec. 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 two-mode 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 [[Page 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 user-selectable 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 intermediate-speed 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 rated-speed 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. Sec. 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 Sec. 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. Sec. 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. Sec. 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 [[Page 59282]] 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. Sec. 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. Sec. 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. Sec. 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 Sec. 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, [[Continued on page 59283]]